1. Research Support & Quality Assessment
National Research Foundation

2. 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

3. 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

4. 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

5. 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

6. 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)

7. 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

8. 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

9. 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

10. 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

11. 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

12. 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

13. 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

14. 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)

15. 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

16. 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

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

18. 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

19. 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

20. 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

21. 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

22. 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.

23. 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

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

25. 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

26. 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

27. 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

28. 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

29. 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

30. 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

31. 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

32. 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

33. 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

34. 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

35. 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

36. Thank you !

37. 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