Annual Performance Plan and Strategic Plan North-West University 2016
Approved by Council on 11 March 2016
Office of the Vice-Chancellor
North-West University: Annual Performance and Strategic Plan 2016 Table of Contents
1 Foreword ...... 1 2 Strategic overview ...... 2 2.1 Strategy statement ...... 2 2.2 Identity of the NWU ...... 2 2.3 Values...... 2 2.4 Success model ...... 3 2.5 Competitive strategy ...... 9 2.6 Strategic agenda ...... 9 2.7 Market direction decisions...... 9 2.8 Student equity targets ...... 10 2.9 Long term goals ...... 10 3 Updated situational analysis ...... 11 3.1 Performance environment ...... 11 4 Legislative mandates ...... 12 5 Annual Performance Plan and Key performance indicators 2016 ...... 14 5.1 Enrolment plan including student enrolment targets for 2016 ...... 14 5.2 Earmarked grants ...... 42 Table 2: Earmarked grants (funding envelopes and infrastructure projects ...... 42 6. Overview of 2016 budgets, cash flow and MTEF estimates ...... 44 6.1. Budget process and overview ...... 44 6.2. Assumptions used in preparing the budget ...... 44 6.3 Budget for the period 2015 to 2018 ...... 47 Table 3: Consolidated budget: 2015 – 2018 ...... 47 6.4 Cash flow projections ...... 48 Table 4: Cash flow projections of revenue and expenditure for years 2016 – 2018 ...... 48 6.5 Budget capital plan ...... 49 6.5.1 Long term capital expenditure plan and proposed borrowings ...... 49 Table 5: Long term capital expenditure: 2015 – 2018 ...... 49 7 Institutional risk register ...... 54 Annexure A: Common Strategic Assumptions for NWU Strategy: 2015 to 2025 ...... 65
North-West University: Annual Performance and Strategic Plan 2016 1 Foreword
The North-West University is unique in South Africa. We have a footprint in two provinces; a rural, semi- rural and urban campuses; a diverse staff and student body; and a unique approach to language.
The strategy and plan presented hereinafter is the end product of many hours of work by the NWU strategy team, encapsulating the collective wisdom of the entire team and the many inputs obtained during the consultation process. Our strategy statement sums up the essence of the work we have now concluded: We need “to transform and position the NWU as a unitary institution of superior academic excellence, with a commitment to social justice”.
This outcome represents a team effort and coincides with my personal vision for the NWU. At the outset of the process, I emphasised the need to achieve greater unity across the whole institution and to develop a unique university culture which will make our students recognisable as students of the NWU; to ensure equity of provision across the university; and to focus on academic excellence. I do not need to persuade you that we should embrace issues of social justice – our history demands it and as a significant institution of higher learning, we can make a huge contribution to the effort to achieve greater social justice.
Prof Dan Kgwadi Vice-Chancellor: North-West University 12 February 2016
North-West University: Annual Performance and Strategic Plan 2016 1 2 Strategic overview
Ten years after its founding by the merger of the former University of North West and the Potchefstroom University for Christian Higher Education, and the incorporation of the Sebokeng campus of Vista University, a process commenced in July 2014 to formulate a revised strategy for the North-West University (NWU). The strategy formulation process was informed inter alia by an internationally led evaluation of the extent to which the merger objectives and the mission elements of the NWU had been met. The strategy has now been approved by Council and comprises the following elements:-
2.1 Strategy statement To transform and to position the NWU as a unitary institution of superior academic excellence, with a commitment to social justice.
2.2 Identity of the NWU The North-West University was established by merger and incorporation in 2004 as a unitary multi-campus institution, with a single set of policies, systems and standards, driven by a set of constitutionally based values, promoting unity in diversity, developing its own brand and identity, and a unique institutional culture based on the unity and value system of the university. We recognise that our university has in its first ten years made great strides in becoming a balanced teaching-learning and research university. We continually strive to achieve greater social cohesion, inclusiveness, and diversity among students and staff. In the light of this, the North-West University adopts the following identity to direct its activities for the period 2015 to 2025: Our dream To be an internationally recognised university in Africa, distinguished for engaged scholarship, social responsiveness and an ethic of care.
Our purpose
To excel in innovative learning and teaching and cutting-edge research, thereby benefitting society through knowledge.
Our brand promise
To be: dynamic values-driven, excellent.
2.3 Values NWU will foster engaged and caring staff and students and embed the following foundational values, based on the constitutional values of human dignity, equality and freedom:- Ethics in all endeavours Academic integrity Academic freedom and freedom of scientific research Responsibility, accountability, fairness and transparency Embracing diversity.
North-West University: Annual Performance and Strategic Plan 2016 2 2.4 Success model
PREAMBLE: The following measures of ultimate external, internal and financial success, collectively, signify a commitment by the NWU
To conduct its core business at a high standard and in a nationally responsive and accountable manner To function as a unitary, integrated multi-campus university that will enable equity, redress, alignment and globally competitive teaching and research across all NWU campuses as defined in the success measures contained in the success model below
The university further commits to employ strategies and transformational practices and processes that will be:
aimed at achieving sustainable competitive advantage responsible and risk-embracing in design and implementation intelligence-informed credible optimally-participative leadership-driven and collectively-owned.
INTERNAL SUCCESS MODEL
1. High quality teaching and learning: reflected in external peer reviews, student satisfaction, employer feedback, employability of work-seeking graduates employed/self-employed within 6 months in top 10% in Higher Education in South Africa. Generic set of appropriate national comparative indicators to be developed (and which are now reflected in the annual performance plan).
2. Research and innovation intensity: notable international profile and impact, ranked in top 5 in SA, ranked in top 500 globally
3. Community engagement: integrated into teaching and learning and research, aligned to community needs, participatory and partnerships, mutually beneficial, sustainable, developing culture of active citizenship and environmental stewardship, established and well-functioning campus structures involved in directly surrounding communities. Community engagement measure >80%
4. Clearly differentiating student value proposition: quality of core business, equity of access (with the redress of the past having been achieved), sense of belonging, empowering and supportive learning experience, seamless learning and teaching, functional multi-lingualism (that promotes equity of access, academic performance, student growth and employability), diverse and integrated student life, employability, responsible, active and caring citizens, knowledgeable to be leaders in developing our country and continent, aligned programme offerings that are locally and regionally relevant and internationally competitive, value for money. Value proposition measure >80%
North-West University: Annual Performance and Strategic Plan 2016 3 5. Size and shape i.e. proportion of undergraduate/ postgraduate students, national/international students, proportions of major fields of study, contact and distance, proportion of students in residences, academic programme niches: national imperatives aligned/driven, employment creating in local contexts, maximum utilisation of assets/resources, growth-oriented, market demand linked, competitive, cost effective, appropriate and access-enhancing, availability of programme offerings on campuses, optimum teaching and research balance. Size and shape measure >80%
6. People profile (staff and students in every mode of delivery): must take cognisance of the principle that South African universities must be broadly representative of the population, with provision for measures to address the imbalances of the past. International students 15%
7. Employer of choice in Higher Education in South Africa for well-qualified staff and globally acknowledged academic staff and other knowledge workers, high staff retention >90%, local/international employment mix for academic staff (85:15). Employment market survey results in top 10% in Higher Education
8. Academics with an open mind-set (nationally and internationally), critical in thinking, respectful of the right to freedom of expression, commitment to and respect for the full scope of diversity, scholarship, commitment to students, active citizenry, good work-ethic, >70% PhD’s, high-performance individuals (wholeness, results-centred, appropriate conduct, enthusiastic, team-oriented, relationship competent, personal leader, self-developing, effective follower, creative, change mind-set) >80%, Academic staff productivity (teaching and learning, and research) in top 25% of global benchmark
9. Support staff: critical in thinking, freedom of expression, commitment to and respect for full scope of diversity, commitment to students, active citizenry, high-performance individuals (wholeness, results- centred, appropriate conduct, enthusiastic, team-oriented, relationship competent, personal leader, self- developing, effective follower, creative, change mind-set) >80%
10. Leadership and leaders: participative, distributed, inclusive, communicative, decision-competent, effective managers, results-driven, accept personal responsibility and joint accountability, transformative outlook (personally and external contexts), innovative, coaching, leading commitment to diversity >80%
11. Fully engaged and satisfied people: engagement survey results exceeding global benchmarks, climate survey results consistent at desired levels >80%
12. Organisational culture enabled by leaders through policies, implementation strategies and deliberate actions. Culture evidenced by behaviours congruent with ethics, trust, care, value-based collective identity, integration, inclusiveness, participation, collaboration, innovation, valuing of academic freedom, learning, dedication to the core business, discipline, high-performance, joint and individual accountability, delivery of results, open and transparent communication, robust engagement, teamwork at leadership level, valuing of diversity, transformational: Culture measure >80%
13. Core people practices at competitive edge-creating level: talent management, performance development, people development (including leadership, self-leadership, change capacity, coaching and mentoring), differentiating employee value proposition, staff reward and recognition: in top 25% of
North-West University: Annual Performance and Strategic Plan 2016 4 International benchmark in Higher Education. South African Board for People Practices (SABPP) and employee measure > 80%
14. Effective organisational structure and management model in context of a geographically dispersed multi- campus university: unitary university-based, discipline strengthening and performance-enabling, promoting and enabling interdisciplinary collaboration, integrated functioning inter and intra-campuses, optimally lean and flat, role clarity, rapid decision-making with delegated authority at appropriate levels, promoting effective communication, utility (easy external interface and internal work execution), fair and equitable asset and resource distribution throughout, efficient and value-contributing support services, cost effective, organisational sustainability. External expert assessment and internal measure >80%
15. Environmental practices and processes: promoting sustainability, best-practices practiced, Year on Year (YoY exceeding industry standard) reduction of carbon footprint, (YoY exceeding industry standard) reduction electricity and water usage, recycling effective, a culture of environmental stewardship in evidence amongst staff and students, integrated planned investments in green practices and infrastructure, green university in evidence, integration of principles of environmental sustainability in the curriculum: Environmental scorecard >80%
16. Governance, Risk, Compliance: Compliant with general and Higher Education sector specific legislation, all regulatory rules and procedures, and Institutional policies (100%)
17. Best-in-class Information and Communications Technology: enabling seamless, virtual, open and integrated teaching and learning capability and experience, as well as research delivery and communication, access to rich data sets, reliability and availability exceeding world-class benchmarks, architecture supporting multi-campus real-time teaching, bespoke and integrated systems and solutions at discipline level, optimum level of standardisation, at the edge of new developments and breakthroughs, cost effective and efficient systems (equipment, networks, solutions), strategic advantage and transactional excellence, best and balanced use of all media, speed and integration focus, user- focus i.e. user-friendly interfaces and user-competence developed, leveraged to reduce support service transaction cost (incl. optimally paperless) whilst improving service quality to staff and students including response and turnaround times, user satisfaction index. ICT measurement to foregoing criteria >80%
18. Institutional Research and Business Intelligence: strategic intelligence accessible for scenario development, trend analysis, strategic decision-making and integrated planning and reporting, best-in- class analytics incl. intelligent systems capability, real-time reporting enabled, accurate and reliable information, integrated and single data set, qualitative analysis enabled, webometrix position in top 800 globally and top 5 in South Africa.
19. Communications infrastructure and capability: brand equity developing, enabling of effective leader communication, strategic, leading-edge channels, appropriate content, media risk and opportunity constantly managed, integrated, optimally-participative, executive leadership-owned. Higher Education survey performance in top 5. Internal measure >80%
North-West University: Annual Performance and Strategic Plan 2016 5 FINANCIAL SUCCESS MODEL
1. Turnover mix (% of recurrent turnover) a. Subsidies (31%) b. Student fees (31%) c. Student accommodation and Food services (5%) d. Entrepreneurial (14%) e. Endowments and Donors (4%) f. State subsidised research (7%) g. Short courses (3%) h. Investment income (5%)
2. Growth in Turnover > 1,5% YoY real terms
3. Profitability/Reserves a. Net surplus on recurrent activities (7,2%) b. Student accommodation (full cost recovery and including provision for macro maintenance) (15%) c. Food services (full cost recovery) (15%) d. Short courses (after full cost recovery, which includes 20% indirect cost recovery for venues, use of equipment, library, systems, etc.) (20% net surplus) e. Entrepreneurial (after full cost recovery, which includes 20% indirect cost recovery for venues, use of equipment, library, systems, etc.) (10% net surplus)
4. Costs (% of recurrent turnover) a. Employees (49%) b. Operational (38%) c. Finance charges (1,8%) d. Depreciation (4%)
5. Balance sheet a. Gearing ratio (non-recurrent liabilities : equity) 13,7% b. Solvency (total liabilities : total assets) 26,5% c. Equity (available : total) 16,3% d. Return on Capital Employed (net current surplus : net assets) 9,7%
North-West University: Annual Performance and Strategic Plan 2016 6 EXTERNAL SUCCESS MODEL
1. Public sector reputation: Collaborative university, preferred partner for public projects, national imperative aligned, clearly distinguished role in national development projects, national debate and policy/regulatory influencer, public opinion shaping, responsive and accountable, valued national- regional-local asset, prime example of true transformation and nation building, value for money, ranked in top 5 in SA
2. Professional and Statutory bodies reputation (e.g. Health Professions Council of South Africa (HPCSA), South African Institute of Chartered Accountants (SAICA), South African Institute of Professional Accountants (SAIPA), Chartered Institute of Management Accountants (CIMA), Engineering Council of South Africa (ECSA), South African Nursing Council (SANC), association of MBAs (AMBA), Law Society of South Africa (LSSA), General Council of the Bar of South Africa, National Health Research Ethics Council (NHREC)): Unconditional accreditations (100%), standard- setting, leading contributor, preferential bursaries, beyond compliance (see Financial Success Model and Audits)
3. HE Professional bodies and Councils (e.g. Higher Education South Africa (HESA), Council on Higher Education (CHE), South African Qualifications Authority (SAQA), National Research Foundation (NRF), Human Sciences Research Council (HSRC), Medical Research Council (MRC), Agricultural Research Council (ARC)): Unconditional accreditations (100%), standard-setting, leading contributor, preferential funding, research collaboration, beyond compliance (see Financial Success Model and Audits)
4. Private sector (South Africa and Sub Saharan Africa)
a. Reputation: Preferred partner in contract research in selected areas, graduate professional development, life-long learning (short courses). Entrepreneurial, innovative, well-established and best-practice processes (licensing, patenting, collaborative platforms), ethical in sourcing income, high-performing graduates
b. Post-graduate bursaries sponsored by private sector > 40% of total post-graduate bursaries
c. Consistent growth in ventures and licensing agreements > 15% YoY
d. Mature, dynamic and influential Joint Ventures in all relevant disciplines as well as in all development clusters
e. National platforms hosted in all core strategic research/innovation areas
5. Communities (local and within chosen sphere of influence):
a. Reputation: caring, diverse, catering for the disabled, local community change instrument, involved, developmental, learning with communities, valued and responsive partner, leading contributor to social justice,
North-West University: Annual Performance and Strategic Plan 2016 7 b. Integrated with the third sector, Non-Governmental Organisations and community structures
c. Significant and growing footprint
6. Effective relationships with key stakeholder individuals (public sector, professional and statutory bodies, unions, media, community,, industry players/competitors): Ethical, professional, dispute/audit resolution, flagship reputation
7. Student Market (parents, prospective students, schools)
a. University of choice reputation based on: quality education, employability-creating qualifications, value-laden environment, diverse cultural experience, rich/diverse learning experience, social integration, full demographic access across school quintiles, healthy student life, caring residence environment, affordability, safety > 90%
b. Preferred relationship status at dynamic set of core feeder schools
8. Higher Education Sector reputation (International and National): a. Globally renowned for rated researchers worthy of attracting top scholars b. Recognised as a leading contributor to the African knowledge society c. The most responsive university to national imperatives in the South African HE Sector 9. Alumni, Donors, Convocation
a. Reputation: Brand promise congruent, proud to be associated with university, special and sustainable relationships with alumni and donors, strategic interfaces with alumni and donors, communicative and engaging
b. Willingness to send children to NWU
c. Consistent growth in endowments and donations
10. Strategic Business Relationships (key suppliers, core business partners, Public Private Partnerships, technology, local suppliers): Market-focused, edge-creating, developmental, risk-appetite enhancing, sustainable, ethical, beyond Black Economic Empowerment compliant, income-generating
11. Union relationships: fully engaged participants in the future of NWU based on a formal, dynamic compact delivering results, harmonious, co-operative and honest relationships
12. Media relationships:
a. Radio, television and print: Constructive engagement, reputation enhancing, balanced and accurate reporting, willingness to publish good news, balanced coverage of range of activities, pro-active engagement before reporting, NWU opinion leaders prominent
North-West University: Annual Performance and Strategic Plan 2016 8 b. Social and online media: active presence and engagement, database enriching and intelligence generating, reputation enhancing, integrated with marketing communications, integrated with research
NOTE ON MEASURES AND METRICS: Where measures and metrics have not been allocated to success measures these will be developed during the further strategy participation and institutional planning process.
2.5 Competitive strategy
The competitive strategy of the NWU will be to further strengthen and/or develop the following market differentiators:
1. Learning and teaching flagship programmes 2. Research and innovation flagship programmes 3. Technology 3.1. e-learning: technology supported multi-modal teaching and learning (including ODL) 3.2. e-research 3.3. e-business 4. NWU Brand enabled by marketing and communication, internationalisation, Vice-Chancellor as prominent brand ambassador, all staff in particular NWU leaders and leading academics, prominent alumni 5. Multi-campus value proposition
2.6 Strategic agenda
The strategic agenda for the NWU executive team is as follows:
1. Academic talent management 2. Learning and teaching innovation 3. Research and innovation acceleration 4. Financial viability improvement interventions 5. Field of study mix migration to SET and Commerce 6. ICT planning, investment, deployment and utilisation 7. Student access, retention and success advancement 8. Community integration, relevance and impact 9. Transformation acceleration 10. Institutional culture re-design and development – leadership, staff and students 11. Organisation structure and operating model re-design
2.7 Market direction decisions Decision 1: Grow student enrolment by > 1,5% year on year, with a priority on Science, Engineering and Technology (SET) and Commerce at each site whilst realising the significant opportunity for growth at Vanderbijlpark.
Decision 2: While realising growth in all fields of study, change the contact FTE mix in the fields of study through aggressive growth in SET, significant growth in Commerce and moderate growth in Humanities
North-West University: Annual Performance and Strategic Plan 2016 9 (including Education). This will change the ultimate contact FTE mix to SET 35% (from 32%, DHET expectation 30%), Humanities 35% (from 40,3%. DHET expectation 40%), Commerce 30% (from 27,4%, DHET expectation 30%).
Decision 3: Increase research and innovation intensity whilst simultaneously investing in innovative teaching and learning practices. This ultimately will direct the NWU from a balanced teaching learning and research university, towards an innovation and creativity-led university in all its core functions of research, teaching and learning with an increased postgraduate market focus.
Decision 4: Maintain the current campuses and centres and grow virtual access through investment in innovative teaching and learning.
Decision 5: Accelerate the rapid re-positioning of distance learning to reflect Decision 2 above with full undergraduate qualifications as well as to reflect decision 1 above. Integrate ODL programmes into faculties.
2.8 Student equity targets The following student equity targets have been approved until 2025:-
Contact 2015 2020 2025 MC PC VTC MC PC VTC MC PC VTC African 96.7% 21.8% 76% 95% 30% 77.2% 93% 44% 81% Coloured 0.9% 4.9% 1.4% 1% 7% 1.4% 1% 5.6% 1.4% Indian 0.5% 1.5% 1.8% 0.6% 2% 1.4% 0.6% 1.4% 2% White 1.8% 71.7% 20.6% 3.4% 61% 20% 5.4% 49% 15.6%
Distance African Coloured Indian White 2020 70% 3% 3% 24% 2025 71% 5% 7% 17%
2.9 Long term goals
Goal 1: Promote excellent learning and teaching and reposition the NWU to attain the size and shape required by the market direction decisions.
Goal 2: Intensify research and innovation.
Goal 3: Integrate and align community engagement with core activities (teaching and learning and research) and promote sustainability principles.
Goal 4: Develop a clearly differentiated student value proposition.
Goal 5: Develop and retain excellent staff and create an equitable staff and student profile.
Goal 6: Govern, lead and manage in a sustainable and transformed way with an effective operating model.
Goal 7: Develop best in class information and communications technology to support the core business.
Goal 8: Communicate, engage and develop core business capability to increase brand equity, leadership efficacy, and community solidarity.
North-West University: Annual Performance and Strategic Plan 2016 10 Goal 9: Ensure the financial sustainability of the NWU.
3 Updated situational analysis
Strategic assumptions refer to key trends, developments, anticipated significant events, important current realities that will continue or may intensify, as well as anticipated risks and opportunities that are likely to impact the University in the short-, medium- and long-term.
3.1 Performance environment
The following is a summary of the strategic assumptions and illustrates the extremely challenging and in certain respects, the hostile environment facing NWU over the next ten years (the assumptions have been developed afresh as part of the development of a new strategy for the NWU):
Market size and Undergraduate, postgraduate and international student demand growth growth
Customer segments Dominated by lower socio-economic status
More distance education likely Differentiation between vocational/technical Disabled increasingly important Customer value Well-known student expectations continue expectations Technology/blended learning expectations increasingly important Parent/sponsor expectations remain – high standards, traditions Government emphasis on access, success, transformation, employability, scarce skills production Business/Industry focus on work-readiness, partnerships Teaching and System expansion learning Funding limitations Tighter regulation Expansion of OER/MOOCs Research and High competitive intensity Innovation Internationalisation Favourable policy framework but bureaucratic and increasingly corrupt Migration from existing resource and service markets to knowledge economy Competition Global, increasingly intense, war for talent Reputation based on rankings, NDP support, transformation
The full set of common strategic assumptions are attached hereto as Annexure A.
North-West University: Annual Performance and Strategic Plan 2016 11 4 Legislative mandates
Name of legislative act Key responsibilities placed on NWU or policy The Constitution of The constitution enjoins the NWU to promote and protect the constitutional South Africa (1996) rights of members of the NWU and those with whom we deal. Higher Education Act The act regulates the establishment of universities and provides for how (101 of 1997) governance and management structures and offices are established. It also provides for the relationship with the Ministry. Numerous policy matters are determined in terms of the Act which directly affects how the NWU is governed and managed. Statute of the North- The statute describes the structure and functions of the NWU. West University (2005) Universities Act, 1955, This legacy legislation still governs issues of the recognition of prior formal the Joint Statute and learning and matriculation exemption in respect of candidates obtaining Joint Regulations non- NSC school leaving certificates. South African This act regulates the National Qualifications Framework and the Qualifications Act (58 of Higher Education Qualifications Sub Framework. 1995) Protection of Personal The act aims to protect personal information when the NWU collects, Information Act (4 of processes, stores and shares personal information. NWU will be held 2013) accountable in the event of the abuse or the compromise of personal information. Consumer Protection Act This act promotes the protection of consumers’ rights and places obligations (68 of 2008) on the NWU to respect consumers’ rights. Promotion of This act places an obligation on the NWU to give effect to the right that Administrative Justice administrative action must be lawful, procedurally fair and reasonable and Act (3 of 2000) that written reasons must be provided for administrative action as contemplated in section 33 of the Constitution. Promotion of Access to To give effect to the constitutional right of access to any information held by the Information Act (2 of NWU that is required for the exercise or protection of any rights; and to provide 2000) for matters connected therewith. The NWU is accountable to provide access to the information held by us, according to the prescriptions of the act. Labour Relations Act (66 This Act governs labour relations and was enacted - of 1995) · to give effect to section 27 of the Constitution; · to regulate the organisational rights of trade unions; · to promote and facilitate collective bargaining at the workplace and at sectorial level; · to regulate the right to strike and the recourse to lockout in conformity with the Constitution; · to promote employee participation in decision-making through the establishment of workplace forums; · to provide simple procedures for the resolution of labour disputes through statutory conciliation, mediation and arbitration (for which purpose the Commission for Conciliation, · Mediation and Arbitration is established), and through independent alternative dispute resolution services accredited for that purpose; · to establish the Labour Court and Labour Appeal Court as superior courts, with exclusive jurisdiction to decide matters arising from the Act; · to provide for a simplified procedure for the registration of trade unions and employers' organisations, and to provide for their regulation to ensure democratic practices and proper financial control; · to give effect to the public international law obligations of the Republic relating to labour relations; · to amend and repeal certain laws relating to labour relations; and · to provide for incidental matters
North-West University: Annual Performance and Strategic Plan 2016 12 Name of legislative act Key responsibilities placed on NWU or policy Patents Act (57 of 1978) This act regulates the registration, protection and enforcement of the university’s registered patents. Trade Marks Act (194 of To provide for the registration of trade marks, certification of trademarks and 1993) collective trademarks; and to provide for incidental matters. It also regulates the protection of the university’s registered trademarks. Copyright Act (98 of To regulate copyright and to provide for matters incidental thereto. This act 1978) gives the owner of a copyrighted work the exclusive right to perform certain specified acts in respect of his work, or to authorise others to do so, and therefore the right to prevent unauthorised persons from performing those acts. National Student Provides for the granting of loans and bursaries to eligible students at Financial Aid Scheme universities as well as for the administration of such loans and bursaries. Act (56 of 1999) To establish the National Student Financial Aid Scheme (NSFAS); to provide for the management, governance and administration of the NSFAS; to provide for the granting of loans and bursaries to eligible students at public higher education institutions and for the administration of such loans and bursaries; to provide for the recovery of loans; to provide for the repeal of the Provision of Special Funds for Tertiary Education and Training Act, 1993; and to provide for matters connected therewith. Skills Development Act Provides for the creation of a National Skills Agency, establishment of the (97 of 1998) Quality Council for Trade and Occupation and regulation of apprenticeships and learnerships and matters related to skills development. This Act was passed in order to develop and improve the skills of people in the workplace. The Act does the following: provides a framework for the development of skills of people at work builds these development plans/strategies into the National Qualifications Framework provides for learnerships that lead to recognised occupational qualifications provides for the financing of skills development by means of a levy-grant scheme and a National Skills Fund Skills Development Payment for progressive and continuous skills development of staff. Levies Act (9 of 1999) National Research To provide for the promotion of research, both basic and applied, and the Foundation Act (23 of extension and transfer of knowledge in the various fields of science and 1998) technology and indigenous technology; and for this purpose to provide for the establishment of a National Research Foundation; and to provide for incidental matters Employment Equity Act Employers are required by law to submit statutory employment equity reports; (55 of 1998) compile and implement an employment equity plan; conduct employment equity and diversity awareness training, compile workforce profiles which are representative of designated employees (Africans, Indians, Coloureds, White Women and People with Disabilities) amongst the economically active population. Basic Conditions of To give effect to the right to fair labour practices referred to in section 23(1) of Employment Act (75 of the Constitution by establishing and making provision for the regulation of basic 1997) conditions of employment; and thereby to comply with the obligations of the Republic as a member state of the International Labour Organisation; and to provide for matters connected therewith Compensation for To provide for compensation for disablement caused by occupational injuries or Occupational Injuries diseases sustained or contracted by employees in the course of their and diseases Act (130 of employment, or for death resulting from such injuries or diseases; and to 1993) provide for matters connected therewith Occupational Health and The Occupational Health and Safety Act aims to provide for the health and Safety Act (85 of 1993) safety of persons at work and for the health and safety of persons in connection with the activities of persons at work and to establish an advisory council for occupational health and safety
North-West University: Annual Performance and Strategic Plan 2016 13 Name of legislative act Key responsibilities placed on NWU or policy National Health Act (61 The Act aims to ensure access to equal health services by establishing a of 2003) national health system governing both public and private health services. The rights and duties of health practitioners are set out, and the right of children to basic nutrition and health care are protected, as well as the rights of vulnerable groups (e.g. women, older persons, and people with disabilities).
5 Annual Performance Plan and Key performance indicators 2016
5.1 Enrolment plan including student enrolment targets for 2016 The annual performance plan is based on the strategy outlined above. The minimum data required in terms of the reporting regulations are highlighted in grey in the plan. It should be noted that the financial goals, objectives and targets are provisional and are subject to approval by the Council of the NWU:-
North-West University: Annual Performance and Strategic Plan 2016 14 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 1 Goal 1: Promote excellent learning and teaching and reposition the NWU to attain the size and shape required by the market direction decisions. (Weight: 20%) 1.1 Promotion of excellence 1.1.1 Ensure that the 25% of 100% of 25% of Programmes that Programmes that DVC TL, in teaching and learning percentage of programmes programmes met programmes exceed minimum exceed minimum VRs will be evidenced by the programmes that exceeded minimum exceed minimum requirements requirements improvement in and achieve an overall minimum requirements in requirements in (30%). (30%). achievement of the evaluation of requirements in external peer external peer Programmes that Programmes that following objectives and "exceeds or meets external peer reviews reviews; meet meet requirements targets minimum reviews; 75% of 75% of requirements (70%) requirements" in programmes met programmes (70%) external peer reviews minimum meet minimum improves to the requirements in requirements in indicated percentage external peer external peer reviews reviews 1.1.2 Ensure that the 89% of lecturers Not available yet Develop an Process for 80% of lecturers 85% of lecturers DVC TL, percentage of scored an average appropriate development meet the meet the VRs lecturers with an of 75% or above instrument to of the online benchmark for an benchmark for an overall average obtain student lecturer acceptable acceptable student evaluation is feedback on evaluation aggregate rating. aggregate rating. greater than or equal lecturers, which instrument to 80% of the includes a defined. acceptable benchmark for benchmark. the percentage of lecturers who meet an acceptable aggregate rating (such as 75%. 1.1.3 Determine an No data No data Develop Employer Employer DVC TL, instrument and a appropriate satisfaction satisfaction (85%) VRs baseline to gauge metric and (80%) employer satisfaction. baseline for employer satisfaction as part of the development of an employability strategy.
North-West University: Annual Performance and Strategic Plan 2016 15 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 1.1.4 Improve employability Conduct first Develop a In upper quartile In upper quintile DVC TL, of NWU work-seeking institutional methodology to and >85% and > 90% VRs graduates to ensure graduate destination obtain reliable that the percentage of survey in order to information on graduates indicated develop database of the employability are employed or self- recent graduates. rate of graduates employed within 6 as part of the months of graduating development of (% ranking in HE in an employability SA) strategy. 1.1.5 Maintain the contact 85.90% Available after 84 to 86% N/A (Success 84 to 86% 84 to 86% DVC TL, student success rate HEMIS audit by rate VRs within the range of June 2016 determined the indicated after year end) percentages 1.1.6 Improve the distance 84.30% Available after Develop a valid N/A (Success Five-year Ten year success DVC TL, success rate of active HEMIS audit by methodology to rate success rate rate target VRs students to the June 2016 determine the determined target achieved. achieved. indicated percentage success rate of after year end) students in open distance learning that adheres to HEMIS reporting requirements - which determines the definition of active students' as well as targets for success rates.
1.1.7 Ensure that the 13% Available after 13% 13% 13% DVC TL, undergraduate first HEMIS audit by VRs year drop-out rate in June 2016 contact degree programmes does not exceed the indicated percentage.
North-West University: Annual Performance and Strategic Plan 2016 16 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 1.1.8 Ensure that the 43% Available after Hons 45% 45% DVC TL, percentage of HEMIS audit by VRs undergraduates in June 2016 contact degree programmes who complete in the minimum time improves to the rate indicated 1.1.9 Ensure that the 66% Available after 66% 70% 70% DVC TL, percentage of HEMIS audit by VRs undergraduates in June 2016 contact degree programmes who complete their degrees in minimum time plus two years improves to the indicated percentage 1.1.10 Ensure that the PG Dip: 17% Available after PG Dip: 17% PG Dip: 15% PG Dip: 15% DVC TL, overall drop-out rate Hons: 12% HEMIS audit by Hons: 12% Hons: 12% Hons: 12% VRs after the first year of June 2016 enrolment for contact postgraduate degrees below M level does not exceed the indicated percentage 1.1.11 Ensure that the PG Dip: 44% Available after PG Dip: 45% PG Dip: 47% PG Dip: 50% DVC TL, percentage of Hons: 65% HEMIS audit by Hons: 65% Hons: 65% Hons: 65% VRs postgraduates in June 2016 contact programmes below M level who complete their degrees in minimum time improves to or remains at the indicated percentage. 1.1.12 Ensure that the PG Dip: 78% Available after PG Dip: 78% PG Dip: 80% PG Dip: 80% DVC TL, percentage of Hons: 80% HEMIS audit by Hons: 80% Hons: 80% Hons: 80% VRs postgraduates in June 2016 contact programmes below M level who
North-West University: Annual Performance and Strategic Plan 2016 17 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person complete their degrees in minimum time plus two years improves to or remains at the indicated percentage. 1.1.13 Ensure that the M: 45% Available after M: 45% M: 50% M: 50% DVC TL, percentage of M and D: 35% HEMIS audit by D: 35% D: 40% D: 40% VRs D students who June 2016 complete their degrees in minimum time plus two years improves to or remains at the indicated percentage. 1.1.14 Ensure that the 32% Available after 30% 28% 25% DVC TL, overall non- HEMIS audit by VRs completion rate of June 2016 undergraduate students in contact degree programmes does not increase to more than the indicated percentage. 1.2 The repositioning of the NWU towards the market-direction decisions will take place by ensuring that the enrolment targets relating to size and shape (field of study), and success and efficiency measures are achieved. Key Performance Actual 2014 Target 2015 Target 2016 Mid year Indicators (and target strategies to achieve targets) 1.2.1 First-time entering DVC TL, A. Access undergraduates 9079 9932 11076 none VRs 1.2.2 Headcount 1.50% 1.50% DVC TL, enrolments (Total) VRs Headcount totals (Growth %) (2,6%) 63135 67435 69277 none Active marketing and 1.2.3 65% 65% DVC TL, recruitment will be utilised VRs to achieve enrolment Headcount targets enrolments (Contact) (59%) 37193 (58%) 39240 (61%) 42147 none 1.2.4 Headcount 35% 35% DVC TL, enrolments VRs (Distance) (41%) 25942 (42%) 28195 (39%) 27130 none
North-West University: Annual Performance and Strategic Plan 2016 18 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 1.2.5 Headcount DVC TL, enrolments VRs (Foundation provisioning) 2603 2945 3509 none 1.2.6 Headcount 75% 70% DVC TL, enrolments - total UG 49935 50284 52303 none VRs 1.2.7 Headcount 25% 30% DVC TL, enrolments - total PG (20,9%) 13200 (25,4%) 17150 (24,5%) 16973 none VRs Enrolments by Major 1.2.8 Science, Engineering, DVC TL, Field of study Technology (19,8%) 12483 (22,2%) 15002 (23,3%) 16109 none VRs 1.2.9 Science, Engineering, 35% 35% DVC TL, Technology (Contact) (32,3%) 12019 (36,4%) 14279 (36,7%) 15476 none VRs 1.2.10 Business / DVC TL, Management (16,2%) 10211 (15,7%) 10555 (16,6%) 11468 none VRs 1.2.11 Business / 27.50% 30% DVC TL, Management VRs (Contact) (27,4%) 10180 (25,9%) 10157 (25,5%) 10751 none 1.2.12 DVC TL, Education (45,0%) 28379 (42,2%) 28484 (40,0%) 27735 none VRs 1.2.13 12% 13% DVC TL, Education (Contact) (13,3%) 4945 (11,2%) 4388 (11,8%) 4981 none VRs 1.2.14 DVC TL, Other Humanities (19,1%) 12062 (19,9%) 13393 (20,2%) 13965 none VRs 1.2.15 Other Humanities 25.50% 22% DVC TL, (Contact) (27,0%) 10049 (26,5%) 10416 (26,0%) 10939 none VRs 1.2.16 Distance education DVC TL, enrolments 23434 24097 22754 none VRs 1.2.17 DVC TL, B. Success Graduates UG 10875 10350 10867 none VRs Academic support to 1.2.18 DVC TL, improve success rate Graduates PG 4379 5382 5666 none VRs 1.2.19 DVC TL, Success rate 85.41% 83.51% 83.62% none VRs Undergraduate output 1.2.20 DVC TL, by scarce skills Engineering 227 252 263 none VRs 1.2.21 Life and physical DVC TL, sciences 509 480 486 none VRs 1.2.22 Animal and human DVC TL, health 606 375 497 none VRs 1.2.23 DVC TL, Teacher education 5376 5334 5376 none VRs
North-West University: Annual Performance and Strategic Plan 2016 19 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person Academic support to 1.2.24 DVC TL, improve success rate Success rate 88.76% 86.67% 86.91% none VRs 1.2.25 Headcount of DVC TL, permanent VRs instructional / research professional C. Efficiency staff 1342 1381 1432 none 1.2.26 FTE of permanent DVC TL, instructional / VRs Instructional / Research research professional professional staff staff 1285 1470 1534 none 1.2.27 58% 65% DVC RIT, % Staff with doctoral VRs, ExDir degrees 52% 53% 51% none HC Subject to approval of 1.2.28 0 7 17 DVC TL, second cycle by the VRs DHET Number of nGap staff none 1.2.29 Ratio of FTE students DVC TL, to FTE Instructional / VRs Research staff 32.98 31.1 30.9 none 1.2.30 Increase the overall 5.86% 5.86% 10% 15% DVC TL, international student DVC RIT, enrolment to reflect VRs, ExDir the indicated IA percentage 1.2.31 Increase the number 26% 26% 26% 27% 27% CRs, ExDir of contact students in IA residences to reflect the indicated percentage 2 Goal 2: Intensify research and innovation. (Weight: 20%) 2.1 Increase research intensity as evidenced by the attainment of these objectives. D. Research output 2.1.1 Publication units per 1.25 1.5 DVC RI, VRs FTE staff 0.85 1.02 1.09 none 2.1.2 Research masters 550 650 DVC RI, VRs graduates 506 439 462 none 2.1.3 Doctoral graduates 171 158 173 none 200 250 DVC RI, VRs 2.1.4 Improve ranking: - 700+ group 700+ group <600 <500 DVC RI, VRs ranked in top 5 in SA and 500 globally (using an appropriate ranking / rating North-West University: Annual Performance and Strategic Plan 2016 20 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person system) within 10 years
2.1.5 Improve NWU QS 3 Stars 4 Stars 4-5 Stars 5 Stars DVC RIT, star rating VRs 2.1.6 Improve the number 145, 2/12/110 170, 3/15/127 160, 3/17/140 298, 15/93/190 average of top 5 in DVC RIT, of NRF rated RSA VRs researchers (total number, A/B/C rated) 2.1.7 Increase the number >10 projects per >12 projects per 15 new projects 55 new projects DVC RIT, of new contract year attracted year attracted per year per year attracted VRs research projects as attracted indicated 2.1.8 Increase the number new initiative, 2 3 established 5 established 6 established DVC RIT, of research / established themes themes, with 2 themes, with 3 themes, with 6 VRs innovation themes developed as developed as developed as across a growing innovation innovation innovation clusters number of research clusters clusters entities, across campuses and faculties as indicated 2.1.9 Continuously manage - 3 Centres of 3 new research 10 new research 10 new research DVC RIT, the research Excellence, 9 Units, entities, > 4 entities, >8 entities, >10 VRs management model 10 Focus Areas, 7 Centres of Centres of Centres of to ensure that the Niche Areas Excellence, > 9 Excellence, >15 Excellence, >18 number of research Units, > 10 Focus Units, >12 Focus Units, >15 Focus entities are increased Areas, > 7 Niche Areas, > 8 Niche Areas, > 10 Niche to the number Areas Areas Areas indicated 2.1.10 Increase the number - - 35 50 DVC RIT, of extraordinary VRs research professors including SARCHI, NWU and Industry chairs 2.1.11 Increase the number 155 170 180 230 280 DVC RIT, of post-doctoral VRs fellows to the number indicated 2.1.12 Investment in 0.6% 0.6% 0.6% 1.0% 1.5% DVC RIT, research VRs
North-West University: Annual Performance and Strategic Plan 2016 21 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person infrastructure (NWU co-funding allocation, % of NWU turn-over) 2.1.13 Increase the - 0 0 0.1% 0.2% DVC RIT, percentage of VRs strategic funds allocated to emerging cutting edge research and innovation fields to the percentage of NWU turn-over indicated (NWU co- funding allocation, % of NWU turn-over) 2.1.14 Establish criteria - First ratings done, Relevant targets NWU MIS and NWU MIS and DVC RIT, aligned with e.g. 52 NWU in 701+ group, and initiatives research research initiatives VRs QS criteria and align prepare for second formalised in initiatives aim to aim to address MIS and initiatives rating NWU MIS and address 90% of 100% of relevant accordingly. initiatives planned relevant international international benchmarking benchmarking initiatives initiatives 2.1.15 Increase new - - 40% 80% DVC RIT, academic staff VRs, ExDir recruited with NRF HC rating or equivalent to the percentage indicated 2.1.16 Increase - - Establish > 75% > 85% DVC RIT, interdisciplinary and benchmarks VRs trans-disciplinary collaborative research and innovation 2.2 Improve technology 2.2.1 Increase number of < 6 disclosures per > 12 disclosures per > 15 disclosures 18 per year 25 per year DVC RIT, transfer and innovation as disclosures to the year year min. of 12 per year VRs evidenced by the number indicated attainment of these objectives. 2.2.2 Increase number of 4 registrations 7 registrations in > 10 registrations >50 (Total) >100 (Total) DVC RIT, local patents to the pipe-line (30 Total) (40 Total) VRs number indicated North-West University: Annual Performance and Strategic Plan 2016 22 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 2.2.3 Increase number of (1 new (21 total 1st 5 new - 26 total 15 - 20 new; 40 / 30 - 40 new; 60 - DVC RIT, international patents internat. reg. 47 50 total 70 total VRs to the number countries)) indicated 2.2.4 Increase percentage 3 new patents 6 in pipe-line 15 new 60% 75% DVC RIT, of patents licensed to VRs the number indicated 2.2.5 Increase total number 15% 20% 25% 40 60 DVC RIT, of licensing VRs agreements to the number of agreements indicated 2.2.6 Increase number of 2 new (1 new) 5 new 25 new 40 new DVC RIT, spin-offs to the VRs number indicated 2.2.7 Increase number of none 1 new 5 new 10 companies / 15 companies / DVC RIT, incubations to the year year VRs number indicated 2.2.8 Increase number of none 1 new 5 new 10 companies / 15 companies / DVC RIT, student companies to year year VRs the number indicated 2.3 Increase second and third 2.3.1 Increase R2.0569 million R 2.9 million R3.5 million R 15 m / year R 25 m / year DVC RIT, stream income to achieve commercialisation Pending VRs the indicated targets. income to the income indicated 2.3.2 Increase number of 7 grants: >R 15 8 grants: >R13 10 grants: > R20 R 50 m / year R 80 m / year DVC RIT, innovation grants to Million million - some more million VRs the number (and still pending value) indicated 2.3.3 Improve patent R 2.135 million R 2.3 million R 2.5 million R 3 m / year R 3 m / year DVC RIT, subsidies to the value (pending) VRs indicated 2.3.4 Increase number of none 4 assisted - 10 Projects 20 per year 25 per year DVC RIT, assisted tenders to approximately R 20 VRs the number of million projects indicated 3 Goal 3: Integrate and align community engagement with core activities (teaching and learning and research) and promote sustainability principles. (Weight: 10%)
North-West University: Annual Performance and Strategic Plan 2016 23 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 3.1 Improve student 3.1.1 Increase percentage - - Finalise 10%>baseline 15%>baseline DVC TL, VRs engagement in work of programmes that monitoring and integrated learning include work- reporting system evidenced by attaining integrated learning and establish these objectives. and/or service baseline based learning based on the on an audit of availability of funding WIL and SL activities
3.1.2 Increase percentage Establish 10%>baseline 15%>baseline DVC TL, VRs of students baseline based participating in WIL on an audit of and SL programmes WIL and SL based on the activities. availability of funding. 3.2 Increase impact of 3.2.1 Measure and report Create database 20%>baseline 40%>baseline DVC RIT, research in community impact of percentage and establish VRs setting as evidenced by of activities baseline. the following measure. amounting to engaged research 3.3 Increase the number of 3.3.1 Increase number of Establish 20%>baseline 40%>baseline DVC RIT, community engagement activities reported on baseline. VRs activities and access to CE database to NWU expertise as demonstrate sharing indicated. of expertise with communities 3.3.2 Improve on access to Establish 20%>baseline 40%>baseline DVC TL, VRs university expertise baseline. by increasing the number of outreach programmes and requests handled 4 Goal 4: Develop a clearly differentiated student value proposition. (Weight: 5%) 4.1 Establish a differentiated 4.1.1 Improve satisfaction Establish metric, Improvement of Improvement of DVC TL, student value proposition, levels of students baseline and 10% on baseline 15% on baseline VRs evidenced by these with regard to the targets measures functionally multi- lingual language policy
North-West University: Annual Performance and Strategic Plan 2016 24 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 4.1.2 Ensure relevant Establish metric, Regular Regular monitoring DVC TL, academic support to baseline and monitoring and and review of VRs students to improve targets review of effectiveness of success: academic effectiveness of student support literacy support student support activities against becomes more activities against baseline and discipline specific; baseline and targets. improve quality of targets. reading laboratories; develop early warning, referral and tracking systems; optimise student peer support (mentoring, supplemental instruction and tutorials) 4.1.3 Provide effective Conduct baseline Regular Regular monitoring DVC TL, support systems for study to develop monitoring and and review of VRs students with system for review of effectiveness of disabilities support of effectiveness of support provided students with support provided to students with disabilities to students with disabilities disabilities
North-West University: Annual Performance and Strategic Plan 2016 25 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 4.1.4 Ensure that desired Use the Desired graduate Positive feedback DVC TL, graduate attributes curriculum reform attributes (80% or higher) on VRs are embedded in project to develop mapped against achievement of academic guidelines for the design and graduate attributes programmes embedding delivery of all in formal desired graduate programmes; programmes, attributes in Framework for through processes programmes; recognition of co- such as external Commence work curricular programme on the achievement in reviews, development of a the development professional body system to of graduate accreditation, and recognise attributes student feedback. involvement in approved and Positive feedback co-curricular implemented. from students activities as a (80% or higher) on basis for contribution of co- development of curricular activities graduate to development of attributes graduate attributes.
4.1.5 Ensure student Participate in Meet Meet benchmarks DVC TL, engagement South African benchmarks for for student VRs Survey of Student student engagement as Engagement engagement as determined by (SASSE) and determined by SASSE results determine SASSE results appropriate benchmarks for student engagement 4.1.6 Embed a value-laden - - Develop measure >75% >85% VC, DVC environment; of differentiated RIT, DVC TL, inculcate social student value CRs integration and proposition cohesion; achieve full demographic access across school quintiles; promote a caring residence
North-West University: Annual Performance and Strategic Plan 2016 26 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person culture; ensure affordability and safety.
5 Goal 5: Develop and retain excellent staff and create an equitable staff and student profile. (Weight: 10%) 5.1 Improve equity (staff and Student mix: NWU Contact & Distance; All Campuses students) in order to 5.1.1 African (%) 64.25% 70.06% (59,8%) 41427 (60%) 43402 CRs promote diversity at all 5.1.2 Coloured (%) 4.25% 4.82% (2,66%) 1842 (2%) 1305 CRs campuses. 5.1.3 Indian (%) 0.77% 0.73% (0,72%) 497 (1%) 560 << 2019 approved CRs enrolment targets 5.1.4 White (%) 28.16% 24.39% (36,82%) 25511 (38%) 27495 CRs 5.1.5 Female (%) 67.50% 67.22% (60,92%) 42206 (60,92%) 42206 CRs Student Mix: Predicted CRs Potchefstroom enrolment Campus Contact 5.1.6 African (%) 20.61% 21.83% (28,5%) 6796 (22,41%) 4896 30% 44% CRs
5.1.7 Coloured (%) 4.81% 4.93% (4,19%) 999 (4,39%) 959 7% 5.60% CRs 5.1.8 Indian (%) 1.30% 1.53% (1,43%) 340 (1,46%) 320 2% 1.40% CRs 5.1.9 White (%) 73.29% 71.69% (65,89%) 15712 (71,74%) 61% 49% CRs 15672 5.1.10 Female (%) 58.60% 57.95% (58,03%) 13838 (55,10%) 54.00% 50.00% CRs 12038 Student mix: CRs Mafikeng Campus Contact 5.1.11 African (%) 96.98% 96.69% (98,69%) 11223 (98%) 11 524 95% 93% CRs 5.1.12 Coloured (%) 0.92% 0.93% (0,42%) 48 (1%) 70 1% 1% CRs
5.1.13 Indian (%) 0.59% 0.50% (0,19%) 22 (0%) 23 0.60% 0.60% CRs 5.1.14 White (%) 1.49% 1.87% (0,69%) 79 (1%) 86 3.40% 5.40% CRs 5.1.15 Female (%) 56.29% 56.07% (55,26%) 6284 (55%) 6 338 53.00% 50.00% CRs Student mix: Vaal CRs Triangle Contact
5.1.16 African (%) 74.93% 76.76% (70,21%) 4864 (76,91%) 5135 77.20% 81% CRs
5.1.17 Coloured (%) 1.53% 1.62% (1,82%) 126 (1,68%) 112 1.40% 1.40% CRs 5.1.18 Indian (%) 1.84% 1.84% (1,39%) 96 (1,95%) 130 1.40% 2% CRs 5.1.19 White (%) 21.71% 19.77% (26,59%) 1842 (19,47%) 1300 20% 15.60% CRs
North-West University: Annual Performance and Strategic Plan 2016 27 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 5.1.20 Female (%) 63.07% 61.78% (61,22%) 4241 (61,40%) 4100 55.00% 50.00% CRs Student mix: CRs Distance 5.1.21 African (%) 84.73% 89.85% (68,35%) 18544 (87.3%) 31 70% 71% CRs 183 5.1.22 Coloured (%) 5.73% 6.42% (2,47%) 669 (8.5%) 3 036 3% 5% CRs 5.1.23 Indian (%) 0.16% 0.12% (0,14%) 39 (2%) 714 3% 7% CRs 5.1.24 White (%) 3.16% 3.61% (29,04%) 7878 (4.5%) 1 607 24% 17% CRs 5.1.25 Female (%) 80.04% 76.81% (57,8%) 24363 (75%) 26790 70.00% 50.00% CRs Employee mix: NWU As per Employment Equity Plan IM 5.1.26 Increase the 5.08% 5.4% 10% 15% DVC TL DVC percentage of RIT CRs international academic staff 5.2 Develop academics with 5.2.1 Increase the Establish VC, CRs, an open mind-set percentage of high- measure and ExDIR HC (nationally and performance baseline metric internationally), critical in academic staff thinking, respectful of the right to freedom of expression, commitment to and respect for the full scope of diversity, scholarship, commitment to students, active citizenry, good work-ethic 5.3 Develop support staff: 5.3.1 Increase the Establish VC, CRs, critical in thinking, percentage of high- measure and ExDIR HC freedom of expression, performance support baseline metric commitment to and staff respect for full scope of diversity, commitment to students, active citizenry, high-performance individuals 5.4 Increase the number of 5.4.1 Improve the Establish VC, CRs, staff who are fully engagement profile measure and ExDIR HC engaged and improve the (improve the baseline metric climate at all workplaces percentage of fully engaged staff
North-West University: Annual Performance and Strategic Plan 2016 28 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 5.4.2 Improve the Establish VC, CRs, workplace climate measure and ExDIR HC baseline metric 5.5 Organisational culture 5.5.1 Improve the culture Establish Average score of Average score of VC, CRs, enabled by leaders measure: conduct an measure and 4 or more on 5- 4.2 on Likert scale ExDIR HC through policies, organisational climate baseline metric point Likert scale implementation strategies survey on a three- and deliberate actions. year cycle to capture Culture evidenced by the various items that behaviours congruent are relevant for with ethics, trust, care, measurement of value-based collective organisational climate identity, integration, (frequency of cycle inclusiveness, depends on participation, outcomes of surveys) collaboration, innovation, valuing of academic freedom, learning, dedication to the core business, discipline, high- performance, joint and individual accountability, delivery of results, open and transparent communication, robust engagement, teamwork at leadership level, valuing of diversity, transformational. 5.6 Develop and maintain a 5.6.1 Improve the Establish ExDIR HC compelling employee assessment of NWU measure and value proposition as an employee with baseline metric a compelling EVP 6 Goal 6: Govern, lead and manage in a sustainable and transformed way with an effective operating model. (Weight: 5%) 6.1 Develop leadership and 6.1.1 Increase the number Establish IM leaders to become of leaders assessed measure and participative, distributed, as displaying the baseline metric inclusive, communicative, described attributes, decision-competent, behaviours and effective, results-driven, competences (%) to accept personal responsibility and joint
North-West University: Annual Performance and Strategic Plan 2016 29 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person accountability, to have a transformative outlook (personally and external contexts), innovative, coaching, leading commitment to diversity 6.2 Ensure environmental 6.2.1 Decrease the Establish reduce by 2% reduce by 2% p.a. DVC RIT practices and processes institutional carbon measure and p.a. which promote dioxide CO2 footprint baseline metric sustainability. (from energy use) 6.2.2 Decrease the Establish reduce by 2% reduce by 2% p.a. DVC RIT institutional carbon measure and p.a. dioxide CO2 footprint baseline metric (emanating from travel) 6.2.3 Decrease the Establish reduce by 4% reduce by 4% p.a. DVC RIT institutional water measure and p.a. consumption baseline metric 6.2.4 Increase waste Establish reduce by 2% reduce by 2% p.a. DVC RIT recycling and re-use measure and p.a. baseline metric 6.2.5 Maintain and improve 2015 baseline for maintain or grow maintain or grow DVC RIT indigenous bio- environmental by 1% p.a. by 1% p.a. diversity (eco-system compliance: % services) indigenous species 6.3 Ensure compliance with 6.3.1 Enhance levels of Compliance audit Establish measure 100% 100% 100% IR general and Higher compliance across all results and baseline metric Education sector specific levels of the legislation, policies and University other regulatory 6.3.2 Utilise internal and IR instruments and external audit results procedures. for continuous improvement 100% implementation of all previous recommendations 6.3.3 Ensure continuous IR alignment of internal policies and practices with national Establish measure legislation and baseline metric North-West University: Annual Performance and Strategic Plan 2016 30 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 6.3.4 Create a strong IR information governance framework conducive to the establishment of risk and business Establish measure continuity and baseline metric 6.4 Develop strategic 6.4.1 Implement an Establish IR intelligence accessible for institutional research measure and scenario development, and business baseline metric trend analysis, strategic intelligence measure decision-making and (external expert integrated planning and verified) (%) reporting, best-in-class analytics incl. intelligent 6.4.2 Improve the NWU Top 2000 Top 1000 Top 800 ExDir IA systems capability, real- performance on the time reporting enabled, Webometrix global accurate and reliable ranking scale (no) information, integrated and single data set, 6.4.3 Improve the NWU 9 7 5 ExDir IA qualitative analysis performance on the enabled Webometrix SA ranking scale(no)
7 Goal 7: Develop best in class information and communications technology to support the core business. (Weight: 5%) 7.1 Improve the balance of 7.1.1 Measure and improve Establish 20%,30%,50% 30%,40%,30% DVC RIT eResearch, eLearning the balance (based baseline and eBusiness on maturity, budget enablement form the allocation and current balance of 4%, number/size of 25%, 71%. projects and by benchmarking against 5 top SA universities and Educause). 7.2 Improve the balance of 7.2.1 Measure and improve Establish 65%,25%,10% 60%,27%,13% DVC RIT information technology the balance (based baseline input and effort towards on budget allocation, running, growing and services, people transforming the business responsible, and the division of projects
North-West University: Annual Performance and Strategic Plan 2016 31 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person from the current balance into the three areas of 75%, 20%, 5%. and benchmark against the top five South African universities and Educause). 7.3 Optimise the balance of 7.3.1 Determine the current Establish t.b.d. t.b.d. DVC RIT Open Source, Closed distribution and baseline Source, Cloud, benchmark against Outsourced and the top five South Insourced resources. African universities, and Educause and Gartner benchmarks. 7.4 Increase the efficacy of 7.4.1 Develop appropriate Establish t.b.d. t.b.d. DVC RIT client communications. metric. baseline 7.5 Improve the information 7.5.1 Include engagement Establish t.b.d. t.b.d. DVC RIT technology engagement enhancement as part baseline effort. of the KPA's of staff members and commence with measurement of engagement effort and outcomes. 7.6 Improve service delivery 7.6.1 Improve the number Establish t.b.d. t.b.d. DVC RIT of calls closed. baseline Increase feedback on calls. Reduce comebacks. Employ annual surveys of students and staff. 7.7 Balance user needs and 7.7.1 Ensure that product Establish t.b.d. t.b.d. DVC RIT project requests with the and project portfolios baseline institutional information meet institutional technology capacity. needs. Increase transparency and openness in terms of capacity. Develop appropriate metrics. 7.8 Increase the 7.8.1 Establish a baseline Establish t.b.d. t.b.d. DVC RIT empowerment of students and metric. baseline and staff in the effective
North-West University: Annual Performance and Strategic Plan 2016 32 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person use of information technology. 7.9 Improve the uptime of 7.9.1 Categorise different Establish t.b.d. t.b.d. DVC RIT information technology systems in terms of baseline systems. "time to restore" and "data loss" (1h/1h, 1day/1day, 1week/1week) and establish baseline. 7.10 Implement modern 7.10.1 Develop benchmark Establish 60% 80% DVC RIT information technology based on the top five baseline principles, architectures, South African frameworks and open universities and standards. Educause and Gartner benchmarks. 7.11 Develop 10 year ICT 7.11.1 Develop benchmarks Developed new ICT Refine > 75% in > 85% in DVC RIT rolling plan to improve and metrics to strategy based on benchmarks for appropriate appropriate planning, investment, monitor the plan. success model and new plans student & staff student & staff deployment and peer evaluation of IT survey survey utilisation: specifically: dept (2014) define the ideal state (from success model) and best-benefit strategy including optimal investment levels; inculcate an ICT partnership model, with a view to ensure openness towards innovations (ensuring a competitive edge); optimize ICT to provide business value through technology (versus providing technology to the business); create a seamless student ICT experience 8 Goal 8: Communicate, engage and develop core business capability to increase brand equity, leadership efficacy, and community solidarity. (Weight: 5%)
North-West University: Annual Performance and Strategic Plan 2016 33 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 8.1 Develop a 8.1.1 Develop brand equity Conduct brand 85% adherence 95% adherence ExDIR IA communications by ensuring audit and infrastructure capable of adherence to mother establish baseline developing brand equity, brand by business enabling of effective units. leader communication, 8.1.2 Enable effective Conduct initial 75% of 90% must adhere IM strategic, leading-edge leader baseline survey leadership must channels, appropriate communication: to establish reach these content, media risk and measure targets in their opportunity constantly individual job managed, integrated, performance optimally-participative, 8.1.3 Develop and refine Conduct initial Increase success Increase success ExDIR IA executive leadership- strategic leading- baseline survey rate by 15% rate by 20% owned. edge communication to establish channels: measure
8.1.4 Develop appropriate Conduct an initial Develop and Develop and ExDIR IA internal and external survey distribute distribute content and appropriate appropriate communication content content according needs. according to to content survey, content survey, re-evaluate and re-evaluate and adjust targets adjust targets accordingly – 10% accordingly – increase in 10% increase in success rate success rate 8.1.5 Constantly manage Identify Identify ExDIR IA media risk and opportunities and opportunities and opportunities. distribute distribute appropriate appropriate content content 8.2 Improve external image 8.2.1 Increase percentage Increase > 5% Increase >20% Increase >40% VC, DVC and reputation of NWU as of post-graduate RIT, DVC TL, a collaborative university bursaries sponsored CRs and preferred partner in by private sector as the public and private proportion of total sector and in post-graduate communities; preferred bursaries
North-West University: Annual Performance and Strategic Plan 2016 34 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person partner of schools in 8.2.2 Ensure consistent - - 5% growth 10% growth YoY > 15% growth YoY DVC RIT, locality growth in ventures ExDIR FF and licensing agreements > 15% YoY 8.3 Improve special and 8.3.1 Employ Universum . Develop Increase Increase ExDIR IA sustainable relationships survey and existing appropriate communication communication with alumni and donors, channels, and alumni metric and with alumni by with alumni by develop strategic surveys to develop baseline 30% from 30% from 5 year interfaces with alumni and baseline and metrics baseline baseline donors; and develop communicative and engaging channels 8.4 Increase number of 8.4.1 Conduct survey none new initiative Conduct survey - Repeat survey Repeat survey and DVC RIT, alumni who prefer to send among parents of in 2016 and use and aim for a aim for a 10% DVC TL, CRs their children to the NWU. potential students Universum 2014 10% improvement and/or alumni from results improvement the appropriate age group 8.5 Ensure consistent growth 8.5.1 Audit the current ±1,2% of current Repeat audit and Repeat audit and VC, ExDIR in endowments and funds received and NWU income increase % of increase % of FF donations determine strategies results from income based on income based on to grow. donations. benchmarking benchmarking Participation in against other against other 2015 ASPIHE universities universities survey among higher education institutions in SA. Implement alumni giving campaign
North-West University: Annual Performance and Strategic Plan 2016 35 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 8.6 Media relationships: 8.6.1 Radio, television and Establish media Annually Annually compare ExDIR IA Radio, television and print: Analyse the monitoring compare media media monitoring print: Constructive media monitoring reports baseline monitoring reports and adjust engagement, reputation reports and identify reports and targets enhancing, balanced and gaps, risks and adjust targets accordingly. Aim accurate reporting, opportunities. accordingly. Aim for R500 000 worth willingness to publish Update experts on for R500 000 of more positive good news, balanced web, promote these worth of more publicity coverage of range of experts and opinion positive publicity (advertising activities, pro-active leaders, and (advertising equivalent). NWU engagement before proactively monitor equivalent). experts quoted reporting, NWU opinion news to push NWU experts 10% more in the leaders prominent Social publicity/good news. quoted 10% media and online media: active more in the presence and media. engagement, database enriching and intelligence generating, reputation enhancing, integrated with marketing communications, integrated with research 8.6.2 Social media: Use Use 2014 Social Conduct audit Conduct audit ExDIR IA information from media audit to again and ensure again and ensure social media audit to establish baseline that 100% of that 100% of close unnecessary metric official NWU official NWU social accounts, merge social media media accounts accounts, ensure accounts audited are brand conformity, audited, are aligned, trained train account aligned, trained administrators and administrators and administrators policy approved determine overall and policy and reviewed NWU voice on social approved and media and establish reviewed policy and guidelines on social media 9 Goal 9: Ensure the financial sustainability of the NWU. (Weight: 20%) 9.1 Change the proportion of elements in the turnover mix to the percentage of recurrent turnover indicated. * - Figures not final 9.1.1 Subsidies: recurrent 39,6%* 43% 37,5% 35% ExDIR FF turnover (%)
North-West University: Annual Performance and Strategic Plan 2016 36 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person 9.1.2 Student fees: 31.20%* 30,5% 28,5% 28,5% ExDIR FF recurrent turnover (%) 9.1.3 Student 8% 7,5% 7,5% ExDIR FF accommodation and Food services income: recurrent turnover (%) 9.1.4 Entrepreneurial 12% 13% ExDIR FF income: recurrent turnover (%) 9.1.5 Endowments and 1,3%* 1% 1,5% 1,8% ExDIR FF donations: recurrent turnover (%) 9.1.6 State research 7,4%* 6% 7% 7% ExDIR FF subsidies: recurrent turnover (%) 9.1.7 Short course fees: 1% 2% 3% ExDIR FF recurrent turnover (%) 9.1.8 Investment income: 3,7%* 3,5% 4,5% 4,7% ExDIR FF recurrent turnover (%) 9.2 Optimise and expand 9.2.1 Independent none new initiative Plan evaluation - >75% >85% DVC RIT, income streams (e.g. evaluation by expert and > 65% in first DVC TL, short-course panel evaluation; ExDIR FF, intensification, optimise appropriate CRs on-campus and off- criteria campus student mix (in line with enrolment plan) to maximise income, market related student fees, optimal use of blended learning and infrastructure, development of entrepreneurial/innovation income (invest in support capacity to optimise quality of business plans and proposals), strengthen contract
North-West University: Annual Performance and Strategic Plan 2016 37 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person research capability, develop strategic business relationships with view on income- generation and international funding opportunities, investment income maximisation, aggressive strategy to attract donation / endowment income)
9.3 Optimise subsidy eg by 9.3.1 Develop criteria and - - Models Planning models Planning models DVC RIT, designing programmes to model, aligned with developed used consistently used consistently DVC TL, CRs derive maximum subsidy the success model. through research outputs and ODL programmes 9.4 Expand the short- and 9.4.1 Ensure DVC TL, CRs medium term open and governance distance learning income arrangements are stream opportunities in place; engage in new contracts to generate income (in line with strategy); build forecasts and set firm targets. 9.5 Achieve growth in 9.5.1 Percentage turnover 3% 1,5% 1,5% 1,5% turnover to be greater growth year on year than 1,5% year on year in in real terms real terms. 9.6 Achieve the following percentages for profitability and reserves. ExDIR FF Net surplus on recurrent 9.6.1 Net surplus on 3.2% 2% 4% 5,2% ExDIR FF activities (7,2%) recurrent activities (%) Student accommodation 9.6.2 Net surplus from Develop models Planning models Planning models ExDIR FF (full cost recovery and student (2016 to 2017) used used consistently. including provision for accommodation consistently. income after full cost
North-West University: Annual Performance and Strategic Plan 2016 38 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person macro maintenance) recovery and (15%) including provision for macro maintenance (%) Food services (full cost 9.6.3 Net surplus from food Develop models Planning models Planning models ExDIR FF recovery) (15%) services income after (2016 to 2017) used used consistently. full cost recovery (%) consistently. Short courses (after full 9.6.4 Net surplus from Develop models Planning models Planning models ExDIR FF cost recovery, which short course fees (2016 to 2018) used used consistently. includes 20% indirect cost after full cost consistently. recovery for venues, use recovery (%) of equipment, library, systems, etc.) (20% net surplus) Entrepreneurial (after full 9.6.5 Net surplus from Develop models Planning models Planning models ExDIR FF cost recovery, which entrepreneurial (2016 to 2017) used used consistently. includes 20% indirect cost income after full cost consistently. recovery for venues, use recovery (%) of equipment, library, systems, etc.) (10% net surplus) 9.7 Implement infrastructure Include as part of all Include link to Introduce space Proper ExDIR FF policy that focuses on infrastructure strategic charges in 2018; infrastructure optimal space recommendations initiatives and include financial management management and link submitted to IM and space norm viability analysis system in place as requests to strategic Council committees. compliance as in 2019. part of integrated initiative and financial part of all planning model. viability analysis, as well infrastructure as space norms. recommendations (IM and Council); analyse current space allocations to determine under/ over- provision. (2016 to 2017) 9.8 Achieve the following proportions of costs as a percentage of recurrent turnover. Employees (49%) 9.8.1 Employee cost: 50,9% 51,5% 50% 49,5% ExDIR FF recurrent turnover (%)
North-West University: Annual Performance and Strategic Plan 2016 39 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person Operational (38%) 9.8.2 Operational cost: 41,4% 42% 41% 40% ExDIR FF recurrent turnover (%) Finance charges (1,8%) 9.8.3 Finance cost: 0,4% 0,4% 1% 1,3% ExDIR FF recurrent turnover (%) Depreciation (4%) 9.8.4 Depreciation: 4,1% 4,1% 4% 4% ExDIR FF recurrent turnover (%) 9.9 Review costs and Update financial Evaluate 20% of Proper financial DVC TL, increase cost viability model modules and / or viability process / DVC RIT, IR, effectiveness (review with 2015 results programme model in place and ExDIR FF, non-viable programmes and evaluate combinations per used consistently CRs and non-core activities, 20% of modules annum. in decision making. implement cost-effective and / or management model, programme review and improve combinations. efficiencies) 9.10 Achieve a stronger focus Implement as Planning models Planning models ExDIR FF, on income part of the used used consistently. CRs generating/self-funding vs reviewed consistently. cost absorption/budget budgeting model allocation in mind-set, in 2017 for the policies and practices. 2018 budget Integrate with budgeting model 9.11 Achieve the following proportions on the balance sheet. Gearing ratio (non- 9.11.1 Non-recurrent 30,8% 30% 24,7% 19,7% ExDIR FF recurrent liabilities : liabilities: equity (%) equity) 13,7% Solvency (total liabilities : 9.11.2 Total liabilities: total 37,4% 35% 34% 30,5% ExDIR FF total assets) 26,5% assets (%) Equity (available : total) 9.11.3 Available equity: total 2,8% 4% 7,6% 11,5% ExDIR FF 16,3% equity (%) Return on Capital 9.11.4 Net current surplus: 5,2% 4,5% 6,1% 7,5% ExDIR FF Employed (net current net assets (%) surplus : net assets) 9,7% 9.12 Optimise the capital 9.12.1 Approved strategy Review reserve Approved Comply with ExDIR FF structure of the university and governance in policy and strategy in place. targets set out in by determining the best place. accumulated strategy. mix of debt, equity and leave policy. internal financing in order North-West University: Annual Performance and Strategic Plan 2016 40 No Goals Objectives 2014 actual data 2015 actual data 2016 objective 2016 mid year 5-year target 10-year target Responsible objective (2020) (2025) person to increase gearing for and investment in core business
North-West University: Annual Performance and Strategic Plan 2016 41 5.2 Earmarked grants
Table 2: Earmarked grants (funding envelopes and infrastructure projects
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North-West University: Annual Performance and Strategic Plan 2016 43 6. Overview of 2016 budgets, cash flow and MTEF estimates
6.1. Budget process and overview
6.1.1. Budget process
The aim during the budget process is to ensure through proper processes and structures that the distribution of NWU resources is aligned, equitable and transparent to support the core business strategies of the NWU and in doing so, to ensure financial sustainability. Each budget unit (three campuses and the Institutional Office) takes ownership of its own budget and has a budget committee that oversees the budget process of the budget unit. The Institutional Budget Committee (with representatives from all the budget units) is the committee that recommends the budget to the Institutional Management team, which approves the budget and recommends it to the Finance Committee. The Council finally approves the budget at the recommendation of the Finance Committee. The NWU budget process is thus an interactive process whereby different levels of management take ownership and participate actively in compiling the budget for the next year, taking into account the trends of the past, risks and concerns, benchmarking as well as future goals/plans.
The budget was compiled per budget unit based on ratios (expenses measured as percentage of core business income, which is tuition and subsidy) with a break-even budget (in income stream 1 and 4) on a cash flow basis as a goal. The following ratios were used as steering mechanisms:
Contribution towards the shared cost of the Institutional Office as percentage of core business income Staff cost as percentage of income Operating cost as percentage of income Capital cost as percentage of income Strategic expenses, such as new personnel cost fund, strategic fund, infrastructure expense, macro maintenance expense as percentages of core business income
The ideal remains that the ratios will be used to steer the NWU towards the ideal combination of income and expenses, not only for the NWU as a whole, but also per budget unit and also on lower levels, with the main purpose of ensuring financial sustainability in the long term for NWU.
6.1.2. Budget baseline
Equitable and transparent resource allocation which is aligned with the Institutional Plan is a key factor to ensure that agreed outputs are achieved. As the strategy team is busy finalising the new strategy for the NWU the mission elements in the current Institutional Plan cascaded down into goals and action plans, were used as baseline during the budget process.
6.2. Assumptions used in preparing the budget
6.2.1. General assumptions used for 2016 budget
North-West University: Annual Performance and Strategic Plan 2016 44
6.2.1.1. The new Institutional Plan, should the new NWU strategy be approved, will take effect in 2017. This means that the Budget for 2016 were based on the existing Institutional Plan.
6.2.1.2. The recommended expenses provide for the increase in inflation rate and where applicable for the decrease in the value of the rand.
6.2.1.3. Subsidy income was calculated according to the Funding Framework as per the Ministerial Statement on University Funding – November 2014. The funding allocated to stand in for the no fee increase short fall was taken into account from 2016.
6.2.1.4. Tuition fees were not increased by an annual percentage. The carry-through of the differentiated premium on first year modules that was implemented for the past three years (2013 – 2015) was also not implemented further as from 2016.
6.2.1.5. All budget units had to prepare an integrated budget (all income streams).
6.2.1.6. As from 2015 a book entry is made in the financial records to transfer the contribution from external funds (income streams 2, 3 and 5) to income stream 1. The result thereof is that only income stream 1 (subsidy and tuition fee) and income stream 4 (investment income) were taken into account to get to a break-even cash flow budget.
6.2.1.7. The goal was to maintain the 2015 expense ratios as listed in 5.1.1.
6.2.2. Assumptions used in 2017-2018 forecast
6.2.2.1. Subsidy block grant will increase each year with the 2016/2017 percentage as per Ministerial Statement on University funding - November 2014 = 5,5%. The additional funding received for the no tuition fee increase short fall will increase with the same percentage as the block grant.
6.2.2.2. Subsidy earmarked grants will increase each year with the 2016/2017 percentage as per Ministerial Statement on University funding - November 2014 = 4,8%
6.2.2.3. NWU will maintain its share in the sector.
6.2.2.4. Student growth = 2% each year based on the budgeted 2016 student numbers.
6.2.2.5. Tuition fees were increased by an annual percentage of at least 9,5% for 2017 and 2018. The carry-through of the differentiated premium on first year modules that was implemented for the past three years (2013 – 2015) were not taken into account for 2016. The continuation of the premiums were taken into account for 2017 and 2018. The table below summarise the original planned phased in process. The implementation of the annual tuition fee increase and the premiums were flagged as high risk income items in the revised APP, if DHET continue to regulate tuition fee increases.
North-West University: Annual Performance and Strategic Plan 2016 45
6.2.2.6. Rental income (included staff residences) increase each year with 5,5%
6.2.2.7. State research contracts and specifically THRIP funding (specifically funded activities – restricted) decreased over the past years. In the forecast a net increase of 3% was used (combination of decrease in funds and a CPI increase).
6.2.2.8. Residences on Potchefstroom and Mafikeng Campuses are on full capacity, a growth of 5% each year on Vaal Triangle Campus is included in the forecast.
6.2.2.9. The initial planned 2016 percentage fee increases in residences and meals fees are used for 2017 and 2018.
6.2.2.10. The interest on student debtors is 1,6% of tuition fees (same as 2016 budget).
6.2.2.11. Personnel cost: Growth in current structure from 2016 to 2017 = 8,4% (including COLA, IRR, Promotions) minus new management model savings of 1% for 2017 and another 1% for 2018 as part of roll-out process. A further 0,5% of recurrent income need to be saved in 2018 to contribute to the increase in the surplus as percentage of recurrent income. The result is no new staff cost fund for 2017.
6.2.2.12. Cleaning contract: No extension on services - only maintain contract. Increase each year (as in current contract) = 7%
6.2.2.13. Security contract: No extension on services - only maintain contract. Increase each year (as in current contract) = 8%
6.2.2.14. Other contracts: No extension on services - only maintain contract. Increase each year (as in current contract) = 8%
6.2.2.15. Maintenance increase each year with 6,5%
6.2.2.16. Rates and utilities increase each year with 10%
6.2.2.17. In the cash flow projection the tuition fees were adjusted downwards with 5% to accommodate the cash flow decrease because of the increase in bad debts.
North-West University: Annual Performance and Strategic Plan 2016 46
6.2.2.18. Capital fund for buildings and macro maintenance will be provided for in total due to affordability, and pending the highest priorities. There may be a deviation / transfer between buildings and macro maintenance.
6.2.2.19. Strategic fund is maintained (there MAY be a shift from operating cost to personnel cost – refer to 5.2.2.11).
6.2.2.20. Bad debt will not increase beyond the level than provided in 2016.
6.2.2.21. Currency will not depreciate any further than in 2015.
6.3 Budget for the period 2015 to 2018
Table 3: Consolidated budget: 2015 – 2018
COUNCIL CONTROLLED: UNRESTRICTED SPECIFICALLY FUNDED ACTIVITIES: RESTRICTED STUDENT AND STAFF HOUSING TOTAL BUDGET 2015 2016 2017 2018 2015 2016 2017 2018 2015 2016 2017 2018 2015 2016 2017 2018 R'000 R'000 R'000 R'000 R'000 R'000 R'000 R'000 R'000 R'000 R'000 R'000 R'000 R'000 R'000 R'000 TOTAL INCOME 2 960 103 3 134 746 3 362 212 3 630 886 166 107 145 561 147 158 151 219 289 569 318 658 364 813 380 015 3 415 779 3 598 965 3 874 183 4 162 121 STATE GRANTS 1 292 268 1 459 697 1 539 981 1 624 680 - - - 17 053 17 991 1 292 268 1 476 751 1 557 972 1 624 680 EARMARKED STATE GRANTS 60 333 60 784 63 701 66 759 - - - - 60 333 60 784 63 701 66 759 TUITION FEE PREMIUMS 44 589 67 406 - - 44 589 67 406 TUITION FEE ANNUAL INCREASE 116 810 247 396 - - 116 810 247 396 TUITION AND OTHER FEES 1 203 265 1 204 323 1 229 576 1 257 781 - - - - 1 203 265 1 204 323 1 229 576 1 257 781 RENTAL INCOME 20 667 21 244 22 412 23 645 - - - - 20 667 21 244 22 412 23 645 INCOME FROM CONTRACTS, GRANTS & DONATIONS 87 757 63 003 45 274 46 345 149 540 129 053 130 904 134 563 - - 237 297 192 056 176 178 180 909 RESIDENCES - STAFF - - - - 3 263 3 274 3 454 3 644 3 263 3 274 3 454 3 644 STUDENT ACCOMMODATION FEES AND MEALS - - - - 286 306 298 331 343 367 376 371 286 306 298 331 343 367 376 371 SALES OF GOODS AND SERVICES 190 796 215 355 195 940 200 577 13 130 13 842 13 508 13 828 - - 203 926 229 197 209 449 214 405 INVESTMENT INCOME 105 017 110 340 103 928 96 297 3 437 2 665 2 745 2 828 - - 108 454 113 005 106 673 99 125 LESS: TOTAL EXPENDITURE 2 975 732 3 174 146 3 388 499 3 632 018 145 048 133 433 134 897 138 620 237 370 260 544 297 029 308 413 3 358 150 3 568 123 3 820 426 4 079 051 PERSONNEL COST: ACADEMIC 954 126 1 009 105 1 082 328 1 159 032 14 334 13 178 13 322 13 690 - - 968 461 1 022 283 1 095 651 1 172 722 PERSONNEL COST: NON-ACADEMIC 816 052 863 075 925 702 991 306 23 789 21 870 22 110 22 720 35 158 35 580 40 733 42 430 874 999 920 524 988 544 1 056 456 CONTRACTS - CLEANING 16 605 17 348 18 562 19 861 - 10 11 12 15 961 18 127 19 396 20 753 32 566 35 485 37 969 40 626 CONTRACTS - SECURITY 19 012 17 481 18 879 20 390 - 5 5 6 2 990 4 669 5 042 5 446 22 002 22 155 23 927 25 841 CONTRACTS - OTHER 10 815 15 419 16 652 17 985 - 3 3 3 795 2 035 2 198 2 374 11 611 17 457 18 853 20 361 MAINTENANCE 99 035 132 483 141 094 150 266 3 738 3 581 3 814 4 062 25 523 19 736 21 019 22 385 128 296 155 800 165 927 176 713 RATES AND UTILITIES 71 153 77 539 85 293 93 822 - - 31 699 45 926 50 518 55 570 102 852 123 464 135 811 149 392 OTHER OPERATING EXPENSES 834 297 918 281 983 588 1 062 757 103 187 94 787 95 632 98 128 119 555 129 647 153 852 155 999 1 057 039 1 142 715 1 233 072 1 316 885 DEPRECIATION 140 600 116 200 116 400 116 600 - - - - 140 600 116 200 116 400 116 600 FINANCE CHARGES 14 036 7 216 - - - - 5 689 4 824 4 271 3 455 19 726 12 040 4 271 3 455 RECURRENT SURPLUS -15 629 -39 400 -26 287 -1 132 21 060 12 128 12 261 12 599 52 198 58 115 67 784 71 603 57 629 30 842 53 757 83 070 NON-RECURRENT INCOME 1 296 1 252 1 300 1 300 - - - - 1 296 1 252 1 300 1 300 SURPLUS FOR THE YEAR -14 333 -38 148 -24 987 168 21 060 12 128 12 261 12 599 52 198 58 115 67 784 71 603 58 925 32 094 55 057 84 370 -14 333 -38 148 -24 987 168 21 060 12 128 12 261 12 599 52 198 58 115 67 784 71 603 58 925 32 094 55 057 84 370
North-West University: Annual Performance and Strategic Plan 2016 47
6.4 Cash flow projections
Table 4: Cash flow projections of revenue and expenditure for years 2016 – 2018
2016 2017 2018 R'000 R'000 R'000 REVENUE (A): 3 538 749 3 812 704 4 099 232 STATE GRANTS 1 476 751 1 557 972 1 624 680 EARMARKED STATE GRANTS 60 784 63 701 66 759 TUITION FEE PREMIUMS - 44 589 67 406 TUITION FEE ANNUAL INCREASE - 116 810 247 396 TUITION AND OTHER FEES 1 144 107 1 168 097 1 194 892 RENTAL INCOME 21 244 22 412 23 645 INCOME FROM CONTRACTS, GRANTS & DONATIONS 192 056 176 178 180 909 RESIDENCES - STAFF 3 274 3 454 3 644 STUDENT ACCOMMODATION FEES AND MEALS 298 331 343 367 376 371 SALES OF GOODS AND SERVICES 229 197 209 449 214 405 INVESTMENT INCOME 113 005 106 673 99 125 EXPENDITURE (B): 3 588 792 3 913 678 4 182 986 PERSONNEL COST 1 904 874 2 042 089 2 182 441 CONTRACTS - CLEANING 35 485 37 969 40 626 CONTRACTS - SECURITY 22 155 23 927 25 841 CONTRACTS - OTHER 17 457 18 853 20 361 MAINTENANCE 155 800 165 927 176 713 RATES AND UTILITIES 123 464 135 811 149 392 OTHER OPERATING EXPENSES 1 142 715 1 233 072 1 316 885 FINANCE CHARGES 12 040 4 271 3 455 REDEMPTION ON LOANS 15 921 8 250 9 067 OTHER CAPITAL EXPENSE 130 280 154 422 167 556 CAPITAL EXPENSE (BUILDINGS-INFRA STRUCTURE) 28 601 89 085 90 650 NON-RECURRENT INCOME 1 252 1 300 1 300 NET INCREASE/(DECREASE) IN CASH (A-B) -48 792 -99 674 -82 455 FINANCING VIA LOANS 50 000 15 000 CASH AT THE BEGINNING OF THE YEAR 250 000 201 208 151 534 CASH AT END OF YEAR 201 208 151 534 84 080
North-West University: Annual Performance and Strategic Plan 2016 48 6.5 Budget capital plan 6.5.1 Long term capital expenditure plan and proposed borrowings Table 5: Long term capital expenditure: 2015 – 2018
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North-West University: Annual Performance and Strategic Plan 2016 53 7 Institutional risk register
Table 6: Priority risks and mitigating strategies Acceptability Suggested level as per Risk Management practices.to mitigate the risk governance initial oversight function indication Risk category 1: Leadership, management and transformation (Office of the VC) Leadership transition Initial risk identification pointed to the following matters: Changes in NWU management, e.g.: Risks associated with the Council (Preventable strategic transition from one vice- chancellor to new vice-chancellor; the uncertainty about the strategic direction of the institution; stakeholder risk) inconsistent communication from different leaders in the organisation (mixed messages) and a perceived lack of transparency 27: Significant impact on strategic from NWU management in communicating to stakeholders (internal as well as external). objectives. Likelihood=high/expected. Mitigation strategies include the extensive strategy-forming process, extensive consultation, web platform for communication Prompt corrective action needed and recent risk survey. Note by strategy team: to stress the fact that all strategy involves the balancing of competing interests – risks and opportunities that are addressed in the final strategy document, since risks often reveal a corresponding opportunity. No suggestion to change the risk indication Management model See comments above. Council (Preventable operational people risk As additional mitigation strategy serves the extensive process executed by the ad hoc senate committee. 27: Significant impact on strategic objectives. Likelihood=high/expected. Prompt corrective action needed No suggestion to change the risk indication Transformation Focus on transformation and Potchefstroom Campus: Perceived lack of overall transformation on Potchefstroom Campus. TOC, with report to (Preventable strategic business Politicisation of the underlying criteria used for defining the niche market at the Potchefstroom Campus. Uncertainty re the future of Council model risk) the language policy on the Potchefstroom Campus. Concerns on Potchefstroom Campus that their needs, identity and culture may IF and via IF report 27: Significant impact on strategic not be adequately taken into account during discussion around transformation issues. In general terms it became evident that, to Council objectives. Likelihood=high/expected. despite the NWU’s ten indicator goals to measure ongoing progress with transformation, it remains to be viewed as employment Key controls absent. equity numbers base and not seen broadly, e.g. re changing teaching‐learning landscape. Inadequate planning taking the needs of Prompt corrective action needed the external market into account, e.g. limited PQM. A perception exists that NWU's transformation plan is determined by a political agenda that contradicts the country's demographics e.g. by preferring Afrikaans as teaching language. Employment equity: Limited national skills pool. It is difficult to attract and retain EE staff. Mitigation strategies to be finalised upon approval of the NWU strategy.
North-West University: Annual Performance and Strategic Plan 2016 54 Risk category 2: Communication and marketing (ExDir:IA)
Communication and Concerns were raised about internal and external communication matters, as well as on the marketing approach that was apparently Council marketing not sufficiently integrated. The following challenges were identified in regard of the above issues: (i) Lack of consensus (Preventable strategic, concerning current problems or issues that may have a negative impact on the institution; (ii) the need for a streamlined bottom- reputational risk) up process to coordinate and mitigate the identified risks across the campuses and the IO; (iii) the need for capacity to implement 27: Significant impact on strategic and monitor treatment plans/ project plan; (iv) the need for a unified approach towards drafting a quality-manual for business- objectives. processes to implement processes consistently. In addition, it was mentioned that a possible duplication of efforts to mitigate risks as a Likelihood=high/expected. result of the lack of alignment and coordination that would assist in devising more appropriate and measurable interventions. Prompt corrective action needed The following mitigating processes were put in place: . A process has been put in place to ensure to align all internal and external communication and to use available channels optimally. As a result of this process, a decision has been made to actively and aggressively market good news stories on all three campuses to minimise the impact of negative news. Much progress has been made in this regard and in the week to come a campaign will also be launched focussing on the impact of the NWU’s community engagement. A constant effort is also being made to ensure that all research news are put out on as many platforms possible. The Mail and Guardian press office has also been engaged with the aim to ensure the wider distribution of especially research news in Africa. The upcoming Alumni awards is widely published to focus on the issue of the quality of graduates being delivered by the NWU. These will be accompanied by advertisements promoting the recipients as well as interviews with them focussing on how the NWU influenced their lives. . A joint process to align student recruitment across the campuses has been put in place and is driven by the Institutional Registrar as well as the Executive Dir: Institutional Advancement. This will be finalised with the view of implementation during 2017. . A complete new WEB theme has been developed and will be implemented by not later than the end of October 2015. The final product has been widely consulted and communicated with all relevant stakeholders and will ensure a must more user friendly web interface to address needs of both owners and users. . A completely new media policy has been drafted and the consultation process has commenced on 1 August 2015. Input from the Potchefstroom Campus has been received on 23 August and will be incorporated. If with the assistance of the campuses, agreed timelines can be met, all indications are that Council will be asked for approval on 20 November 2015, after which implementation will follow. The Public Relations Officer of the ISRC will as from October 2015 form part of the BMC to ensure that they are aware of decisions and the actual implementation of various aspects related to this committee. . The existing quality manual of Institutional Advancement will be addressed during 2016, but will also be largely dependent on the outcome of especially the proposed management model. No suggestion to change the risk indication.
North-West University: Annual Performance and Strategic Plan 2016 55 Risk category 3: Human Capital (ExDir:HC) Staff recruitment and
The view was held that students are not prepared for HE studies: School system not yielding adequately prepared university entrants; Senate and via Student Throughput inordinate time and effort needed by lecturers to achieve and the quality of output. Also that student enrolment and bursary processes (External non‐preventable by senate report to organisation and internal are not adequate; A Rules not sufficient; recruitment and placement practices not optimal. In addition that students are not adequately Council preventable strategic risk) prepared for world of work: Gaps between skills required in the workplace and the content of the academic programmes offered; and 18: Significant impact on strategic that student attributes not sufficiently achieved by current TL strategy. objectives. Mitigation strategies include the following: Likelihood=high/expected. . NWU Project on the Transformation of Teaching and Learning will be mapping the student lifecycle for an improved Corrective action required. understanding of matters that impact on student access and success. (Lifecycle 3). . The DVC: TL has initiated a Forum for Access and Success which is tasked with developing a systematic strategy to support student success. This Forum began in 2014. It has developed a draft Framework for Access, Retention and Success which incorporates many of the specific issues referred to in the bullets below. This draft framework will be sent to the faculty Teaching and Learning Committees in the last quarter of 2015 for comment. . As part of the Framework for Access, Retention and Success, aspects and factors impacting on student success to be scientifically researched to determine base line for possible interactions to ensure early warning signs of unsuccessful students by IO and campus specific efforts . Student academic and development support programmes: These may include: o Adequate life skills training and empowerment: o Intensify strategies for student support through peer mentoring, tutoring and supplemental instruction, and monitor their effectiveness. o Induction programme at the start of the year. (for Induction for first year students – implement mechanisms to provide ongoing first year induction beyond the formal instance first year seminar(s . Reading laboratories as mechanism for improving student comprehension skills and language proficiency. The reading laboratories are reviewing the use of software to ensure that students receive the most appropriate reading support.
North-West University: Annual Performance and Strategic Plan 2016 56
. Aca courses (AGLA/AGLE) are currently being redesigned over a four year period in order to contextualise them into broader disciplinary contexts – so that students will receive more contextualised academic literacy development. . Extended programme provision to be reviewed and monitored on a regular basis to ensure that NWU has a sufficient number of extended programmes and that they are effective. . Regular review of curricula to determine relevance of content to needs of industry, professional and statutory body requirements and community needs by programme leaders, School Directors and Deans. . The current review of programmes on the PQM to allow for reconsideration of the incorporation of student attributes in a satisfactory way by programme owners . Number of complementary learning opportunities students participate academic programmes - Emphasis that the university environment places on studying and academic work - Empower lecturers in advanced and 21st century teaching methodologies - Re-design/create intellectually challenging and creative academic material . Development of part-time staff members No suggestion to change the risk indication.
Academic programmes: Non- The view had been that rules, guidelines, policies and processes for approval of non‐formal academic programmes, such as short Senate and via formal programmes – process courses, are not well known/understood; and also that an inadequate system existed to monitor and manage short course senate report to and systems approval and presentation of approved short courses. The understanding was that pressure to generate third stream income will Council (Preventable compliance and increase, with continuing education programmes seen as attractive area for entrepreneurial activity – without sufficient attention legal risk to quality and credibility of offerings. 12: Major additional resources Mitigation strategies include the following: needed to manage impact. . Input in national regulations published in Government Gazette Likelihood=high/expected. . Web-based application developed for the recording of continuing education courses and programmes Corrective action needed. . Further development of the business model (will be dependent upon strategic decisions on the management model) . Continuing implementation of the Framework for Continuing Education – including the approval processes for CE programmes. . Effective advisory services by Institutional Registrar’s committee on contracts relating to continuing education . Proper control of certification processes . Updated and thorough knowledge of national policies and requirements regarding non-formal programme management and quality by responsible committees, managers and staff . Process of regular updating of policies and processes for the management and quality control of non-formal programmes by Institutional Office and campus management in prescribed cycle (three years) . Adherence to existing policies and procedures by responsible committees, managers and staff at processes of approval and management of all programmes on regular basis . Specific formal consideration and approval of contractual agreements regarding the offering of non-formal programmes by appointed committee in the Registrar’s office at time of submission . Empower academic advisors on the campuses . Optimise the programme application process No suggestion to change the risk indication.
North-West University: Annual Performance and Strategic Plan 2016 57 Academic programmes - Inefficient rules, guidelines, policies and processes for accreditation of formal academic programmes, e.g. an inadequate Senate and via senate accreditation of formal understanding of the legal and regulatory implications of MOU's and contracts (including internationalisation of degrees report to Council programmes through the offering of joint degrees with international universities), as well as slow approval processes and inadequate (Preventable compliance and leadership and guidance from the Department of Higher Education and Training (DHET). legal risk) Mitigation strategies include the following: 12: Major additional resources . NWU Project on the Transformation of Teaching and Learning will be mapping the qualification and academic programme needed to manage impact. Likelihood=high/expected. lifecycle for an improved understanding of matters that impact on the development, management and review of Corrective action needed. qualifications and academic programmes (Lifecycle 2). . New ICAS system has been implemented (additional risk: no provision for system support) which promotes adequate consultation on and approval of programme applications . Finalisation of new Policy and Procedures for Programme Development, Management and Review. . Capacity Development opportunities for academic staff through the AD units – in liaison with IO Academic Planning Unit . Ongoing input in external regulatory environment . Regular contact with external bodies on progress made wrt specific applications . Updated and thorough knowledge of national policies and requirements regarding programme management and quality by responsible committees, managers and staff on regular basis . Well-functioning Institutional Committee for Academic Standards responsible for approval, preparation for submission to national structures and management of formal programmes managed by the office of the DVC Teaching-learning on regular basis and scheduled in line with decision-making national structures’ meetings . Regularly reviewed policies and processes for the approval and management of formal programmes by IO and campus management in regular cycle (three years) . A nationally approved and regularly updated PQM in response to the approval of programmes national structures . Improved relationship with national structures for the accreditation and approval of formal programmes as to align own internal processes with time lines and schedules by the Office of the DVC No suggestion to change the risk indication.
Teaching-learning delivery Threat in the higher education competitive landscape due to new technology based learning opportunities (e.g. Massive Senate and via senate channels Open Online Courses (MOOCs). Problem: report to Council (External strategic and competitor risk) Unclear response to this threat due to (i) Inadequate formalised strategy and policy for blended and interactive learning,(ii) Lack of resources to develop blended and interactive learning tools, (iii) Inadequate leadership and guidance from the Dept 27: Significant impact on strategic of Higher Education and Training, (iv) Not understanding and catering for how current students learn, (v) Dependency on objectives. Likelihood=high/expected. Key external blended learning platform (Operational risks and issues including UODL Process : Misalignment in the academic controls absent. Prompt corrective periods for NWU formal and non‐formal programmes and UODL results in billing problems and academic record keeping action needed challenges), (vi) OLG Contract running out with no provision for alternative so far. The NWU Project on the Transformation of Teaching and Learning was launched at the start of 2015 – this includes the work done to date on blended learning, as well as on all of the following items currently listed on the Risk Register as mitigating factors:. . Revised teaching‐learning strategy to include blended learning
North-West University: Annual Performance and Strategic Plan 2016 58 . Blended Learning Steering Committee constituted to guide work on blended learning; . Roadmap for blended learning developed; . The project will develop guidelines for strategic funding to be made available to fund the resources (IT; Infrastructure; Staff) needed to implement blended learning successfully. . Academic programme teams to be formed to work on blended learning across campuses . Align UODL systems with main University administrative systems – Student Academic Administration, IT, Student Support; Academic Planning. . A strong teaching-learning strategy directive on application of technology as accepted by the Institutional Committee for Teaching and Learning . Blended learning (mix of face-to-face and technology) promoted in class room and by distance learning by lecturing staff, Academic Support Services and the Unit for Open and Distance Learning on continuous basis . Academic Support Services plan and implement increased use of technology in classrooms and distance learning by students and staff on continuous basis . The role and function of the Unit for Open Distance Learning to be unpacked through the implementation of the project . Planning for increased access to technology to students and staff on campus by supportive ICT initiatives on continuous basis . Align IT and Teaching and learning strategy No suggestion to change the risk indication. Academic programme Lack of alignment of academic programmes across campuses as well as unclear roles and responsibilities leading to break Senate and via senate offering for one institution down in cross campus communication, coordination and cooperation. report to Council (Preventable strategic and governance risk) Mitigating strategies. 8: Additional resources needed. . NWU Project on the Transformation of Teaching and Learning will be mapping the qualification and academic programme Likelihood=medium. Corrective lifecycle for an improved understanding of matters that impact on the development, management and review of qualifications action needed. and academic programmes (Lifecycle 2). . The HEQSF project supports alignment across campuses . ICAS system implemented (add risk: no capacity to provide system support) to improve cross-campus consultation on programme design; . Policy for Programme Development, Management and Review to include system for programme coordination across campuses . Policy on moderation must provide for consistent internal and external moderation of aligned programmes . Process for internal and external programme reviews to provide for integration of the findings of reviews of aligned programmes . Regular EPEs to evaluate the level of alignment and quality of programmes across campuses with well-designed improvement plans, monitored and reported on by campus and faculty management . Efforts by management and staff to increase functional implementation of aligned programmes by well organised and management structures with regular feedback . It is necessary to develop a coherent framework for academic programme planning within NWU disciplinary networks across campuses in order to support the development of a more responsive PQM. The work currently underway of the
North-West University: Annual Performance and Strategic Plan 2016 59 configuration of unitary faculties with cross-campus responsibility for academic planning and alignment provides a foundation for such a framework – if the proposed faculty configurations are approved by Council. . Feedback from industry such as the law fraternity, referenced to quality of students produced from the different campuses. . ITC to invest in technology that enables quality virtual meetings. . Align budget with strategic plan of NWU, with reference to all three campuses . Design and deliver programmes of equal quality, but allow for different contexts No suggestion to change the risk indication Risk category 6: Finances and Facilities (ExDir:FF) Funding model Concerns about the sustainability of the current funding model because of indications that government funding will decrease Finance Committee and (Preventable external and and the effects of the decision by government to change the model from formula-based to a funding framework. All indications via committee report to internal funding risk) exist that government would need to be strengthened by external sources of income at the NWU. Council 8: Additional resources needed to The management of this risk primarily took place by accounting actively for the risk as part of the strategy-formation process. manage impact. In addition, ongoing discussions took place within the HE sector on the way in which finances should be managed within the Likelihood=medium. Corrective action needed. sector, how the consultation processes need to roll out iro NSFAS and other matters, the calculation of the subsidy formula. The matter of the ongoing regulating of borrowing powers amidst a situation where business opportunities are available still needs further discussion. Internally, a process commenced by means of open discussions in order to devise a new business model for 3rd stream income, but remains dependent on the outcome of the strategy-forming process. No suggestion to change the risk indication. Business continuity Concerns about apparently fragmented business continuity activities at the NWU, resulting from the fact that the University has ARCC and via committee (Preventable operational risk) not centralised business continuity function, no formal disaster recovery plan, as well as inadequate IT disaster recovery sites, report to Council 12: Additional resources needed to redundancy and backup systems. Also, that planning is lacking iro of staff backup and succession planning in case of manage impact. accident/disaster. The uncertainties around the contract with OLG that is coming to an end in finding an alternative business Likelihood=high/expected. solution needs serious attention. Prompt corrective action needed. The management of this risk took place in the following way: a disaster recovery plan was submitted to IM in Aug 2015 in which it was stated that the project will receive focused attention in 2016 and in which it was alluded that the following business- process owners need to be intricately involved in the development of a business continuity plan for NWU in which IT would be responsible to plan and implement affordable disaster recovery plans: ExDirFF, IR, ExDirHC, DVC:TL, DVCRIT No suggestion to change the risk indication. Safety, health and Concerns existed about management of Operational Health and Safety (OHS) and environmental regulations and ARCC and via committee environment requirements on campuses due to apparent fragmented OHS and environmental management activities across campuses, report to Council (Preventable operational risk) the roll-out of the OHS system because of the lack of a central coordinative environmental function; as well as inadequate 6: Additional resources needed to management of Inadequate management of hazardous substances and dangerous goods and the fact that the process manage impact. according to which this had to be done, was not automated, formalised or standardised. Likelihood=high/expected. Much had been done across the University to mitigate the risk. The following processes were put in place: Minor improvements needed. . Further roll-out of system to all units . OHS structure and appointment in place, responsibilities fixed and Campus main committee controlling management of OHS from which compliance will follow
North-West University: Annual Performance and Strategic Plan 2016 60 . Appointment of a single company for all hazardous waste management and coordinate at Institutional level was done, but we are now at the end of contract period, must go out on tender again. Oricol Environmental Services is the current service provider. . Register of incidents and result of preventative actions taken is in place managed by OHS department. . Education and programmes on which employees can go to get an understanding of the OHS environment. Current problem with skills fund, OHS department has purchased training material to present training. This matter will become a focus area in 2016 to present internally as well as a possible source of 3rd stream income. . Have at least two un-announced evacuation drills per annum and monitor reaction and publish results. Being done and form part of 3 monthly feedback report to management. . Education and programmes on which employees can go to get an understanding of the OHS environment. . Appointment of a full-time person to oversee environment management; alternatively an outside service provider. No suggestion to change the risk indication. Risk category 7: Compliance, risk and information governance (IR) Risk management Setting the context for an RM process takes place by means of bi-annual reports to IM to monitor and review the RM process; Bi-annual reports to (Strategic business model risk) continuous consultation with process owners and obtaining feedback to reflect on the ongoing process of analysis and ARCC and ARCC 27: Significant impact on strategic evaluation taking place at business-process level. committee report to agenda. Likelihood=high. Prompt As indicated in the contextual part of the document, measures have been put in place to see to the greater effectiveness in the Council to provide a full corrective action needed management of risks at the NWU. The following corrective measures have been implemented/are in the process of account implementation: . Process to manage risks at the NWU has been largely formalised - Strategic risks now augmented throughout the NWU at operational levels. - Central risk register is now to be updated by means of web-based application. - Risk management to form part of all new and revised quality manuals (academic and support environment) at the NWU - Reporting process streamlined to bi-annual reports to IM and ARCC and from ARCC to Council. . Integration of the risk management into the strategy-formation process firstly took place as part of the insight-foresight process and then formalised as part of an institutional survey (of which the results are still pending) as an attempt to enhance understanding of strategic opportunity elements inherent to risk management at executive level. No suggestion to change the risk indication. Compliance to legislations Risks related to alleged violations or non-conformance with laws, regulations, rules range from insufficient communication to ARCC and via committee and regulations unclear/ambiguous procedures/standards by means of which compliance is to be effected. The following matters were evident report to Council (Preventable compliance and legal during the risk-identification phase: inadequate compliance in general, no process by means of which conflict of interest is to be risk) managed, inadequate delegation of authority, inadequate contract/MoU management, inadequate adherence to environmental 12: Additional resources to manage laws, uncertainties around copyright matters. impact. Likelihood=likely. Prompt corrective action needed. The following processes were put in place during 2014/15: . Compliance in general: (i) communication of new legislation bmo website: Compliance@nwu; (ii) appointment of compliance officer; (iii) expanding the membership of the NWU Compliance Committee (IM committee) . Concerted effort to sharpen up the management of conflict of interest. It is acknowledged that more still needs to be done.
North-West University: Annual Performance and Strategic Plan 2016 61 . Delegation of Authority: process review concluded towards formalising a new policy. . Contract management streamlined by means of standardised procedures, record-keeping. . Copyright matters now driven from the Office of the IR in close collaboration with Campus Registrar Offices. Electronic capturing of DALRO information now compulsory. SAMRO process to be streamlined next. No suggestion to change the risk indication. Policies, procedures, This risk emanated largely from the lack of adherence to a prescribed, agreed-upon process. ARCC and via committee guidelines and rules The mitigation of this risk took place in the following way: report to Council (Preventable operational process risk) . Enforcement of the process as described in the NWU Policy that regulates the formulation/review of NWU policies by obtaining IM approval followed by a close monitoring and evaluation process. 12: Additional resources needed to manage impact. . Awareness has been raised in 2015 on the effects of apparent non-compliance to internal processes. However, it is Likelihood=high/expected. asserted that the NWU remains fairly vulnerable and that policy owners need to be made aware continuously of the Corrective action needed. effects of non-compliance. No suggestion to change the risk indication. Information governance and The risk emanated from both the absence of an appropriate information governance framework as well as lack of adherence to ARCC and via committee management the existing policy by means of which the lifecycle of documents at the NWU is managed. A perception also existed that report to Council (Preventable governance and operational and warehouse data hosted centrally is not to be trusted. operational risk) The following report is given iro of the management of the risk: 18: Additional resources needed to . Although fair progress had been made with the formulation of an IG framework, the work has not been concluded and manage impact. Likelihood=high/expected. needs, as a matter of urgency, focused attention. Prompt corrective action is required . The addition of records-management responsibilities to more than 300 administrative staff members’ performance agreements has resulted in a much more efficient and effective records-management process at the NWU. . A process by means of which awareness had been raised, communication and active consultation took place rolled out to enhance the relationship of MIS with business-process owners who need management information. No suggestion to change the risk indication. Risk category 8: ITC risks (DVC:RIT) Aging SMP system A very old version of the SMP system is currently in use for which very little support is available. While the staff who were involved in the ARCC and via committee service provider for the SMP system (iKnow) have left the company, the risk is that if the system falls, that apart from no support that will be report to Council 12: Impact is high. rendered, the NWU will not be able to get the system up and running again, resulting in the fact that students will not get study guides in time. Likelihood=medium. Corrective measures needed Mitigation strategies include the following: . To redevelop the system as a matter of priority by means of budget provision to be obtained as soon as possible. To do this by means of a fast-track core system without a lot of bells and whistles. . To report that budget provision had indeed been obtained and that the new system is in process of development.
Suggestion to retain the risk indication until the new system is in production. Enterprise initiatives by A tendency exists at the NWU to appoint persons with IT responsibility in departments outside formal IT structures. In the past ARCC and via committee growing number of IT this was only seen as a technical advice function, but in recent times these staff members are promoting huge, enterprise-level report to Council “experts” in non-IT strategic IT initiatives, usually fueled by hype. This is a dangerous situation for the University and needs to be addressed at a departments
North-West University: Annual Performance and Strategic Plan 2016 62 27: Significant impact on NWU’s very high priority. The implication is that these staff members are not held equally accountable. In addition these persons strategic objective; operate outside governance and regulatory structures that are applied to the formal IT organisation. Moreover, these staff Likelihood=high/expected. members have no access to specialised equipment, operational insight, training and support networks of the central IT Prompt corrective action needed. organisation, and without these, the value they can provide is extremely limited. Yet, they are frequently appointed at higher remuneration levels, and with fewer responsibilities than comparable formal IT staff members. This further dilutes the abilities of the formal IT organisation to provide value to the NWU. Mitigation strategy to counter the situation: Re-establishment of effective IT-Governance and IT resourcing (staffing) that will be tabled at the IM meeting to be held in October Important note is that this is not a problem that can be addressed by IT. While the NWU is going through some structural changes at the moment, isn’t this an ideal time to address this problem? The question remains: Is this a HR, campus management or institutional management issue and who should attend to the problem? No suggestion to change the risk indication. Unsustainable IT staffing The NWU has less than one third of the IT staff members per technology user as the industry norm. Our drastically ARCC and via committee levels understaffed IT department will lead to: report to Council 27: Significant impact on NWU’s o Unplanned and sustained outages in operational IT systems (EFundi, Student Admin System, Financial System, strategic objective; Internet connectivity) will cause core business to come to a halt - as the week-long EFundi outage in 2014 Likelihood=high/expected. demonstrated. It is becoming impossible for the few staff members we have to cope with maintaining the explosive Prompt corrective action needed. growth in IT systems. o Several strategic objectives may not be reached (any strategic objectives that depend on an IT system is at risk) o Existing risks will not be mitigated (i.e. Disaster Recovery – see Risk 5 of Sept 2014) Difficulty in obtaining and attracting quality staff due to: o Persistent unwillingness from senior management to allow the Institutional Office to appoint new staff. Urgent calls for extra IT staff after the EFundi outage in 2014 has repeatedly been thwarted. o Defective remuneration policies for IT (The SA university with which we are most frequently compared with, pays their IT staff on average 50% more than the NWU) Remuneration as a percentage of IT budget is substantially below industry averages. (Related to Risk 11 of Sept 2014 – Staff Recruitment and Retention) The backlog is substantial, and it will take months to eradicate, even if the necessary staff members are appointed now. Mitigation strategies: To remove policy and budgeting obstacles to appointing IT staff (feedback from budget process: Three new positions were approved by IM and IT is in the process of appointing people. It should be noted that these new positions only address a portion of the most critical gaps in one subdivision of one division of IT.) Replace scales for determining remuneration with trustworthy source Note by IT: Our number one IT strategy refers to staffing and we will submit a proposal before the end of 2015. No suggestion to change the risk indication. SANREN capacity Both the SANREN backbone and the SANREN North-West regional backbone is running out of capacity. The upgrade of the ARCC and via committee 18: Impact is medium. backbone is outside of University control (Managed and owned by DST), but has severe implication in terms of redundancy and report to Council Likelihood=high. service levels, in particular as regards the following national SANREN backbone links between: Bloemfontein and Cape Town; Corrective measures needed Bloemfontein and Johannesburg; Regional SANREN link between Potchefstroom-Mafikeng-Pretoria. In addition, a recent incident at Mafikeng campus introduced a new SANREN Mafikeng campus connectivity risk. Both the
North-West University: Annual Performance and Strategic Plan 2016 63 redundant links to this campus have common physical path for about 4km. A break in this 4km run would (and has already happened) totally isolate the campus for more than a day duration. The risk has being escalated to SANREN, but no feedback has been received. Mitigation strategies: The challenge lies at national level and cannot be solved by the NWU – it therefore needs to be escalated to the VC to be dealt with at national level. It became evident by 22 September 2015 that both the SANREN backbone and SANREN NW regional risks have been mitigated by SANREN and TENET, with the implementation of two new 10Gbps links between Potchefstroom and Bloemfontein and between Johannesburg and Cape Town. No suggestion to change the risk indication.
North-West University: Annual Performance and Strategic Plan 2016 64 Annexure A: Common Strategic Assumptions for NWU Strategy: 2015 to 2025 Strategic assumptions refer to key trends, developments, anticipated significant events, important current realities that will continue or may intensify, as well as anticipated risks and opportunities that are likely to impact the University in the short-, medium- and long-term. The following assumptions underpin the NWU strategy: 1 Market Size and Growth Assumptions Implications for NWU 1.1 Undergraduate student demand 1.1.1 Learners exiting the school system with an NSC with endorsement Competition will intensify amongst tertiary institutions (including from non- for degree study will continue to grow (but at a slower rate than traditional universities) for the limited pool of adequately prepared expected by the NDP and the White Paper on Post-School students, particularly for those adequately prepared in mathematics and Education and Training). The majority of students will be science. The increase in participation rates will be difficult to realize due to underprepared for university tuition. the relative under preparedness in mathematics, science and accounting.
1.1.2 The demand by students for day tuition will increase (eliminating the Reduction in enrolment by students from distant metropoles. need to pay for residences or lodgings). 1.1.3 Increased demand for distance, technology enabled tuition and Development of new tuition models, learning materials, reliable technology flexible tuition models. solutions, and systems of student tracking will be essential. Integration of distance provision into mainstream NWU planning, systems and policies will be required. Delivery model, investment requirements and financial/funding model will have to be developed/tested/refined. 1.1.4 Demand for teacher training and teacher further training will A differentiated student value proposition as well as aggressive marketing increase. Competition for market share will be intense. will be required. 1.1.5 Demand for functional multilingualism will remain. Preference for Teaching/learning and administrative environments will experience tuition in Afrikaans will however decline in medium- to long-term and significant infrastructure and capacity strain. Polarities, both internally and demand for English tuition will grow. The drive to enhance other externally will make it difficult for the NWU to manage its own language African languages will remain unclear. affairs. Language will increasingly become a focus of equitable access debates and lead to increased student activism. 1.2 Postgraduate student demand and market size Moderate growth in postgraduate student demand. Black South National funding initiatives to increase postgraduate production will African postgraduate student market size will remain very limited. become more important. Failure to achieve sufficient demographic representation of academic staff is highly likely. Focus on performance- based incentives tied to transformation initiatives will be required. 1.3 International student demand Demand by international students will increase for both International profiling of NWU, international collaboration, ODL tuition in undergraduate and postgraduate studies as well as in distance SADC and the effective management of regulatory barriers to international mode delivery. student recruitment will be increasingly important.
North-West University: Annual Performance and Strategic Plan 2016 65 2 Customer Assumptions Implications for NWU 2.1 Student Market Segmentation 2.1.1 Socio-economic status and financial aid: Enrolment growth will be The financial model and sustainability of NWU will be under strain. dominated by students from a lower socio-economic status who will Pressure to provide ODL offerings, its associated technologies as well as increasingly depend on financial aid. NSFAS unlikely to satisfy on internal alignment requirements will increase. ODL likely to be student demand for financial aid. These students will, in general, be considered as major vehicle for addressing expanding demand and as underprepared for university tuition. potential lower-cost tuition model. Pressure to develop academic literacy and academic support capacity and to extend support drastically. Student activism and militancy likely to increase. 2.1.2 Contact and distance mix: Mix will change in favour of distance with As per 1.1.3 distance provision but very differently configured than NWU’s current UODL(s). 2.1.3 Training needs: Greater differentiation required between vocational Refinement of academic mission to cater for both the professional and and technical training at undergraduate level (diplomas) and a general formative qualifications will be essential. Academic staff with the balance between professional and general formative degrees. appropriate work experience for vocational and technical qualifications will be required. Potential for more differentiated campus profiles will emerge. 2.1.4 Disability: Increased importance of students with disabilities. Physical environments at all campuses that address the needs of such students will be required. A deepened understanding of the institutional challenges of supporting students with disabilities will be essential. 2.2 Value expectations: All students 2.2.1 The well-known expectations that will continue to be important: Programme relevance and quality, student administration, student life quality education, graduate employability, affordability, value for management, funding model, efficiency and costs will require increased money, safe and secure environment (physical security, drug free), focus across NWU. Perceived inequity in respect of any value expectation rich student life (residence, cultural, sport), academic and psycho- will increase student activism/militancy and will demand increased social support, well-resourced (amenities, service provision, management attention. transport). Expectations of equity between NWU campuses will increase in importance among students. 2.2.2 Emerging value expectations that will be increasingly important: A As per 1.1.3. Ongoing research into the design of electronic learning blended learning environment with seamless technology. Interactive materials to ensure optimal accessibility on many devices will be essential. learning, accessible anywhere anytime, compatible with multiple Access to devices by lower socio-economic status students may lead to devices, abundance of bandwidth. New learning styles of shorter inequalities of outcomes and will require attention. The role of academic time-spans, bit-size information, interactive, collaborative staff will change to learning facilitator of student learning. Focus of (networking, immediate feedback expected, integration with social academic development will shift fundamentally. media platforms).
North-West University: Annual Performance and Strategic Plan 2016 66 2.3 Value expectations: Postgraduate students (in addition to 2.2) The well-known value expectations that will continue to be important: The critical importance of this segment for the sustainability of NWU will high quality and committed supervision by leading academic require a coherent, integrated strategy that should include acquiring supervisors, research support, vibrant academic culture, adequate additional NRF rated researchers, uniform policies and monitoring and dedicated working spaces, adequate financial support and systems, investment in facilities and spaces and student financial support. opportunities for international exposure. 2.4 Value expectations: International students The well-known value expectations that will continue to be important: The critical importance of this segment for the reputation of NWU will internationally comparable quality, a cosmopolitan cultural require a coherent, integrated strategy to better address and invest in all environment, high/adequate proportion of international staff, and value expectations. student support. 2.5 Value expectations: Parents and Sponsors (Parents and sponsors will continue to have similar expectations to 2.2 above) 2.5.1 High academic standards. Standards of all qualifications at all campuses in all modes of delivery will have to be verifiable and nationally comparable. 2.5.2 Continuation of character and traditions of campuses (Alumni). Perception and reputation management will be important if the transformation process is perceived to threaten alumni support. Re- positioning strategy will be critical to replace potential sense of loss with a positive narrative. 2.6 Value expectations: Government (Dept. of Higher Education and Training; Dept. of Science and Technology; other Departments) 2.6.1 Overall: Contribution to the achievement of key goals expressed in The NWU strategy will require emphasis on access, student success and the National Plan for Higher Education (2001), the National transformation. Integrated and robust plans, objectives, performance Development Plan (2011), White Paper for Post-School Education management and monitoring systems will be required in respect of these: and Training (2013), and other policy documents. Access at all campuses reflected in academic planning including preparing learners from disadvantaged groups; Success supported by extended programmes, mentoring, tutoring, and supplemental instruction and Transformation including diversity targets for staff and students, curriculum transformation, institutional culture. 2.6.2 Specific: Graduates who are employable and able to contribute to A fundamental re-think of desired future NWU typology will be required. national development, scarce skills production, linkages with NWU strategy to clearly indicate alignment value expectations in respect vocational education and training, increasing knowledge production of market direction, fields of study mix, qualification pathways, programme and innovation. relevance, modes of delivery, work integrated learning, collaboration with TVET sector, scarce skill provision (SET and school teachers) and expansion of internationalisation.
North-West University: Annual Performance and Strategic Plan 2016 67 2.7 Value expectations: Business, Industry, NGO’s 2.7.1 The value expectations in respect of graduates will continue to be Increasing engagement with business and industry will continue to be important ie employability and work-readiness. important to align work integrated learning to curricula, to embed critical cross-field outcomes in curricula, as well as to balance general educational goals and industry/professional body expectations. 2.7.2 The expectation to partner with business and industry will increase. Expanding research and innovation, consulting, work integrated learning, and community partnerships will be increasingly important. 2.7.3 To make significant contribution to the development of scarce skills, PQM as well as academic planning and capacity alignment will be will become increasingly important to business and industry. required. 3 Higher Education Assumptions Implications for NWU 3.1 Teaching and Learning Note: Assumptions related to HE system expansion, ODL, access, financial aid, increased competition, ODL expansion, TVET sector collaboration, graduate employability, impact of technology and scarce skills supply, academic staff supply are captured elsewhere in the document. 3.1.1 Funding for infrastructural development/expansion will be limited. Infrastructural capacity will not keep pace with enrolment growth. ODL expansion, blended learning technologies and the redesign of existing learning spaces will require focus. 3.1.2 Regulatory system will become tighter with more intrusive reporting Increasing state control and centralisation will erode academic freedom and monitoring requirements: Programme approval processes, and affect relative institutional autonomy. Regulatory conformance, QA, regulation of continuous education (short courses) and earmarked well-conceptualised programmes will be paramount. Evidence of serious grants will be increasingly burdensome and stricter. Increased DHET transformation will be required. reporting on transformation, social inclusion and social injustice. 3.1.3 Open Educational Resources (OER) use will increase and may Open Education Resources University (OERu) partnership, international possibly improve the quality of educational provision. Expansion of network development, participation of academics and contribution of Massive Open Online Courses (MOOCs) will continue. modules will be required. International learning material quality will become the new benchmark and Northern Universities will increasingly influence content. MOOC’s will create new competition. Academic resistance to facilitation vs. producing learning materials will emerge. 3.2 Research, Innovation and Community Engagement 3.2.1 Typology: Universities striving to become centres of excellence will Unbridled competition between universities and pressure for shorter term compete more intensely for collaboration with science councils and gains (such as commercialisation and/or community developmental goals) other R&D role players. Teaching and learning, and research and will be felt by NWU. Engaging in thematic collaboration with multi- innovation will remain the primary drivers of the emerging typology, disciplinary R&D on the entire value chain will be critical for success. with community engagement and partnerships remaining critically Simultaneous focus on R&D and on the quality of teaching and learning to important in the South African context. improve the quality of higher education will remain critical.
North-West University: Annual Performance and Strategic Plan 2016 68 3.2.2 Internationalisation: Universities will become increasingly globalised A comprehensive international collaboration strategy should consider and differentiate their brands through rating and ranking systems as opportunities like co-branding, resource sharing (joint degrees, co-chairs, well as through web presence. Competition for international students collaborative research, and complementary skills development), regional will be fierce. collaboration, research and innovation programmes, and international student recruitment/exchange. 3.2.3 Policy and funding framework: Policy framework will remain Bureaucratic impediments including corruption, the increasing favourable and will help firms and encourage institutions to discover expectations to engage communities, pressure for short-term gains will new lines of competitive advantage and generate technological need to be managed/mitigated. Government and industry relations to innovation and broad-based, export-led economic growth. encourage R&D funding growth will be critically important. Community Government will increasingly partner with the private sector to raise engagement and partnerships will continue to be relevant. International the level of R&D and the state will continue to play an active role funding sources and smart partnerships will be essential. both in funding research and development. Research funding will however be inadequate and competition for funding will be fierce. 3.2.4 Innovation: Public policy will focus on research and development in A comprehensive innovation strategy should consider opportunities like: existing areas of competitive advantage, where global markets are the inclusion of preparatory work linked to innovation and research in set to grow i.e. high-value agriculture, mining inputs and undergraduate programmes downstream processing, innovation to meet environmental and implementation of a regional innovation structure and the development energy efficiency objectives, and financial services. of knowledge partnerships to create new mechanisms for collaborative In the short-term, foci will include expansion in high-skills supply, knowledge generation improving education throughput at primary and secondary levels, stimulation of multi-, inter- and trans disciplinary research and the reliable energy and water supply, local service delivery, intensifying diversification of research income research and development spending, opportunities in existing the steering and management of research outcomes towards industries and community development. innovation and commercialization and a move towards a cluster The next phase will include resource-cluster development for the approach to support the development of the knowledge economy mining industry, combining production of capital goods, provision of focus on social and other national imperatives, strengthening the engineering services, and targeted beneficiation opportunities, laying legitimacy of the institution, while finding new sources of funding the foundations for more intensive improvements in productivity. improved response to government requests for researchers to Towards 2030 even greater emphasis will be placed on innovation, participate in expert panels, contribute to white-papers, etc. improved productivity, more intensive pursuit of a knowledge economy and better exploitation of comparative and competitive advantages in an integrated continent. 4 Competition Assumptions Implications for NWU 4.1 Competitive intensity and differentiation: The competitive intensity in The strategic agenda will by necessity have to focus on market niches, Higher education locally, regionally and globally will increase and research output, quality learning programmes, calibre of academics, differentiation will remain extremely challenging.
North-West University: Annual Performance and Strategic Plan 2016 69 4.2 Resources: There will be significantly increased competition strategic partnerships and market direction (fields of study and geographic amongst institutions for resources, students, staff and prestige. The footprint). calibre of academics will remain the fundamental basis of competing and the war for top scientific talent will be fierce. Managing the reputational complexity and the reputational risk of 4.3 Reputation: The quality of an institution evidenced by rankings, transformation will require evidence of credible transformation as well as ratings and its performance in respect to National Developmental skillful strategic communication to all stakeholders. needs as well as the transformation agenda of South Africa, will ensure long term sustainability. 4.4 Focus: Academic niches / specialisations and industry focus will be key to survival and a precondition for strategic relationships. 4.5 Strategic relationships: Collaborations/partnerships will become the new competitive battleground for survival and success. Global, African, regional and local relationships with government, other universities, the research community, industry and big business as well as with communities. 5 Income, Capital and Funding Assumptions Implications for NWU 5.1 DHET Funding: Subsidy income will reduce due to the establishment Own income generation, review of non-financially viable core and non- of new universities, ongoing reviews of the DHET funding model and core activities, increased efficiencies and effectiveness and disciplined a decline Government spending relative to GDP. cost management will be essential. A more cost-effective management (Transformation may be prioritised ahead of financial sustainability model will be required. Non-viable programmes will have to be phased and if not achieved, a major portion of subsidy income might be at out. NWU will not be financially sustainable (all other parts of the financial risk) model remaining the same). A resource allocation model will be required for equitable and transparent resource allocation, optimal ‘business’ ownership/focus, budgetary control and strategic imperatives. 5.2 Tuition and related fees: There will be a decline in NSFAS funding in The decline in NSFAS support students will become more demanding and real terms, reliance on bursaries will increase and bad debts will student militancy will escalate. Cash flow will be at risk and NWU will increase. become increasingly unsustainable financially. New cost effective tuition (incl ODL) to better utilise existing capacity, fundraising, maximising post graduate funding opportunities will be required and increases to contact student fees will be unavoidable. Resource allocation as per 5.1 applies. 5.3 Entrepreneurial income, endowment and donor income, state Due to 5.1 and 5.2, NWU will become increasingly financially subsidised research income, and short course income: unsustainable. A fundamental re-think of importance of additional income All universities will focus on increasing levels of income. Market streams supported by aggressive strategies will be critical to financial competition for sources of additional income will be fierce. sustainability. Resource allocation as per 5.1 applies.
North-West University: Annual Performance and Strategic Plan 2016 70 5.4 Investment income: Investment income will remain a relevant source Investment income as a source of income for NWU will not be significant of income to most universities but a relatively small in proportion to enough to make an impact on future financial sustainability unless a very total income. aggressive alternative strategy is pursued with its concomitant risks. 5.5 Funding for infrastructure: Infrastructure funding from DHET will Generation of own funds for new infrastructure and improvements as well decrease in an environment of new infrastructure and infrastructure as cost-effective/increased utilisation of infrastructure will require increased maintenance cost escalation. management attention. Infrastructure and facilities - enrolment plan alignment/integration will be crucial. The development of low and non- infrastructure dependent teaching and learning methods will become increasingly important. Resource allocation as per 5.1 applies. 5.6 Equity position and reserve policy: Regulation will continue to Reserve maximisation for re-investment the in core business will require require universities to manage their equity position within defined new financial discipline/accounting practices. Realignment and centralised and regulated reserve policies and limitations. control as well as centralised application of reserves, may be necessary in view of aforegoing financial assumptions and implications. 5.7 Gearing ratio (non-recurrent liabilities to equity): The reality that To remain a going concern NWU will have to maximise its gearing ratio to universities will increasingly have to become financially less reliant on fund income generating activities/core business with a focus on high-ROI Government will require them to optimise their borrowing capacity projects. Ongoing balance sheet management to liberate liabilities, within regulatory limitations. specifically the provision for accumulated leave, will be unavoidable. 6 Technology Assumptions Implications for NWU 6.1 Information and Communication Technology: ICT will migrate from a State-of-the-art ICT investment that could differentiate NWU in terms of strategic and core business differentiator in the short- to medium- quality, internationalisation, efficiency, effective teaching / learning and term, towards a basic entry/survival requirement for universities. research / innovation will be a necessity in the medium term. The huge Universities will continue to lag industry in ICT. financial burden may be beyond its reach. Effective institutional management, a governance structure, and a partnership model paradigm shift will be essential for the successful execution of an ICT strategy. Empowerment/development of academic staff will be critical for success. 6.2 General Computer Literacy: Student e-Literacy will develop Collaboration with other HEI’s, the private sector, formal and informal ICT exponentially, academics will lag behind in the effective use of ICT. training programmes will be required for economies of scale as well as to ICT will underpin a dynamic and connected information society and share expertise and costs. Staff and students will increasingly have to be a more inclusive knowledge economy. The universal availability and empowered through blended T&L activities and social media and tools accessibility of a seamless infrastructure will give access to wide Increased connectivity and ICT devices to improve general level of e- range of converged services at a competitive cost and quality. Empowerment will be essential. 6.3 ICT in Teaching and learning: ICT will enable improved learning and ICT investment in infrastructure, support and teaching/learning solutions success/throughput and will underpin an integrated and immersive will determine the NWU market share in the full teaching/learning value teaching / learning value chain. chain as well as in the student life cycle from student access through to continuous professional development.
North-West University: Annual Performance and Strategic Plan 2016 71 6.4 ICT for Research: Broadband networks, big data capabilities Larger scale benefits with communities of practice will require appropriate (storage and analytics), high-performance computing will develop to international and local partnerships, the use of Internet II and appropriate cater for research needs and will be networked to other (C) HPC’s. outsourcing. National repositories, and data bases will in time be successfully shared. Digital instrumentation will increasingly be linked and shared in a virtual national network. 6.5 Communities: The digital divide will be reduced driven by technology NWU and its activities will become increasingly accessible to the development and the broader access to online education. community posing opportunities for greater legitimacy and credence as an Communities will experience access to technology as levelling of the institution for the public good and the requirement for increasing playing field and being empowered. community responsiveness and infrastructure capacity. 7 People Assumptions Implications for NWU 7.1 The shortage in scarce skills areas, particularly in SET and It will be increasingly difficult for NWU to attract and retain staff. A commerce fields, as well as in senior staff categories, will increase. comprehensive talent management strategy will be critical and should Competition for talent will intensify. include: increasing internal development, succession planning/pipeline management, effective mentoring and performance development processes, a progressive apprentice supervision model, an employee value proposition that increases engagement/belonging, competitive compensation, counter-poaching strategies/practice for scarce skills and a special scarce skills recruitment-retention practice/programme. 7.2 The talent pool for black academic staff will remain small and An aggressive staff development programme for black academics from competition for black academics will intensify. among NWU postgraduate students and other recruits will be essential. Also refer 7.1 above. 7.3 Organisational culture, staff engagement and commitment, as well People practices and leadership behaviour related to employee as staff productivity will become increasingly important in building engagement and productivity will increase in importance i.e. training, competitive advantage in Higher Education. mentoring, coaching, performance management, appropriate disciplinary action and leadership communication/visibility. The desired NWU culture will have to be defined and actively developed by its leadership. 7.4 SETA rebates for staff development will reduce. Creative alternatives to sustain and increase own funding for staff development will be required failing which NWU will become less competitive.
7.5 Unemployment will increase. Projects and training programmes with an impact on employment will become more important. The temptation of ‘mission drift’ towards a vocational training institution will have to be managed.
North-West University: Annual Performance and Strategic Plan 2016 72 7.6 Pressure to comply with the Employment Equity Act will intensify. A credible EE plan, rigorous implementation at an increased pace supported by capacity building and incentives will be essential. Also refer to 2.6.1 7.7 Trade unions will play a more prominent role. Union pressure for salary increases and to influence managerial decisions whilst NWU will raise the bar on staff efficiencies, will require constructive/collaborative management-union relationships. 8 Regulation, Governance and Legal Assumptions Implications for NWU 8.1 The regulatory environment will become more stringent. The powers The position of the NWU council as highest decision-making body and of the ministry to intervene in domestic university management autonomy will be threatened. Continued engagement with all tiers of activities will increase. government to develop a healthy relationship and strengthen the social compact will be crucial. 8.2 Foundational governance principles, inherent to higher education, It will be increasingly important to appoint individuals in governance such as cooperative governance, accountability and relative bodies (council, senate, and institutional forum) who are properly autonomy and the role of university councils will continue to be equipped, as well as to inculcate ethical values and good corporate diluted. governance principles as a core and measurable aspect of the way in which these bodies conduct their business. 8.3 Legislation will increase in volume and complexity. The risk and An active, business case-based, edge-creating and mature risk- consequence of non-compliance will escalate. management approach will be necessary to ensure compliance, ethical standards and business continuity. The negative effect on the management of the core business, and the increasing risk to business continuity will require active management. Also refer 3.1.2 above. 9 Community Assumptions Implications for NWU 9.1 Regional / local communities will increasingly expect Mutually beneficial relationships, community partnerships, structured and mutually beneficial relationships with the NWU well-managed community interaction, sufficient proof of benefits/feedback community-relevant learning programmes to communities and an institutional data base of community projects to social skill and other development interventions support planning/reporting will be required. Focus will be required on access to technology programmes that build capacity, alleviate socio-economic conditions and involvement in addressing socio-economic issues through increase employability. Opportunities to improve the NWU reputation and relevant research and implementation of expertise to extend community development nationally should be exploited. The open and transparent engagement most pressing and relevant socio-economic issues and mutually beneficial applied research with income generation as well as community sustainability should be prioritised. Also refer to 6.5.
North-West University: Annual Performance and Strategic Plan 2016 73 9.2 The community in general will Continued and clear communication regarding the activities, need clarity on what differentiates the NWU from other characteristics, strengths and areas of special expertise, national universities relevance on a wider basis will be increasingly important. perceive the NWU, as a national asset and part of their heritage. 9.3 Pressure from certain community focus groups to provide funding for Perceptions that the student demographic is determined by racially-driven financially impaired students will continue. selection, and of being an ivory tower among communities in need will have to be managed and counteracted by more support and access to higher education, as well as through projects aimed at the sustainability of rural communities. 9.4 Community activism, political unrest, protests and demands will Increasing politicisation of and activism by students from communities escalate and will increasingly impact Higher Education. Community surrounding campuses will by necessity have to be managed actively. expectations and attitudes will increasingly be reflected in the Strengthening NWU relationships with local communities, promoting the student population. NWU value proposition within communities and mobilising students in larger numbers in community projects will require more attention. 10 Alumni Assumptions Implications for NWU Alumni groups will maintain an interest in the university and its future Alumni relations to ensure continued support and strategies to counteract development. Alumni will remain a significant influencer in the the risk of potential loss of support will be increasingly important. Also success of NWU. refer 2.5.2 above.
North-West University: Annual Performance and Strategic Plan 2016 74