A model design for an integrated monitoring-, management- and reporting approach for university research contracts

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dc.contributor.advisorSchutte, CSLen_ZA
dc.contributor.authorMalherbe, Corneliaen_ZA
dc.contributor.otherStellenbosch University. Faculty of Engineering. Dept. of Industrial Engineering. Engineering Management (MEM).en_ZA
dc.date.accessioned2023-07-10T13:26:21Zen_ZA
dc.date.accessioned2024-01-08T12:08:23Zen_ZA
dc.date.available2023-07-10T13:26:21Zen_ZA
dc.date.available2024-01-08T12:08:23Zen_ZA
dc.date.issued2023-12en_ZA
dc.descriptionThesis (PhD)--Stellenbosch University, 2023.en_ZA
dc.description.abstractENGLISH ABSTRACT: As with the collaborative nature of universities, creating and fostering partnerships with other like minded institutions (whether it is universities, science councils or industry) is encouraged, valued and essential for survival and stature. Universities are experiencing the challenge of building on their research endeavours whilst facing ever-declining funding from the government. Therefore, it is unavoidable for universities to work more closely with industry and apply for funds from several funding sources to diversify their funding income streams. The governance framework for universities changed significantly from the 1960s when universities were mostly state-funded, where in this decade, universities are receiving a substantial percentage of their funds through research activities by collaborations with industry and other research institutions, as well as the trade or licencing of intellectual property – which are formalised through legal-binding research contracts. This PhD-study delves into the complexity of research contracts management approaches in a university context, taking cognisance of the international context's governance and compliance frameworks and the necessary risk management processes that support the governance structure and optimising the effectiveness of the university. It is also argued that there is far more to consider regarding the contract lifecycle as it is currently recognised. Therefore, one of the key contributions of this study is the enhanced contract lifecycle by including two additional phases: (a) the Post-contract execution phase, where the operational and institutional monitoring of contractual consequences (past the contract duration) are considered and (b) Unlocking strategic value phase. There are several challenges that universities face which can directly impact their ability to put the necessary best practices in place, to govern, comply and manage related risks without being overcontrolling and unintentionally limiting the research offering of a university. This study, therefore, leads to the Model design for an integrated monitoring-, management- and reporting approach for research contracts within an enhanced contract lifecycle. The research problem is that in the absence of an integrated monitoring-, management- and reporting approach for research contracts throughout the enhanced contract lifecycle in a university context, universities are severely exposed and vulnerable to significant risks from several sources, which could otherwise be pro-actively identified, managed and mitigated. Through a systematic literature review, interviews with researchers, industry, and universities (South African and international), and drawing on the author's experience in research contracts management, this mentioned Model is designed. This design is based on the 7-Step Soft Systems Methodology (SSM), supported by various other methodologies to determine the state-of-the-art research contracts management and, more importantly, improve the current state. As a final step, the Model is validated by conducting expert interviews with several South African and international universities and using Stellenbosch University (SU) as a case study. This study identifies several South African universities that are currently in survival mode. An additional step is taken to ensure that guidance is provided by identifying the Minimum State of the Art requirements for those universities that seek to improve systematically to become more competitive for research funding.en_ZA
dc.description.abstractAFRIKAANSE OPSOMMING: Soos in die medewerkende aard van universiteite, word die skep en behoud van vennootskappe met ander soortlykig-denkende instansies (soos universiteite, wetenskapsrade of nywerheid) sterk aangemoedig en van waarde geag, maar is net so noodsaaklik vir die oorlewing asook die statuur van ‘n universiteit. Universiteite ervaar die druk om voort te bou op hul navorsingsaktiwiteite, ten spyte van ‘n ewigdurende afname in regeringsbefondsing. Daarom is dit onvermydelik vir universiteite om met die nywerheid saam te werk en vir fondse van verskeie bronne aansoek te doen om die befondsingsinkomstestrome te diversifiseer. Die bestuursraamwerk vir universiteite het aansienlik verander van die 1960’s waar universiteite grootliks deur regeringsfondse onderhou was, terwyl daar in hierdie dekade ‘n substansiële persentasie van navorsingsfondse deur navorsingsaktiwiteite deur medewerking met die nywerheid en ander navorsingsinstansies afkomstig is, asook deur die handel of lisensiëring van intellektuele eiendom – wat deur regsafdwingbare navorsingskontrakte geformaliseer word. Hierdie PhD-studie delf dieper in die kompleksiteite van navorsings kontrakbestuur spraktyke in ‘n universiteitskonteks, met inagname van die bestuurs- en nakomingsraamwerke van die internasionale konteks waarin universiteite hulself bevind, asook die nodige risikobestuursprosesse wat die bestuurstrukture ondersteun en die effektiwiteit van die universiteit optimaliseer. Daar word verder gemotiveer dat daar meer is om te oorweeg in terme van die kontraklewensiklus soos dit tans erken word. Vir daardie rede is een van die kern bydraes tot hierdie studie ‘n verbeterde kontraklewensiklus deur die byvoeging van twee addisionele fases: (a) die Post-kontrak uitvoering-fase waar die operasionele en institusionele monitering van kontraktuele gevolge (na afloop van die kontraktydperk) oorweeg word en (b) Ontsluiting van strategiese waarde-fase. Universiteite staar verskeie uitdagings in die gesig wat ‘n direkte impak het op hul vermoë om die nodige beste prakykte in plek te sit, om te bestuur, voldoen en die nodige risikobestuur toe te pas, sonder om te veel kontroles in te bou en gevolglik sonder intensie die navorsingsdoelwitte van die universiteite strem. Hierdie studie lei dus tot die Model ontwerp van ‘n geïntegreerde monitering, bestuur- en verslagdoeningsbenadering vir navorsingskontrakte binne ‘n verbeterde kontraklewensiklus. Die navorsingsprobleem is dat in die afwesigheid van ‘n geïntegreerde monitering-, bestuur- en verslagdoeningsbenadering vir navorsingskontrakte regdeur ‘n verbeterde kontraklewensiklus binne ‘n universiteitskonteks, universiteite ernstig blootgestel en weerloos is tot wesentlike risikos van verskeie oorde, wat andersins pro-aktief geïdentifiseer, bestuur en gemitigeer kon word. Die genoemde Model is ontwerp deur ‘n proses van sistematiese literatuuroorsig, onderhoude met navorsers, nywerheid en universiteite (Suid-Afrika en internasionaal) en die benutting van die outeur se ervaring in navorsingskontrakbestuur. Hierdie ontwerp is gebasseer op die 7 Stap Sagte Stelsels Metodologie (SSM), ondersteun deur verskeie ander metodologië, om die toestand van die beste beskikbare navorsingskontrakbestuursbenaderings vas te stel, en meer belangrik, om daarop te kan verbeter. As ‘n finale stap, word die Model gevalideer deur onderhoude te voer met spesialiste in die veld by verskeie Suid-Afrikaanse en internasionale universiteite, en deur Universiteit Stellenbosch (US) as ‘n gevallestudie te gebruik. Hierdie studie het verskeie Suid-Afrikaanse universiteite geïdentifiseer wat tans veg vir oorlewing en daarom is ‘n addisionele stap geneem om te verseker dat rigting verskaf word deur die dentifisering van die minimum beste praktyke-vereistes waaraan hierdie universiteite sistematies kan aandag gee om te verbeter en sodoende meer kompeterend raak vir navorsingsfondse.af_ZA
dc.description.versionDoctorateen_ZA
dc.format.extentxviii, 362 pages en_ZA
dc.identifier.urihttps://scholar.sun.ac.za/handle/10019.1/128815en_ZA
dc.language.isoen_ZAen_ZA
dc.language.isoen_ZAen_ZA
dc.publisherStellenbosch : Stellenbosch Universityen_ZA
dc.rights.holderStellenbosch Universityen_ZA
dc.subject.lcshAcademic-industrial collaborationen_ZA
dc.subject.lcshResearch and development contractsen_ZA
dc.subject.lcshAuthorship -- Collaborationen_ZA
dc.subject.lcshEducation, Higher -- Researchen_ZA
dc.titleA model design for an integrated monitoring-, management- and reporting approach for university research contractsen_ZA
dc.typeThesisen_ZA
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