UKZN Institutional Report (Phase 1)

ii UNIVERSITY OF KWAZULU-NATAL ANNUAL REPORT 2015 REPORT OF THE CHAIR OF COUNCIL Report of the Chair of Council 2 Umbiko Kasihlalo Womkhandlu 9 Officers and Members of Council 15 Performance Assessment Report 18 Council’s Statement on Corporate Governance 22 Report of the Senate to Council 26 Report of the Institutional Forum 34 Report of the Vice-Chancellor and Principal 38 Internal Control and Risk Management 58 Office of the Registrar 62 Research 66 University Teaching and Learning 70 College of Agriculture, Engineering and Science 73 College of Health Sciences 77 College of Humanities 79 College of Law and Management Studies 82 Corporate Relations 84 Human Resources 88 Institutional Planning and Governance 92 Student Services 94 Annual Financial Review 101 Consolidated Annual Financial Statements 102 UNIVERSITY OF KWAZULU-NATAL ANNUAL REPORT 2015 1 REPORT OF THE CHAIR OF COUNCIL While corporate governance is acknowledged as a basic prerequisite for the University of KwaZulu-Natal’s successful operation at all levels, we aim to go beyond a basic standard of “minimum competence” in this regard. s the custodian of good governance, Council has sought to implement and support a corporate governance system that not only meets the basic requirements of governance – as set out in various Acts, regulations and commissions – but reaches beyond these norms to develop an institutional culture that permeates all governance structures and resonates with the University’s vision and mission. AThe Council is pleased to report that, during the year under review, UKZN’s strategic direction continued to be supported by its commitment to excellence in corporate governance at all levels. One effect of such commitment is an enabling environment in which both staff and students are supported. This Annual Report goes some way towards reflecting on the University’s many achievements in 2015 that have enhanced its status as a globally-recognised, research-led institution. This Report is also a fitting opportunity to pay tribute to the outgoing Chair of Council Dr Phumla Mnganga for her sterling service and commitment to the University during her tenure at the helm of Council. On behalf of the entire University, I wish her well in all her future endeavours. Operational Information The Council and Executive Management Committee met early in the year to discuss the Strategic Plan and agree on the strategic direction for the year ahead. Council noted and supported the strategic focus areas presented by Executive Management: u African-led Globalisation u Responsible Community Engagement u Pre-eminence in Research u Excellence in Teaching and Learning u Institution of Choice for Students u Institution of Choice for Staff u Efficient and Effective Management. Dr A Ntsaluba Chair of Council 2 UNIVERSITY OF KWAZULU-NATAL ANNUAL REPORT 2015 REPORT OF THE CHAIR OF COUNCIL Ethical Leadership and Corporate cases and traffic violations. A new Access Control approach into Citizenship University campuses was successfully introduced and implemented. The safety and security initiatives that were implemented yielded the The University has placed emphasis on values-driven leadership in order desired results, with different forms of crime significantly declining to create a conducive climate and an inclusive culture for all in line with in satisfactory proportions. The tender committee (MFST) on security Strategic Goals 5 (Institution of Choice for Students) and 6 (Institution of services proceeded well with a view to identify and appoint a service Choice for Staff). To this effect the University’s REACH values (Respect, provider for safety, security and traffic management for the University. Excellence, Accountability, Client Orientation and Honesty) were re- launched and continue to be shared and engaged within various fora across the Institution. The aim is to cultivate a respectful environment Governance of Information Technology in which there is trust, open communication and shared ownership of Governance and oversight of ICT is the responsibility of the Executive these organisational values. Director of Institutional Planning and Governance. The IT Steering Committee is the senior governance and policy-making body for These values are further embedded in the UKZN Leadership Information and Communication Technology and Services at the Capability Framework and Leadership Development Programmes University. Its role is to ensure that the University’s planning for and (LDP and ALDP). The LDPs raise leaders’ awareness of the importance investment in ICT, which is understood to encompass hardware, of Emotional Intelligence (EQ) and enable them to navigate the infrastructure, software, systems and information, supports UKZN’s complexities embedded in leadership. strategic goals. During 2015, the committee met four times and The University exercises leadership within a governance system that attendance in these meetings has been excellent. The committee ensures that its mission of teaching and learning, research and service is successfully oversaw a number of key Efficiency Projects during 2015 carried out within a framework that promotes transformation, benefits which have led to innovative and efficient ways of doing business. society, protects the environment and ensures sustainability. The As the University’s ICT capability continues to expand the committee leadership style is underpinned by the conviction that the University continues to play an integral role in providing oversight and governance belongs to all its stakeholders; it hence has an obligation to act in a way of IT. that protects its ecosystems for the benefit of society at large. Information technology systems utilised by the University Risk Management have been developed and implemented according to defined and documented standards to achieve efficiency, effectiveness, reliability The University has a Risk and Compliance function, which inter alia, is and security. responsible for the following: Accepted standards are applied to protect the privacy of, and ensure u Development and approval of the enterprise risk management control over, all data. As far as is practicable, systems are designed to framework; promote ease of use for all users. The development, maintenance and u Maintenance of risk registers at corporate level and for each of the operation of all systems are under the control of competently trained academic and support sectors; staff. In utilising electronic technology to conduct transactions with u Appointment of risk champions for each sector; staff, students and third parties, the relevant controls and procedures u Monitoring compliance with risk mitigation programmes; are designed and implemented to minimise the risk of fraud or error. u Providing education and training on risk management throughout the Institution. Compliance with Laws, Codes, Rules and During 2015, the Department of Risk Management Services (RMS) Standards ensured the protection of University property and safety of staff and The University is fully compliant with all laws, codes, rules and standards students. All student protests were managed successfully with the applicable to Higher Education and its operations in general. It has not assistance of the South African Police and a private force. The CHASE been subject to any penalties, sanctions or fines for contraventions or System was launched enabling RMS to manage and track reported non-compliance with any statutory obligation. UNIVERSITY OF KWAZULU-NATAL ANNUAL REPORT 2015 3 Remuneration of Councillors individuals with appropriate skills and experience. The University has policies and frameworks in place to ensure the efficient functioning of The 2015 schedule of fees defines the honoraria and allowances the system of internal controls. However, in some areas, the controls payable to external members of Council and Council Committees require further strengthening, especially in the area of accounts as set out in the Policy on Council Honoraria and Reimbursements. reconciliations. Honoraria increased by 7% - the increase applicable to staff at a senior Major adjustments needed to be processed in the normal course of management level. Expense allowances were increased by 6.28% in line the audit, however none resulted in material financial losses. with the average CPI for 2014. The Council-controlled funds have been in a deficit position for Description 2014 2015 quite some time, and it is showing some improvement. It is accepted (rounded off) (rounded off) that it will take various interventions to reverse the deficit position, both Standard honorarium R2 120 R2 270 in terms of growing the revenue and of exercising fiscal restraint. In the Council Chair honorarium R1 080 R1 160 medium-term of three to five years, the University will be focusing on Committee Chair R725 R780 ensuring optimal cash management, to enable it to meet its obligations honorarium as they fall due. Council Chair expense R1 090 per month R1 170 per month The financial leases balance has decreased slightly, from R165 allowance million in 2014 to R164 million in 2015. Committee Chair expense R370 per month R400 per month The audit report was reported as unqualified, with the following allowance compliance and reporting issues raised: u Employees who did not complete their declaration of interests; Financial Viability and Sustainability u Instances where employees did not declare all interests in entities; and Council is conscious of its fiduciary responsibilities and is prioritising u Instances

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