Research Support & Quality Assessment National Research Foundation

Contents Part I : NRF within the Context of the Macro-environment Part II : Principles and Challenges Part III: Modalities for Research Support and Quality Assessment Conclusion

Part I : Macroenvironment Object of the NRF The object of the Foundation is to support and promote research through funding, human resource development and the provision of the necessary research facilities in order to: facilitate the creation of knowledge, innovation and development in all fields of science and technology, including indigenous knowledge and thereby to contribute to the improvement of the quality of life of all the people of the Republic F R

Part I : Macroenvironment Global Imperatives The emergence of a knowledge society A new social contract between science and society Sustainable development Impact of the ICT revolution on business and work Sharing versus privatisation of knowledge Integration of the sciences

Part I : Macroenvironment National Policies and Developments Presidential Imperatives Policy directives - State-of-the-Nation Address White Papers on Science and Technology and the National System of Innovation Higher Education Transformation National Plan for Higher Education Reviews of: SET Institutions and the Financing and Reporting System for Science Councils Review of former FRD and CSD activities National Science and Technology Audit National Science and Technology Foresight Project Skills Development and Human Resource Development strategies

Part I : Macroenvironment Dual System for Funding Research in HE Direct Funding from Education Vote (DoE) Funding through Intermediary Value-Adding “Agency” Science Vote (DACST) Trade & Industry Vote (DTI) Environment Vote (DEAT)

Human resource development Production and acquisition of new knowledge Part I : Macroenvironment NATIONAL PLAN FOR HIGHER EDUCATION The Role of HE in a Knowledge-Driven World Human resource development Production and acquisition of new knowledge Application of new knowledge

Priorities To increase outputs of postgraduates Part I : Macroenvironment NATIONAL PLAN FOR HIGHER EDUCATION Sustaining and Promoting Research Priorities To increase outputs of postgraduates To increase research output To sustain existing research capacity & create new centres of excellence in niche areas To facilitate collaboration and partnerships To promote articulation between the different elements of the research system

A separate research component based on research outputs Part I : Macroenvironment NATIONAL PLAN FOR HIGHER EDUCATION New Strategies to Research Funding A separate research component based on research outputs Earmarked funds for RCD : on the basis of research development plans as part of the 3-year rolling plan of institutions to facilitate research collaboration - emphasis on RCD at HBIs - at regional and national levels for research student scholarships

Institutional development Quality improvement Audit Assessment Part I : Macroenvironment HIGHER EDUCATION QUALITY COMMITTEE Purposes of External Quality Agencies Institutional development Quality improvement Audit Assessment Benchmarking Ranking Accreditation Steering Government funding Accountability Viability Compliance Information provision Sector report

Part II : Principles and Challenges Mission of the NRF - Research Support Agency A dynamic, quality-driven organisation that provides leadership in the promotion and support of research and research capacity development in the natural, social and human sciences, engineering and technology to meet national and global challenges through: investing in knowledge, people and infrastructure promoting basic and applied research and innovation developing research capacity and advancing equity and redress to unlock the full creative potential of the research community facilitating strategic partnerships and knowledge networks upholding research excellence. This it realises through the creativity and commitment of its people and partners

Part II : Principles and Challenges Focus Areas Unlocking the Future: Advancing and strengthening the strategic knowledge base Distinct South African Research Opportunities Conservation and Management of Ecosystems and Biodiversity Sustainable livelihoods: The eradication of poverty Economic Growth and International Competitiveness ICT and the Information Society in South Africa Socio-Political Impact of Globalisation Indigenous Knowledge Systems Education and the Challenges for Change

Part II : Principles and Challenges Strategic Operational Priorities Enhancing the Social Sciences and Humanities within the Strategic Framework of the NRF Research Capacity Development Promoting and Enhancing Africa Interaction Evaluation and Quality Assessment Growing the Business Building a Knowledge Organisation Operational Effectiveness and Efficiency

Part II : Principles and Challenges The NRF Agency Function Building Knowledge Base Mission driven funding Focus Area Programmes Research Capacity Development Others (e.g. ISL) THRIP (DTI) Innovation Fund (DACST) Other (e.g. DEAT) Knowledge Management Strategic Advice Evaluation Research Information Others (e.g. IT, IPR)

Access to funding for individuals and teams, Units and Centres Part II : Principles and Challenges NRF Research Support Agency Approach Access to funding for individuals and teams, Units and Centres Equity and Redress Institutional (will take into account NPHE) Within HBUs and Technikons Individual Black and women researchers

Part II : Principles and Challenges Quality Assessment The assessment of quality be adopted as a key principle Provision for QA in terms of multiple levels of analysis Fundamental mechanism: peer review Focus on research outputs

Part II : Principles and Challenges Purposes of Quality Assessment Driver of capacity development National/International benchmarking Optimisation of investment decisions

Consultative process Literature Review institutional visits workshops Part II : Principles and Challenges Quality and Research Support Issues in the SS&H Consultative process institutional visits workshops individual discussions Literature Review

Part II : Principles and Challenges Issues Identified in the SS&H Status of research in SS&H cause for concern Shift toward problem-based research eroding basic discipline based research Emphasis on service provision for some disciplines, e.g. languages and psychology Differing meanings of research in SS and Humanities, e.g. performing arts, music etc. Under-value importance of role of SSH in society

Workshop with an Advisory Committee on 24 July 2001 Part III : Modalities for Research Support and Quality Assessment Addressing Research Support Needs Workshop with an Advisory Committee on 24 July 2001 Workshop with DVCs/Deans of Research and/or representatives from all SA Higher Education Institutions on 7 August 2001

R C D PROPOSAL & Track Record TRACK RECORD & Proposal Part III : Modalities for Research Support & Quality Assessment Entry points into NRF Funding Access Point I Access Point II Access Point III R C D PROPOSAL & Track Record TRACK RECORD & Proposal Peer review Peer review Institutional and Individual support up to PhD-level Max 3 x 2-year cycles support for successful proposal Long-term (up to 5 years) support for successful proposal Peer review 3 x 2-year cycles support R A T I N G No rating Rated O R

Part III : Modalities for Research Support & Quality Assessment Access to NRF Funding for Individuals & Teams - All Sciences ACCESS POINT 1 RCD programmes will continue RCD programmes will include modalities to facilitate movement from proposal based funding to attaining rating status ACCESS POINT 2 Point of entry: Project proposal on open invitation to researchers Size of grant depends on proposal Successful proposals get funding up to 2 years - thereafter resubmit proposal After three successful 2-year cycles of proposal funding, individuals will have to avail themselves for evaluation and rating based on track record.

Sensitive to differences in various sciences Part III : Modalities for Research Support & Quality Assessment Access to NRF Funding for Individuals & Teams - All Sciences (cont) ACCESS POINT 3 Voluntary evaluation and rating system for individuals across all disciplines - not a prerequisite for funding (unless it follows a 3x2-year cycles of support) Eligibility for long term (5 years) funding commitment As a benchmarking tool for individuals, disciplines and institutions Sensitive to differences in various sciences

Part III : Modalities for Research Support & Quality Assessment Research Capacity Development

NRF Research Development Units/Centres Part III : Modalities for Research Support & Quality Assessment Teams, Units and Centres NRF Research Development Units/Centres To develop research capacity within a defined area of research Finite period of support NRF Units/Centres of Excellence Concentration of existing capacity to enhance the pursuit of research excellence National and international recognition Sustainable research enterprise over long-term period Teams A group of researchers which has been formed around a specific research project

Assessing the quality of proposals Part III : Modalities for Research Support & Quality Assessment Quality - Proposal Review Process Assessing the quality of proposals Two-tiered approach Postal peer-review of the scientific merit, feasibility and innovation Panel meetings comprised of specialists from relevant fields, generalists, users, etc. to consider peer reports and to judge proposals in terms of relevance and other funding criteria

Research outputs as the basis Part III : Modalities for Research Support & Quality Assessment Quality - Rating Mechanism for all Sciences Peer review Research outputs as the basis

Comment on: Quality of research outputs over the last 5 years Part III : Modalities for Research Support & Quality Assessment Guidelines to reviewers Comment on: Quality of research outputs over the last 5 years Standing as a researcher Quality of students trained Collaboration with industry and/or societal organisations Contribution to corrective action Future research

Publications in peer-reviewed journals Books/chapters in books Part III : Modalities for Research Support & Quality Assessment Research Outputs (of the last five years) Publications in peer-reviewed journals Books/chapters in books Published peer rev. conference proceedings Patents Technical reports Postgraduate students trained Artefacts Any other research outputs that can be assessed

Submission of scholarly achievements Part III : Modalities for Research Support & Quality Assessment Evaluation & Rating Process Submission of scholarly achievements Not accepted Subject Specialist Committee Selection of 6 peers (reviewers) Reviewers’ Reports Specialist Committee Assessor Joint meeting O F

Top rating recommendation Executive Evaluation Committee Part III : Modalities for Research Support & Quality Assessment Evaluation and Rating Process (cont) Joint meeting Consensus No Consensus Rating given Top rating recommendation Inform Candidate Executive Evaluation Committee Appeal by institution Appeals Committee

Goodwill of academic community, both in South Africa and abroad Part III : Modalities for Research Support & Quality Assessment Critical Factors - General Goodwill of academic community, both in South Africa and abroad Meaningful clustering of disciplines in specialist panels Composition of specialist panels Selection of appropriate peers Quality of submissions Reliable reviewer data bases

Range of social sciences and humanities is very large Part III : Modalities for Research Support & Quality Assessment Critical Factors - SS&H Range of social sciences and humanities is very large Question of what is research in music,art and design Conceptual and methodological diversity Research often grounded in the local and national context Permeability of disciplinary boundaries Tendency towards generalism

Conclusion NRF Funding - The principles Mobilising research to contribute to the improvement of the quality of life of all the people of the Republic Capacity Development driven by Quality

Conclusion NRF Funding - Underpinned by: The recognition of: Partnerships with the Institutions The synergies with: The role of the HEQC The institutional plans developed for the Education Vote funding National Plan on Higher Education O F R

Thank you !

A Rating System for SS&H ? Need for a world class SS&H Rating as a mechanism for building excellence Need for benchmarking research performance Recognition of research achievement Research career path planning