OVC Report 2022

Report of the OFFICE OF THE VICE-CHANCELLOR

2022

VISION, MISSION AND VALUES VISION

MISSION

CPUT is Africa’s leading Smart University of Technology, globally renowned for innovation, with graduates that shape a better world for humanity

CPUT transforms its students, through world class researchers who inspire knowledge production and innovation that are cutting edge

VALUES CPUT agrees to oneness and smartness by: •

Embracing a culture of Ethics and Integrity;

•

Seeking Kindness and showing compassion (human heartedness) for the well-being of all our students, staff, stakeholders and the CPUT community, as expressed in ubuntu as a way of living;

•

Embracing Restoration as we deal with the legacy of our past and as we redress issues of equality, gender-based violence, and any form of discrimination;

•

Being a testimony of Unity (ubunye), whilst embracing diversity (ukungafani) in all its forms by being honest, transparent, credible and respectful;

•

Showing Passion and demonstrating enthusiasm, devotion, intensity, tenacity and total commitment to everything that we undertake as a university of technology; delivering uncompromising quality service, and always searching for better ways of doing things;

•

Taking Accountability and accepting responsibility for all our actions and the actions that we commit to; and

•

Being Technologically Astute and understanding, as staff members or students of CPUT who aspire to become technologically astute, that we will embrace and take ownership of and experiment with the possibilities technology offers. These attributes facilitate the novel application of modern technology, enabling the enhancement of productivity and efficiency, whilst always focusing on innovation that is centred on a better world.

VISION 2030 - ONE SMART CPUT In order for CPUT to become One Smart University, the following strategic focus areas were identified, and will steer CPUT towards 2030: FOCUS AREA 1 | A Smart ITC environment and CTS workforce FOCUS AREA 2 | Smart Teaching and Learning and Learning Environments FOCUS AREA 3 | Smart RTIP that is relevant and excellent in its knowledge production FOCUS AREA 4 | Smart Human Capital and Talent FOCUS AREA 5 | Smart internationalisation FOCUS AREA 6 | Smart engagement and strong links with quintuple helix partners FOCUS AREA 7 | Smart student engagement and learning experiences

The notion of One Smart CPUT is designed in terms of two key dimensions that are in support of CPUT’s one smart university concept.

DIMENSION 1: ONENESS The oneness dimension of V2030 is focused on our human-centricity through our smart people and the smart CPUT community that values and embraces unity (ubunye) in diversity (ukungafani).

DIMENSION 2: SMARTNESS The smartness dimension of CPUT’s Strategy is focused on technological developments and innovations as considered by the current and future industrial revolutions.

The Office of the Vice-Chancellor acknowledges all the staff working in the various divisions within the Office of the Vice-Chancellor for their valued contributions to helping achieve the objectives listed in this Report, and the aspirations of the University.

Office of the Vice-Chancellor Ms B Mbeki: PA to the Vice-Chancellor

Internal Audit Ms H Van Dyk: Director: Internal Audit

Centre for Diversity, Inclusivity and Social Change Ms N Tyolwana: Director: CDISC Ms V Cornelius: Office Coordinator Mr T Mfisa: Transformation Coordinator

Enterprise Risk Management Mr R Chibvongodze: Manager: Risk Management

Advancement Directorate Mr C Maseko: Director Advancement Ms K Sebola: Advancement Officer Ms L Hendricks: Donor Researcher Ms H Pietersen: Advancement Officer Mr F Jooste: Alumni Officer Ms X Magcoba: Secretary Marketing and Communication Department Dr G Van Gensen: Director: MCD Ms S Koch: Secretary Ms P Samuels: Secretary Ms C Cloete: Public Relations & Events Officer Mr D Stocken: Institutional Marketing & Branding Specialist Mr C Christians: Web Editor Ms M Marais: Senior Publications Officer Ms L Kansley: Media Relations Officer Ms M Cloete: Student Recruitment Officer Mr G Barends: Student Recruitment Officer Ms T Mtshekisa: Student Recruitment Officer Mr K Butana: Communication Officer Ms I Fredericks: Communication Officer Mr A Boyce: Communication Officer Mr K Mitchell: Audio-Visual Technician Mr C Mnisi: Audio-Visual Technician

Quality Management Directorate Dr S Makaula: Director: QMD Ms R Weideman: Manager Quality Reviews Ms E Ansen: Institutional Quality Officer Ms G Mhlauli: Senior Quality Officer Ms E Stuurman: Secretary Institutional Planning Directorate Mr L Mapatagane: Director: IPD Ms Q Behardien: Secretary Ms M Moller: HEMIS Officer Ms N Kuze: HEMIS Administrative Officer Ms D Richter: Research Office Ms J Thomas: HEMIS Coordinator Ms T Khomo: Head: Academic Planning Compliance Management Function Mr S Mtatase: Compliance Manager Mr A Libala: Policy Analyst Stakeholder Engagement Coordination Ms B Luqhide: Stakeholder Engagement Coordinator

2 4 6 12 15 23 27 32 35 41 45 49 50

Foreword by Prof Chris Nhlapo, Vice-Chancellor Executive Director in the Office of the Vice-Chancellor Centre for Diversity, Inclusivity and Social Change Advancement Directorate Marketing and Communication Department Internal Audit Enterprise Risk Management Quality Management Directorate Institutional Planning Directorate Compliance Management Function Stakeholder Engagement Coordination Conclusion Abbreviations/Acronyms

Report of the OFFICE OF THE VICE-CHANCELLOR | 2022

CONTENTS

FOREWORD BY VICE-CHANCELLOR PROF CHRIS NHLAPO Universities should be places that thrive on constant renewal; fuelled by the inventive perspectives and inspired ambitions of students, staff, alumni and friends. I can say with great certainty that the Cape Peninsula University of Technology (CPUT) has become such a university.

Without any doubt, the past two years have prompted not only CPUT, but all higher education institutions, to re-evaluate the ways they teach, learn, work, and explore. At this moment of inflection, it is important that we embrace new opportunities to strengthen the relationship between insight, values and focus, to advance CPUT’s fundamental goals, stay connected to our purpose; and to carry on our proud legacy of scholarship and impact, and being an anchor in our communities.

Throughout and after the COVID-19 pandemic, we have continued to make student success a top priority – meeting students where they are, both academically and geographically, to ensure they realise their full potential.

As our society continually evolves, the University is shaping this dynamic landscape by being an institution that addresses any form of inequality with rigour. Through our vibrant multi-cultural community, we are creating an inclusive institutional culture by collaborating across boundaries to unite global citizenship with impact; and accelerating innovation among our visionary smart world-changers.

Prof Chris Nhlapo Vice-Chancellor and Principal Cape Peninsula University of Technology

Our many distinguished and inspiring academics and dedicated staff, conducting their work from well maintained campuses, lead me to believe that CPUT will achieve all the goals set out in our new Strategic Plan, Vision 2030 – namely, to become One Smart CPUT, the MIT of Africa. We will achieve this by creating new knowledge and innovating new solutions for our region, country, and if possible, the world’s most complex problems, whilst serving those closest to us.

I often ponder the words of our beloved late President Nelson Mandela, who said: “A leader… is like a shepherd. He stays behind the flock, letting the nimblest go out ahead, whereupon the others follow, not realising that all along they are being directed from behind.” That is indeed the kind of leader we should all aspire to be.

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Leadership and excellence start at the top of any organisation, and in the case of a university, with the Vice-Chancellor. As an advocate of excellence, uncompromised governance and institutional ethics, my office needs to be held accountable to CPUT and all its stakeholders. One way of ensuring accountability is through transparent reporting; informing the entire CPUT community about our activities, and progress made in terms of my key performance areas.

This kind of report is, to my knowledge, a first for CPUT – that the Vice-Chancellor and staff reporting into the Vice-Chancellor’s Office, share their performance updates with the broader CPUT community. Many will recall the countless times I have said in meetings that there are certain functions that I believe should be overseen by the Office of the Vice-Chancellor. This is not to say that those portfolios not reporting to me directly are less important. However, you will agree that functions that ensure the academic and institutional integrity of an institution – risk management, transformation, advancement, institutional and academic planning, quality assurance, timeous audit interventions, stakeholder engagement, communication, and compliance – are vital for an institution’s standing and credibility; an aspect I will never compromise on.

academic departments, support entities, and any other form of service delivery within and outside of CPUT. In the years to come, besides achieving V2030, my Office’s focus will be on maintaining excellence in all areas of the University’s business.

My expectation is that not only Senior Managers of CPUT, but also each CPUT employee, will follow suit. In the words of Albert Camus (French philosopher and 1957 Nobel Prize in Literature awardee): “Don’t walk behind me, I may not lead.

Don’t walk in front of me; I may not follow. Just walk beside me and be my friend.”

Yours sincerely,

Prof Chris Nhlapo Vice-Chancellor and Principal Cape Peninsula University of Technology

The functions and implied CPUT staff reporting into the Office of the Vice-Chancellor are expected to demonstrate the kind of excellence insisted upon in all other divisions and portfolios of Executive Members and members of CPUT’s Management Committee – including faculties,

FOREWORD BY PROF CHRIS NHLAPO | VICE-CHANCELLOR

Report of the OFFICE OF THE VICE-CHANCELLOR | 2022

Through our vibrant multi-cultural community, we are creating an inclusive institutional culture by collaborating across boundaries to unite global citizenship with impact; and accelerating innovation among our visionary smart world-changers.

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EXECUTIVE DIRECTOR IN THE OFFICE OF THE VICE-CHANCELLOR Working in the Office of the Vice-Chancellor at the Cape Peninsula University of Technology (CPUT) is a role I treasure as a privilege.

Though working in the Office of the Vice-Chancellor is demanding and challenging, it is also highly rewarding, with many events to celebrate, and good news stories.

There are of course sad stories as well, like when we reach out to parents who have lost a child who at that time is an enrolled student of CPUT. Either way, it is indeed a great and humbling honour to fulfil this role.

The Office of the Vice-Chancellor represents the heartbeat of our University, and is an office expected to lead with high levels of integrity and demonstrable work ethic. Reporting into the Office of the Vice-Chancellor comes with considerable responsibility – and employees are expected to show high levels of emotional intelligence, knowledge, and skills.

Prof Driekie Hay-Swemmer Executive Director in the Office of the Vice-Chancellor

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My role as Executive Director in the Office of the Vice-Chancellor (ED: OVC) encompasses being an advisor – not that Prof Chris Nhlapo needs much guidance, being that he is a highly competent and dedicated Vice-Chancellor. But, as we know, we all sometimes need a place where we can connect to brainstorm ideas, since knowledge and wisdom do not reside with only one person in an organisation.

The philosophy in the Office of the Vice-Chancellor is that we want to hear all voices. This Report will provide an overview of current initiatives within the Office of the Vice-Chancellor. However, this is only a snapshot.

My role comes with huge responsibility. Apart from the nine different functions reporting via me to the Vice-Chancellor, I must ensure that all operations related to the Office of the Vice-Chancellor run smoothly, and that all internal and external stakeholders’ expectations are met. I need to be on top of my game, and demonstrate knowledge of all the various portfolios reporting to the Vice-Chancellor.

The role of the ED: OVC is often misunderstood, yet I believe it is through knowledge and information sharing that a deeper understanding will emerge.

Report of the OFFICE OF THE VICE-CHANCELLOR | 2022

I am responsible for the successful implementation of Vision 2030 (V2030), and evaluating and monitoring progress made with the Strategy. I ensure the regular submission of internal audit reports, and matters of compliance and risk management, which collectively form CPUT’s Combined Assurance Function. Apart from the above-mentioned, the ED: OVC needs to provide thorough guidance regarding CPUT’s transformation agenda, how from a marketing and communication perspective we should position CPUT, and how we should raise funds (through the Advancement Function).

I am grateful that I am often asked to do a keynote address on a specialised area; and to facilitate internal workshops, or difficult conversations.

During 2022, I had the opportunity to represent CPUT at several engagements. I have published two articles, and presented four keynotes, some of which are currently in the process of being published. As the Golden Key Honorary Society’s International Board Member, I have firsthand understanding of how CPUT’s GK Chapter is growing and having huge impact.

Universities; Third Stream Income Committee; Food Security Project; Women Empowerment Project; MTN Project on Women in STEM Professions; and a project on the non-abuse of alcohol.

My wish is that I will have the courage and strength to continue to fulfill this role in humility, and to the best of my abilities.

Yours sincerely,

Prof Driekie Hay-Swemmer Executive Director in the Office of the Vice-Chancellor

I am also responsible for the VC’s special projects, and ensure that regular meetings take place, that funding proposals are submitted, and that progress reports are presented to sponsors/ donors. Some of these meaningful projects include the following: the VC’s Prestigious STEM School Project; the VC’s Think-Tank on Smart

EXECUTIVE DIRECTOR IN THE OFFICE OF THE VICE-CHANCELLOR

Report of the OFFICE OF THE VICE-CHANCELLOR | 2022

The Office of the Vice-Chancellor represents the heartbeat of our University, and is an office expected to lead with high levels of integrity and demonstrable work ethic.

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CENTRE FOR DIVERSITY, INCLUSIVITY AND SOCIAL CHANGE Transformation is the cross-cutting pillar of the Cape Peninsula University of Technology’s (CPUT) Strategic Plan, Vision 2030. It is anchored in the values of ‘Oneness’ and Smartness dimensions that embrace the values of ubuntu (human centricity), ubunye (unity) and ukungafani (diversity).

The Centre for Diversity, Inclusivity and Social Change (CDISC) drives the implementation of the Institutional Transformation Framework that realises an inclusive Vision 2030 across the University. Similarly, diversity, inclusivity and social change are critical signifiers of transformation, entrenched in the lived reality and institutional culture of the University. They also cut across students’ life and experiences, staff administration, policies and programmes, learning and teaching, the curriculum, research and innovation, and community engagement.

Nonkosi Tyolwana Director Centre for Diversity, Inclusivity and Social Change

CDISC also drives the institutionalisation of the higher education transformation legislation and policies, including the following: • White Paper on Transformation in Higher Education (DHET Act No. 101 of 1997); • Policy Framework on the Realisation of Social Inclusion in P-SET, 1996; • Policy Framework on Disability for P-SET, 2018; • Policy Framework for Addressing Gender-Based Violence in P-SET, 2021; and • Language Policy Framework for Public Higher Education, 2021.

The South African Human Rights Commission (SAHRC) also stresses that: “Transformation in South African universities must be reflected in all aspects of the institutions such as governance, management and leadership, student environment, reasonable accommodation and equal access, academic success, equity and equality, in staffing, gender, institutional cultures, progressive as well as inclusive teaching, learning, curriculum, research and community engagement” (SAHRC: 2018).

Key 2023 transformation highlights: The Vision 2030 journey CDISC played a very strategic role in driving transformation imperatives.

The following highlights include:

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The Institutional Gender Based Violence Committee (IGBVC)

and external partners, such as Takuwani Riime Men’s Movement.

The Institutional Gender Based Violence Committee was inaugurated in March 2022 in order to ensure gender-based violence (GBV) accountability, coordination and leadership. It is a critical strategic structure aimed at demonstrating Management commitments in addressing GBV.

As part of strengthening critical priorities of IGBVC, the first CPUT GBV Research Indaba will be hosted on 8–9 March 2023, and will coincide with International Women’s Day. This GBV Research Indaba is presented in collaboration with RTIP, Fundani, DSA and HERS-SA.

The IGBVC is also aligned to the Policy Framework for addressing GBV in higher education, as well as the National Strategic Plan on Gender Based Violence and Femicide (NSP-GBVF) in South Africa.

Gender transformation and Think-Tank on Gender Equality and Women Empowerment (GEWE)

The IGBVC is chaired by the Vice-Chancellor, and the six strategic GBV pillars are led by Executive Management (EM), Management Committee (ManCom) and Student Representative Councils (SRCs). The IGBVC meets quarterly, and reports to the Council on the progress in the eradication of GBV on campus.

South African universities are under pressure to demonstrate gender transformation through gender parity, diversity and inclusivity in leadership and management, staffing, student life and experiences, and in knowledge production (learning and teaching, curriculum, research and innovation and community engagement). This includes the integration of feminism in decolonisation agenda within the African philosophy.

Other critical strategic interventions aimed at eliminating GBV included the rolling out of GBV Crucial Conversations, in partnership with the Research, Technology Innovation and Partnerships (RTIP) Division, Fundani Centre, and Division of Student Affairs (DSA). These Conversations targeted different role players, such as women, men, and LGBTQIA+ communities, in order to discuss and share lessons, practices, and research agendas on GBV.

The Think-Tank on Gender Equality and Women Empowerment (GEWE) is functional in most international universities, in partnership with United Nations (UN) Women. The Think-Tank on GEWE was inaugurated in June 2022, with CPUT being the first university in South Africa to pilot this programme as a tool for accelerating the achievement of Sustainable Development Goal (SDG) 5 on gender transformation.

GBV Crucial Conversations on Masculinity were rolled out from June 2022. They were aimed at eradicating GBV, and the conversations were led by men representing Management, staff, students,

The Think-Tank on GEWE is comprised of Executives, Directors, Deans and SRC, and serves as an oversight body for the implementation of women’s empowerment and gender equality.

CENTRE FOR DIVERSITY, INCLUSIVITY AND SOCIAL CHANGE

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Transformation in South African universities must be reflected in all aspects of the institutions such as governance, management and leadership, student environment, reasonable accommodation and equal access, academic success, equity and equality, in staffing, gender, institutional cultures, progressive as well as inclusive teaching, learning, curriculum, research and community engagement.

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Engagement of men in GBV and women empowerment prevention initiatives Gender is not a women’s issue, it is everybody’s issue and human rights issue. The roles of women, men and gender non-conforming communities are critical in promoting gender equality and women empowerment.

In May 2022, the first cohort of the HeforShe Ambassador programme was launched to enhance the involvement of men (students and staff) in GBV, gender equality and women empowerment prevention activities across the University. This initiative was done in collaboration with CPUT’s Division of Student Affairs, faculties, and Labour.

Young women empowerment through EmpowerHerSA-CPUT African women are faced with numerous challenges that limit career achievements and progression. These career limiting constraints include competition with the boy child for family resources to get education; “octopus woman burden” status, i.e., the multiple traditional roles that compel women to be everything to everyone; workplace challenges, such as bullying and sexual harassment; the pressure to work harder to prove competencies; “PhD (pull her down) syndrome” versus boys’ club; access to resources for personal growth; and the need to sacrifice personal career development opportunities, among others. These challenges make mentoring essential for women in higher education to effectively mitigate some of these.

EmpowerHerSA-CPUT was launched in partnership with CPUT’s Division of Student Affairs; Faculty of Applied Sciences; SRC; and the Environment, Climate Change and Sustainability Research Focus Area; and the EmpowHerNg Co-conveners (Nigeria).

It is aligned to the SDG 5 indicator on Gender Equality and Women Empowerment, the cross-cutting SDG across all 17 SDGs. The Think-Tank on GEWE is supported by various initiatives aimed at accelerating gender transformation, as well as SDG5 on Gender Equality and Women Empowerment. These partnership initiatives include the following:

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CPUT is the first university in South Africa to sign up as part of EmpowerHer International – a mentoring programme aimed at empowering undergraduate young women until they graduate. It targets women students from first-year to final year programme, and aims to assess the Gender Parity Index (GPI) from enrolment to graduation to enhance access and success. The GPI is also critical to gauge the success

The first cohort of students across faculties signed up for EmpowerHer in August 2022. The induction programme is scheduled for 25 November 2022, in order to coincide with the start of 16 Days of Activism for No Violence Against Women and Children.

Gender and disability mainstreaming in learning and work spaces In August 2022, the Centre for Diversity, Inclusivity and Social Change organised a webinar in order to craft the strategy for mainstreaming gender and disability as the cross cutting pillar of Vision 2030.

The gender mainstreaming webinar demonstrated how gendered perspectives are central to all staff, students, teaching and learning, curriculum, research and community engagement activities. It also included issues such as: • Identifying gaps in gender equality through the use of gender analysis and sex-disaggregated data; • Raising awareness about gender gaps in systems, policies and procedures; • Putting adequate resources and the necessary expertise into place; • Monitoring implementation; and • Holding individuals and institutions accountable for results.

The Gender and Disability Mainstreaming Strategy is currently being crafted as an institutional strategy, to be integrated into Vision 2030.

Institutionalising an African-centred Vision 2030 strategy CPUT, as an African university, has a vision to be Africa’s leading university of technology, in line with Agenda 2063 (Africa Agenda). Africa Day lectures are held every May, in order to help:

• establish Agenda 2063 in institutional culture, staff and students, teaching and learning, curriculum, research and innovations, and community engagement; and • to re-Africanise our universities to be globally renowned for cutting edge innovation, with graduates that shape a better world for humanity.

“Oneness” dimension and values of “ubunye”, “ubuntu” and “ukungafani” CDISC, in collaboration with Institutional Planning and RTIP, conducted a diversity and inclusivity survey for staff and students. The survey was aimed at assessing the diversity and inclusivity climate of staff and students, as well as gauging whether the University is providing spaces that enhance diversity, equity, inclusivity and belonging.

The findings of the survey highlighted key thematic areas such as gender sensitivity; language diversity; race relations; LGBTQ+; disability inclusion; xenophobia; gender-based violence; upstander culture; allyship; conscious-bias; psychological safety; and reasonable accommodation and access across the focus areas of Vision 2030, especially focus areas 2, 3, 4, 5, 6 and 7.

The first phase of the implementation of the survey is currently being rolled out, and will include the outcome: institutional “One Smart” Integrated Oneness Framework on Diversity, Equity, Inclusivity and Belonging (DEIB).

Other activities to support “oneness” and the values of Vision 2030 include the celebration of Heritage Month, in collaboration with DSA, to enhance diversity, inclusivity and social cohesion. Students from different cultures, countries and religions gathered in a show of unity in diversity and ubuntu, foregrounding traditional attire, dancing, African cuisine, language, indigenous games, and music.

CENTRE FOR DIVERSITY, INCLUSIVITY AND SOCIAL CHANGE

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of women students in previously male dominated fields such as STEAMI (Science, Technology, Engineering, Arts, Mathematics and Innovations).

Plans are underway to include Marine students.

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Mental health and its impact on xenophobia and social cohesion During October, CDISC, in collaboration with RTIP and DSA, organised a mental health awareness bus tour around Cape Town. The main purpose of the bus tour was to help eradicate xenophobia, and strengthen social cohesion and unity between international students and local students as CPUT students.

The CPUT survey on diversity and inclusivity indicates that xenophobia leads to mental health problems.

Many international students feel lonely and excluded, and cannot integrate fully into mainstream student life. Few opportunities exist for networking between international and local students, except in the classroom. There is a need to build social cohesion, as all students’ experiences and perceptions are the same. Research indicates that mental health is the silent killer in South African universities, affecting both international and local students.

During the bus tour, a number of activities were done to raise awareness on mental health and breast cancer.

This joint programme was aimed at strengthening social cohesion and uniting students in dealing with social ills on campus and in residences.

Community engagement as the transformative tool to enhance the University’s social responsiveness In line with Vision 2030’s Focus Area 6, CDISC partnered with a local NGO on the Isisele Senyathi (“reservoir of knowledge”) Hub. The project is aimed at restoring women’s memories, and discovering the hidden and often untold stories of African women – from political activists, domestic workers, factory workers, educators, union members, to the earliest women graduates – and to share this information with a wider audience. This was done through various initiatives such as:

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• • •

Documenting and profiling our unsung heroines; Hosting lifelong learning and intergenerational dialogue; and Recognising the voices of indigenous women and significant current limitations.

The 2022 international conference to unpack the project brought together civil society organisations, veterans, women activist scholars, researchers, experts, and designers to reflect on women, heritage and historiography.

Key on the agenda of the conference was: • Identifying future steps needed to advance research on women, and design, and to make a concerted effort to bridge the gender gap in the heritage and IKS field; and • The establishment of a forum for open discussion through a mix of multimedia, pre-recorded and live conversations to feature keynotes, panel discussions, breakout sessions, storytelling, workshops, networking; and many exciting experiences, including storytelling, poem readings and music, to jointly explore current and future directions.

Ongoing advocacy and themed campaign initiative As part of raising awareness, CDISC coordinates advocacy and themed campaign initiatives on key transformation imperatives on significant commemorative days.

DATES

COMMEMORATION

CDISC THEMES APPROACH

11 February

World Internet Day

Raise awareness on cyber safety, cyber-bullying, and the gender digital divide across the University

20 February

World Social Justice Day

• Women and social justice; • Unpack social justice for women, men, and gender nonconforming communities; • Awareness raising on Equality Courts

March

Human Rights Month

Awareness of women’s rights as human rights

8 March

International Women’s Day

Theme: #BreakTheBias (2023)

21 March

Human Rights Day

Partner with the DOJ&CD to raise awareness on human rights

25 May

Africa Day

Theme: #WeAreAfrica • Raising awareness on Africanising our University • Africanising our learning, teaching, curriculum, research, and community engagement

June

Youth Month

• Empower women in residences • Host and expose young women from various high schools to Science, Engineering, Technology • Young women and EmpowerHer initiatives

July

Moral Regeneration Month

Partner with religious or faith-based organisations on building positive values and moral regeneration

August

Women’s Month

Consolidate Women’s Month programme across campuses through Institutional Transformation Forum

9 August

National Women’s Day

Host an event/activity to mark the significance of Women’s Day

September

Heritage Month

Awareness raising on women and cultural practices

October

(a) International Breast Cancer Month (b) Mental Health Month

Awareness raising on breast cancer and mental health on campus

2–9 October

International Human Trafficking Rights Awareness Week

Awareness raising on human trafficking rights

19 November

International Men’s Day

Raising awareness and showcasing men as role models, positive morals

25 November

Start of the 16 Days of Activism Campaign: International Day for Elimination of Violence Against Women

• Activities to mark the 16 Days of Activism Campaign • EmpowerHer induction

1 December

World AIDS Day

Integrating 16 Days of Activism into World AIDS Day (Partnership)

3 December

International Day for Persons with Disabilities

Integrating 16 Days of Activism into International Day for Persons with Disabilities (Partnership)

10 December

Last day of the 16 Days of Activism Campaign: International Human Rights Day (10 December)

Awareness raising on the 16 Days of Activism, and announcement of the continuation of 365 Days of Activism – #365DaysofActivismforGBV

CENTRE FOR DIVERSITY, INCLUSIVITY AND SOCIAL CHANGE

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These campaign themes include, among others:

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ADVANCEMENT DIRECTORATE The Directorate: Advancement, an ally of note to support students in need We all know that the South African Higher Education Sector is facing a student debt crisis. The country’s 26 public universities are collectively owed between R10–R14 billion in unpaid fees. Already in 2020, Universities South Africa (USAf) began assisting universities with access to student debt funding.

The table below shows that R52 million is yet to be received by the Cape Peninsula University of Technology (CPUT) from its partnership with USAf. However, readers of this Report should take cognizance that CPUT is getting the lion’s share of the USAf facilitated funding. The Advancement Department is working relentlessly on getting the outstanding funds.

Mandla Calvin Maseko Director Advancement

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It is critical that readers of this Report should note that the USAf and CPUT partnership benefits 5% of the CPUT student population. 82% of this funding supports undergraduate students. Most of the beneficiaries of the funding (72%) are female students. The table below provides an overview of the financial benefits of CPUT’s partnership and relationship with USAf. No Company

Initial amount

Amount Paid

Outstanding Balance

1 USAf (FOODBEV)

R 6,171,323

R-

R 6,171,323

2 USAf SERVICES SETA

R 11,882,105

R-

R 11,882,105

3 USAf ETDP PGCE 2021

R 4,497,631

R-

R 4,497,631

4 USAf ETDP PGCE 2022

R 5,187,976

R-

R 5,187,976

5 USAf ETDP PG 2020

R 6,243,281

R 2,250,000

R 3,993,281

6 USAf FASSET

R 13,740,178

R-

R 13,740,178

7 USAf ETDP UG 2020

R 6,497,614

R 5,625,000

R 872,614

8 BANKSETA 2022

R 2,076,400

R 2,076,400

9 BANKSETA 2019–2021

R 3,986,736

R 3,986,736

TOTALS

R 60,283,244

R 7,875,000

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R 52,408,244

Vice-Chancellor’s Prestigious Achievers Awards Programme The Vice-Chancellor’s Prestigious Achievers Awards Programme was launched in October 2018. Since its inception, it has supported 18 full bursaries (11 doctoral and seven master’s students). Fourteen of the awardees were female (nine doctoral and five master’s students); while four were male (two doctoral and two master’s students). These indicators demonstrate the OVC’s commitment to gender equality, amongst other strategic transformation initiatives and imperatives. In addition, 22 students who needed critical support to complete their master’s or doctoral degrees were awarded smaller “VC Support” grants.

In October 2022, we celebrated the first graduates of the Programme (two doctoral and two master’s graduates).

The Vice-Chancellor’s Digital Literacy and STEM Community Engagement Projects In 2022, the Office of the Vice-Chancellor launched the Digital Literacy Project with R1.5 million from BankSETA. Cofimvaba Junior Secondary School, in Cofimvaba, Eastern Cape, was selected because CPUT received 102 students from the school in 2022 (30% of their 2021 matriculants). This is our biggest feeder school in the Eastern Cape.

Subsequently, CPUT provided digital literacy skills to 100 matriculants, and the VC will award the learners certificates in December 2022.

BankSETA awarded CPUT another R1.5 million to implement the project in 2023.

ADVANCEMENT DIRECTORATE

Report of the OFFICE OF THE VICE-CHANCELLOR | 2022

The Vice-Chancellor has met with school principals to discuss intervention strategies to ensure that CPUT plays a pivotal role in building a promising pipeline of future students with good academic results in STEM subjects.

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Vice-Chancellor’s Prestigious Maths and Science Project CPUT is currently implementing a R800,000 Maths and Science Project, funded by the Chemical Industries Education & Training Authority (CHIETA). So far, the project has been implemented in four selected schools in the Cape Metropolitan region, and benefits 100 learners. To ensure CPUT focuses on the most appropriate schools and learners, the Vice-Chancellor, as part of his Stakeholder Engagement Programme, has met with a number of school principals in CPUT’s immediate environment, and discussed intervention strategies – not only to assist schools, but also to ensure that CPUT plays a pivotal role in building a promising pipeline of future students with good academic results in STEM subjects.

Office of the Vice-Chancellor’s Department of Higher Education and Training (DHET) Heritage Careers Expo CPUT hosted Hon Buti Manamela, Deputy Minister of DHET, on a Heritage Careers Expo held on 20 July 2022.

More than 500 basic education learners and educators attended the expo at CPUT’s Bellville Campus. They were exposed to the industry, and CPUT’s food technology station.

Office of the Vice-Chancellor’s students’ support With the support of the Office of the Vice-Chancellor, firstyear Film Production student, Anande Kuse, was funded to represent the Cape Town Table Tennis (CTTT) team at the SA Table Tennis Championships in Durban. CTTT came second, bagging a silver medal in the U/19 team events category.

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The Marketing and Communication Department (MCD) is located within the Office of the Vice-Chancellor of the Cape Peninsula University of Technology (CPUT). The Department is responsible for various internal and external marketing and communication functions.

During the last two years, MCD established itself as an innovative department, being agile, flexible, showing resilience, and convincing not only CPUT, but also the broader South African higher education environment, of its innovative ability to embrace uncertain times.

Virtual Open Day (VOD) Project As of 31 October 2022, 44,454 people have logged in to attend the Virtual Open Day 2022 – surpassing physical Open Day attendance. VOD will be live until 15 December 2022. MCD has already started with the process of creating Virtual Open Day 2023, which is set to run in parallel with a physical Open Day. The CPUT V2030 strategic framework has seven key focus areas, each with several objectives; one of which is the adoption of SMART student recruitment mechanisms. This strategic objective, along with severe COVID-19 restrictions, made the physical hosting of the annual CPUT Open Day impossible, and an alternative solution was needed. The CPUT Open Day is the most significant student recruitment marketing initiative the University undertakes. The Virtual Open Day was a first for CPUT, and involved building various virtual venues for attendees to explore the CPUT course offering. Users experienced the VOD by registering on the site after viewing social media, newspaper, or word of mouth marketing. The registration process captures users’ name, cell phone number, school of attendance, subjects being taken, and grade.

Dr Garth van Gensen Director Marketing and Communication Department

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MARKETING AND COMMUNICATION DEPARTMENT

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The site went live on 14 May 2022. When logging on, inquirers would be greeted with a custom animation of the front of the Bellville Campus Administration Building. They would then enter the Administration Building and be taken to a lobby, simulating real life.

The lobby is the main event area, and from the lobby, the user can visit one of the six faculty exhibition halls to view the unique exhibition stands of each course.

Alternatively, the user can visit the Auditorium to watch one of the 12 webinars offered.

The Auditorium is pictured second from the top.

Each faculty has a virtual exhibition stall. See example third from the top.

Each faculty exhibition stall has a video, brochure, course information and live chat facility, with a course representative. An example of a course exhibition stand is pictured at the bottom.

Graduation Booklet Migration Project In past years, CPUT printed graduation books; a costly undertaking, with a fair amount of wastage.

The production lead times (time between getting data from the Assessment and Graduation Centre (AGC) and printing in time for a ceremony) do not lend themselves to printing hard copies of the programmes.

Therefore, embracing the One SMART CPUT ethos, the Graduation Planning Committee decided to host the books electronically on the CPUT website.

However, posting a PDF on the website was not a suitable solution. MCD decided to use its digital publishing platform ISSUU.COM and embed these publications in the www.cput.ac.za website. Users were directed to this page via a prominent banner on the CPUT home page. ISSUU is well suited to mobile devices, and allows users to page through the graduation book on any device, and to download the publication. It also allows users to share the publication on their various social media channels, among many other SMART features.

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Readership statistics

MCD compiled and designed each graduation book in-house, with names received from AGC. Each graduation day morning, the books for the day’s ceremonies were uploaded to ISSUU and embedded on the CPUT homepage. Users could then browse the graduation book and follow proceedings from their mobile devices, with very little data being used. A total of 14 Graduation books were produced.

During graduation week, a total of 106,206 people read the graduation books, with an average read time of 1:40. This is considerably more than would have had access to the physical printed copies.

A total of 598,535 impressions were generated.

Impressions are the number of times our publication was shown on the ISSUU network – whether as a thumbnail in a feed, in search results, or on websites with the content embedded.

Readership graph Totals

598 535

106 206

00:01:40

296

IMPRESSIONS

READS

AVERAGE READ TIME

CLICKS

Performance

IMPRESSIONS

Publications

READS

Article Stories

AVERAGE READ TIME

CLICKS

Visual Stories

25 000

20 000

Reads

15 000

10 000

5 000

0 Apr 19 2022

Apr 20 2022

Apr 21 2022

MARKETING AND COMMUNICATION DEPARTMENT

Apr 22 2022

Apr 23 2022

Apr 24 2022

Apr 25 2022

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How it worked

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How users accessed the graduation books and where they found them Reading devices

Sources

Desktop

7%

Embeds

97%

Phone

93%

issuu.com

3%

The geographic spread of the readers. This can largely be attributed to readers sharing graduation books on their social media channels.

Readers around the world

TOP 10 COUNTRIES 102,040

Nigeria

202

United States of America

958

Lesotho

174

Unknown country

819

United Kingdom

155

Namibia

227

Germany

149

Netherlands

214

Canada

114

South Africa

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This site is the public facing electronic home of Vision 2030, featuring V2030 news, projects, project progress, multimedia and V2030 plans.

The site is live and content is continuously added. It can be viewed at: https://blv-wpress01-test.cput.ac.za/

CPUT Annual Report 2021 The Annual Report 2021 design brief was formulated and submitted to the appointed designer, to design a report that could be distributed electronically, since only a very limited number of copies are required to be printed for the Department of Higher Education and Training submission. The design and layout followed the 2020 edition, incorporating images that relate to the courses offered at CPUT, and visually representing the University’s six faculties equally.

CPUT Style Guide The CPUT Style Guide was created to assist CPUT staff with their report writing. The Guide aims to create a consistent in-house language and style with a distinctive tone that ties in with the brand. The sections on punctuation, numbering, and especially the “Frequently confused/ misused words; Tricky words/ phrases”, are useful references for non-English first language speakers. The CPUT Style Guide is also a practical resource for referencing CPUT-specific nomenclature. It exists in conjunction with the brief style guide in the Brand Identity Manual, and was designed to be distributed electronically, as this allows users to look up items easily by doing a simple search in the PDF.

MARKETING AND COMMUNICATION DEPARTMENT

Style 2022

Version: May 2022

Guide

creating futures

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V2030 Micro Site

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Hybrid Event System Demand for the hybrid event streaming solution has increased steadily, with several high-profile international CPUT events. The system has the capability to turn large-scale events in any venue into fully interactive hybrid events.

Several new features have been added to the system, and there is a plan to pioneer a Zoom or MS Teams based multi-camera hybrid event system aggregated to social media/video platforms via an online stream aggregator soon.

SMART Student Welcoming The student welcoming is normally held on three campuses over a three-day period. The ceremony features a welcome by the Vice-Chancellor, introduction to Management, and a Division of Student Affairs orientation. Due to limitations on the number of participants allowed at events, MCD decided to go the SMART route and record a series of videos that could be aggregated over our official communication channels. A virtual studio was set up at Granger Bay Campus, and welcoming speeches from the VC and each faculty dean were recorded. These videos remain available on the CPUT YouTube channel.

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Over the years, the Dome of Remembrance has lost its status as the “soul” of the CPUT campus. In 2020, a project was launched to revitalise the Dome using multimedia facilities to best remember those we have lost. After design approval in February 2022, IDFM has now commenced building works. Once completed, four screens will be installed into the Dome to complete the project.

MDASat media coverage Media Liaison enjoyed a busy first quarter. In January, the build (on CPUT’s Bellville Campus) and launch of the MDASat constellation of satellites, which is a first for Africa, resulted in overwhelming national and international media attention for the Institution. For the month of January 2022, the MDASat launch garnered an impressive R5 million in media coverage. The coverage included live crossings by e-tv news from CPUT’s ground station in Bellville, as well as international coverage from outlets like Voice of America and China TV. Regional and national media coverage included outlets like SABC, KykNET, CapeTalk, Expresso, The Argus, Cape Times, ENCA, and News24.

The sentiment of this coverage was congratulatory and positive for the future of South Africa’s space ambitions, and CPUT’s supporting role within that.

MARKETING AND COMMUNICATION DEPARTMENT

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Dome of Remembrance

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V2030 Launch event MCD organised an event with the theme, “Navigating Obstacles: Scenario Planning for Vision 2030”.

Renowned strategist, best-selling business author, and founding partner of Mindofafox and its education and training arm, Growing Foxes, Chantell Ilbury, was the guest speaker at the event, which was held at the Auditorium on the Bellville Campus on 27 July 2022. Guests were welcomed by Prof Driekie Hay-Swemmer, Executive Director in the Office of the Vice-Chancellor, who described the event as an exciting moment for the Institution. In his keynote address, Vice-Chancellor Prof Chris Nhlapo, said the Institution had made a choice to be a Smart University before the end of this decade. Ilbury’s presentation focused on scenario planning in terms of possible obstacles to the Vision 2030 journey.

This was followed by a lively Q&A session, facilitated by programme director, Prof Paul Green. The best was saved for last, as MCD had developed custom V2030 laser graphics with the technical vendor, and put together a V2030 laser show, which concluded the event.

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INTERNAL AUDIT The Internal Audit Strategy was approved at the March 2021 Council meeting.

The Strategy was informed by Vision 2030 – One Smart CPUT, with a vision and mission statement customised for CPUT Internal Audit.

Vision CPUT Internal Audit strives to be the benchmark of excellence for internal audit functions in higher education in Africa by providing insightful assurance and advisory services that will operate as catalysts for enhancing the University’s ability to be globally renowned for cutting edge innovation with graduates that shape a better world for humanity.

Mission CPUT Internal Audit will enhance and protect organisational value by providing riskbased and objective assurance, advice, and insight in support of CPUT’s Vision 2030 – One Smart University through a combined assurance approach and using cutting edge technology.

The development and implementation of the CPUT Combined Assurance Framework is a key initiative spearheaded by Internal Audit (see below).

Three areas of strategic focus

Hendrike van Dyk Director Internal Audit

Internal Audit’s vision and mission are delivered in three broad focus areas, involving people, process, and technology. Planning commenced in 2021, following approval

by Council.

FOCUS 1: PEOPLE Attracting and developing the right mix of talent within CPUT Internal Audit to deliver on our mission and to add value to the University today, and to continue adding value in future by evolving in pace with changes at the University, while balancing between effective risk coverage and cost FOCUS 2: PROCESS Using agile audit methodologies that are compliant to IIA standards to develop and deliver on an Internal Audit Plan that is responsive to risk, while also meeting stakeholder needs FOCUS 3: TECHNOLOGY Using modern audit technologies to enhance audit coverage and enable continuous adding, while also driving efficiency while fostering a culture of innovation and personal development in the use technology

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Tactical implementation continued in 2022, commencing with the “People” pillar which would enable the “Process” and “Technology” pillars to be implemented.

People: The recruitment process for an audit manager has advanced to the final stages, and the successful incumbent is expected to join CPUT in early 2023.

Further appointments are envisaged once this key position is filled.

CPUT Internal Audit will continue to rely on co-source partners to maintain continuity and access to specialist functions. BDO Advisory was appointed as cosource partner for 2022 to 2024. The onboarding and handover to BDO took place in February and March 2022. “Onboarding” included agreeing on standard methodology, standard templates, BarnOwl training, ways-of-working, and introductions to key CPUT contacts. “Handover” included continuous auditing and follow-up processes. These were revisited mid-2022 for further process improvements and possible clarification.

Process: Audit methodology formed part of the onboarding processes. Improvements were implemented in consultation with BDO in May 2022, including lessons learned during BDO’s “first 100 days”.

Technology: The procurement process for an electronic working paper solution has commenced, and the tender process is in the advanced stages of completion. The intention is to complete the implementation by February 2023.

Key initiative: Combined assurance The CPUT Combined Assurance Framework was approved by Council in 2021, and implementation commenced for the 2022 academic year. CPUT adopted a combined assurance model to provide a coordinated approach to all its assurance activities.

The model is designed to ensure that CPUT addresses

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all the significant risks it faces, and to monitor the relationship between the various leaders at CPUT, including Council and its committees, Executive and Line Management; and assurance providers, such as Risk Management, Compliance Management and Internal Audit.

Combined assurance is the process of internal and external assurance providers working together and combining activities to reach the goal of communicating information to Management and the governance bodies of the University.

The objective is to integrate and align assurance processes so that Executive Management and governance bodies (Council, and the Audit and Risk Oversight Committee (AROC)) obtain a holistic view of the effectiveness of the University’s governance processes, risks and controls, to enable them to set priorities and take action.

The CPUT combined assurance framework is aligned with the University’s risk management approach. Risks facing the University are identified, evaluated and managed by implementing risk mitigations, such as insurance, strategic actions, or specific internal controls.

Principles of combined assurance at CPUT CPUT has adopted a principles-based approach to combined assurance. This approach is based on the IIA’s Three Lines Model (IIA, 2020) and is designed to provide flexibility. As such, Council, Executive Management and assurance providers are not slotted into rigid lines or roles.

TABLE 1 Six Principles of the CPUT Combined Assurance Framework

1

CPUT has implemented appropriate governance structures and processes that enable accountability

by Council, action by Management, and assurance by Independent Audit.

2

Council and its subcommittees ensure appropriate structures and processes are in place for effective governance.

3

Management's responsibility to achieve CPUTs objectives comprises both first- and second-line roles. First-line roles are mostly aligned with the delivery of services, and include the roles of support functions. Second-line roles assist with managing risk.

4

Internal Audit (Line 3) provides independent and objective assurance and advice on the adequacy and effectiveness of CPUTs governance and risk management. This is achieved through systematic and disciplined processes, expertise, and insight.

5

Internal Audit's independence from the responsibilities of Management is critical to its objectivity, authority, and credibility.

6

All roles, working collectively, contribute to the creation and protection of value when they are aligned with each other and with the interests of stakeholders.

Key roles in the CPUT Combined Assurance Model Key role players in the CPUT Combined Assurance Model are Council and its committees, Management (Line 1 and 2), Internal Audit (Line 3), and external assurance providers. The areas of responsibility for these role players are generally described as: • Accountability by Council to stakeholders for oversight; • Actions (including managing risk) by Management to achieve organisational objectives; and • Assurance and advice by an Independent Audit Function to provide insight, confidence, and encouragement for continuous improvement.

The role players, their responsibilities and interactions are depicted in Figure 1.

INTERNAL AUDIT

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The CPUT combined assurance framework is based on six principles (Table 1).

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Governing body roles: Integrity, leadership and transparency

MANAGEMENT

INTERNAL AUDIT

Actions (including managing risk) to achieve organisational objectives

Independent assurance

First line roles: Provision of products/services to clients; managing risk

KEY

Accountability, reporting

Third line roles: Independent and objective assurance and advice on all matters related to the achievement of objectives

Second line roles: Expertise, support, monitoring and challenge on risk-related matters

Delegation, direction, resources, oversight

EXTERNAL ASSURANCE PROVIDERS

GOVERNING BODY Accountability to stakeholders for organisational oversight

Alignment, communication coordination, collaboration

Figure 1. Source: IIA, 2020

Combined assurance implementation The implementation of the combined assurance framework at CPUT follows a four-step approach, which is centred around creating and maintaining an assurance map for CPUT. The first assurance map was completed in February 2022, and focused on strategic risks only. The next step would be to assess the actual assurance for the 2022 academic year.

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STEP 1

STEP 2

STEP 3

Develop an assurance map

Assess actual assurance

Define desired assurance

Report of the OFFICE OF THE VICE-CHANCELLOR | 2022

Ongoing reporting and coordination

ENTERPRISE RISK MANAGEMENT Executive Summary A few Enterprise Risk Management (ERM) initiatives were conducted during the 2022 financial year.

The approved Vision 2030 ERM Strategy specifies various short-, medium- and long-term initiatives, in alignment with and in support of, the Vision 2030 One Smart CPUT Strategic Plan. The ERM Strategy was given effect by the ERM Implementation Plan 2022 to enhance the University’s risk adjusted journey towards Vision 2030.

The University’s Vision 2030 ERM trajectory focuses on a number of key leading practice areas: Risk Governance; Risk Assessment; Risk Quantification and Aggregation; Risk Monitoring and Reporting; Risk and Control Optimisation; Risk Culture and Awareness; and ERM Continuous Improvement.

The strides made by the ERM Function were mainly due to the excellent support and commitment by the University’s Management Committee (ManCom), Council, and its committees. The specific committees include the Quality Assurance and Risk Management Committee (QARM); Audit and Risk Oversight Committee (AROC); Information Technology Governance Committee (ITGC); Governance and Ethics Committee (GEC); Finance Committee (FinCom); and the Investment Committee (InvCom).

Rueben Chibvongodze Manager Risk Management

Schematic view of the ERM Implementation Plan 2022 RISK GOVERNANCE Risk Assessments

Risk Quantification and Aggregation

Risk and Control Optimisation (including Business Continuity and Disaster Recovery)

Risk Monitoring and Reporting

Risk Culture and Awareness

Agile, Dynamic ERM for Continuous Improvement

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High level summary of the approved V2030 ERM Strategy

1

2

3

4

28

Harnessing and embracing technological developments to accentuate risk informed decision making; promoting intelligent and calculated risk taking; understanding, and managing risk and opportunities Promoting the use of ERM innovations, leading concepts, tools and techniques, including: the bowtie methodology; scenario planning and analysis; key risk indicators; loss data analysis; operational risk modelling; benchmarking initiatives; value engineering and value chain analysis; agility philosophy; client centricity; proactive, future focused risk management; and business process re-engineering (BPR) A deliberate focus on leveraging the investment in business intelligence, data science, data governance and management, data warehousing, data marts, data mining, data mining tools, and ancillary software platforms such as MATLAB, R, Tableau, Python, Ms BI, inter alia

and optimisation of BarnOwl, the 10 Implementation Risk Management Information System engaging internal and external 11 Continuously assurance providers to provide independent assurance on the effectiveness of ERM

and Support Service Functions and 12 Faculties affiliated entities adopting an ERM approach, and including risks in developing their plans

ERM/risk components in the legal and 13 Including contracts framework of the University ERM/risk information to enable 14 Incorporating risk adjusted decision making (such as in major

financial transactions, projects, and other capital and operational investments)

Continuously reviewing and communicating the ERM Framework and Methodology, to ensure that it remains relevant to all stakeholders

Assurance, including ERM/risk as 15 Combined a key part of middle and senior management

5

Contributing to the development and operationalisation of the CPUT Combined Assurance Model

16 Raising awareness through workshops

6

Developing, implementing, and sustaining a Risk Appetite and Tolerance Approach, which meshes with the CPUT operating environment and business model

7

An ERM Strategy and Plan(s) to move the University’s ERM Function from basic to a mature environment, and ultimately, advanced risk infrastructural capabilities

8

A vigilant focus on the management of all key risks, including ethics and business continuity

9

Continuously assessing the existing risk identification and reporting structure to ensure adequate risk management information is filtered through the correct structures

Report of the OFFICE OF THE VICE-CHANCELLOR | 2022

performance agreements

17 ERM training and communications of risk assessment in decision 18 Documentation making

19 Review of risk management arrangements and independent assurance by Internal 20 Monitoring Audit and other external consultants of risks through key risk indicators 21 Anticipation (KRIs) by early warning indicators and/or mechanisms

The CPUT ERM Initiative accomplished the following activities, in alignment with the King Report and Code for Governance South Africa (2016), International Organisation for Standardisation (ISO 31 000: 2018), Committee of Sponsoring Organisation of the Treadway Commission (COSO: 2017), Control Objectives for Information and Related Technology (COBIT Version 5), inter alia.

Risk governance: • ERM Function facilitated the development and approval by Council of the University’s ERM Framework and Methodology (approved 20 March 2021).

• The ERM Services project led and managed the development and approval by Council of the Institutional Risk Management Policy (approved 28 August 2021).

• The Enterprise Risk Manager project led and managed the development and ratification

by Council of the Institutional Risk Appetite and Tolerance approach (approved 20 March 2021).

• The Office of the Vice-Chancellor, through the Executive Director: Office of the VC, facilitated and led the development and approval by Council of the CPUT Ethics Framework.

• ERM Function facilitated the development and approval of the Institutional Risk Champions Forum (approved by Council, 20 March 2021), together with its terms of reference.

• ERM Function developed and implemented the V2030 ERM Strategy and Implementation Plan(s), supported by the Executive Management (EM), and approved by AROC and Council.

• ERM Function contributed to the development of the Council approved Combined Assurance Framework (approved 20 March 2021).

• Enterprise Risk Services facilitated the establishment of the Institutional Combined Assurance Forum (CAF), with terms of

ENTERPRISE RISK MANAGEMENT

reference ratified by the Executive and ManCom of the University, composed of ERM, Internal Audit, Quality Management, Compliance, IT Risk, Safety, Health, and Environment, inter alia.

• QARM approved a business case, motivation by the ERM Manager, for the adoption of a Fraud Risk Governance and Management Scorecard, a Fraud Risk Diagnostic Tool for continuous improvement, developed by the Association of Certified Fraud Examiners (www.acfe.com).

• The University’s Enterprise Risk Services developed a tailored, custom-made Risk Intelligence Diagnostic Tool (in-house ERM Maturity Framework), accepted by EM, and ratified by Council’s AROC. The ERM Function issued its first in-house ERM Maturity results during June 2022, together with the highlevel Gap Analysis Report for continuous improvement. This tool was developed to prepare the University for an external, independent assessment by either the Internal Audit Function or an appropriate third-party evaluator, as part of ERM Services’ quality improvement initiatives. This evaluation was adopted from the American Institute for Certified Public Accountants (AICPA, US, www.aicpa.org), and the Chartered Institute of Management Accountants (CIMA, UK, www.cimaglobal.com).

Risk assessment • In 2022, the Institutional Risk Register continued to be reviewed by EM, approved by the Vice-Chancellor, and reported to AROC and to Council. The Divisional, Functional and Faculty Risk Registers are approved by the respective Executives, Directors and Deans per approved, agreed six-monthly cycles. All functions, divisions, directorates, faculties, academic departments, major projects, and entities or companies of the University have developed and continuously review and approve their risk registers.

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CPUT ERM Initiative: Highlights and accomplishments 2022

29

• The University instituted Strategic Financial Scenario Analysis on its Annual Financial Statements and other related financial information.

The scenarios include Baseline, Adverse and Severely Adverse, as part of its financial risk measurement, assessment, and management mechanisms. Emphasis is on stress testing the impact of the University’s salary wage bill and other cost dynamics on the overall institutional financial sustainability over a five-year time horizon (2021–2025, and beyond). The Strategic Financial Scenario Analysis forms part of the University’s ERM programme. The Finance Divisional Risk Register is reviewed and approved by the University’s Executive Director: Finance (Chief Finance Officer) on a dynamic, continuous six-monthly basis.

• CPUT adopted an investment risk management approach, whereby it only conducts business with financial institutions that have healthy credit ratings issued by leading credit rating agencies such as Standard and Poor’s, Moody Investors Services Analytics, and Fitch Global Ratings.

• The ERM programme obtained Business Intelligence (BI) information from various data platforms systems across the University (such as the PowerHeda, Integrated Tertiary Management System (ITS), inter alia. The scrambled or “mined” data and/or information include university enrolment numbers (planned/budgeted versus actual), throughput rates, research output per capita, among others, which contribute to evidence-based ERM. • The ERM Function rolled out a detailed Risk and Control Self-Assessment (RCSA) initiative to understand the adequacy and effectiveness of all controls across all risk registers across CPUT. • The calculation of residual risk ratings in risk registers is informed by the most recently issued Internal and External Audit Reports, and other latest controls-related information from a Combined Assurance perspective.

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Risk quantification and aggregation • The ERM Services Function contributed to the enhancement of financial risk measurement and reporting at the Investment Committee of Council.

Typical measures proposed include usage of the risk adjusted metrics, such as the Sharpe Ratio, and the review and discussion by executive and non-executive directors of Council at its quarterly meetings.

• In 2022, BarnOwl continued to enable the drawing of a portfolio view of various risk profiles across the University from an aggregated perspective for risk governance reporting purposes.

Risk monitoring and reporting • The University procured “Rich” and “Lite” Licences for BarnOwl, a leading Enterprise, Governance, Risk, and Compliance (eGRC) Combined Assurance software solution about two years ago, which automated the University’s ERM, Internal Audit, and Compliance initiatives. Every year, from 2020, the ERM Function provided ongoing training to appointed Risk Champions across the University, as well as to members of ManCom. The system also allows for the electronic management of action plans, and loss data.

• The ERM Services Function developed and implemented a Key Risk Indicator (KRI) approach during 2021. From 2022, all areas focused on formalising the reporting of the KRIs. This process augments the evidence based, proactive risk management across the University.

• The ERM programme also leverages on existing performance metrics, such as key performance indicators (KPIs), to augment its ERM monitoring and reporting mechanisms.

• The ERM Initiative contributed to the business case for the development and approval of the Institutional Business Continuity Management (BCM) Strategy. The initiatives for a Business Continuity Policy and Plan are currently underway.

• The ERM Function has developed draft Fraud and Corruption Management documents: the Draft Fraud Strategy; Draft Fraud Policy; and Draft Fraud Response (Implementation) Plan.

• The Enterprise Risk Manager is the Risk Administrator on the BarnOwl Risk Management Module, responsible for maintaining the integrity of the system, and ensuring that annual licence fees are paid to the owners of the proprietary platform (IDI Technology).

Risk culture and awareness • The Enterprise Risk Services Function developed and delivered risk awareness sessions across the University during 2020, 2021, and 2022. The sessions included ethics/ fraud risks, and their prevention and deterrence.

• The risk awareness sessions were tailored for different stakeholders across the University, including senior and middle management, and other staff.

• The Enterprise Risk Manager prepared and conducted training on the BarnOwl Risk Management Information System for all appointed Risk/Combined Assurance Champions for faculties and support service functions across the University, as part of continuous agile, ERM automation initiatives (including sessions for members of ManCom).

ENTERPRISE RISK MANAGEMENT

Continuous improvement and adjustments to the ERM Strategy and Implementation Plan/s The University’s EM, Council, and its committees showed extraordinary commitment and support for progressive and evolutionary improvements in Enterprise Risk Management and other Combined Assurance dimensions (such as Internal Audit, Quality Management, Compliance, Business Continuity, and Safety, Health, and Environment).

Next steps for ERM The full potential of ERM will depend on the Function’s ability to leverage on data science (governance and management), data warehousing, data mining, data mining tools, data analytics, and the use of business intelligence, to create, grow, protect, and sustain value for the University. The use of software platforms such as MATLAB, R, Tableau, Python, and Ms BI will augment value creation and preservation. Some of these software platforms are already in use across the University.

Conclusion The success of CPUT’s ERM Initiative is anchored by the commitment and support from Executive and ManCom, and from Council and its committees.

The right tone from the top provided a secure and conducive launch pad for ERM. The ERM Initiative is an evolutionary journey, where small incremental and consistent changes will accumulatively culminate in significant improvement to the overall governance and management of risk. According to the King (IV) Report and Code for Governance South Africa, governance, strategy, risk, quality, compliance, planning, assurance, resilience, and sustainability are inextricably intertwined.

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Risk and control optimisation

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QUALITY MANAGEMENT DIRECTORATE Institutional Quality Forum The Institutional Quality Forum (IQF) was established as one of the key nodal points for the institutional quality management systems (IQMS). Together with Quality Management Directorate (QMD), it was set up to provide consultative oversight, collegial engagement, and the collective impact required to design, develop and monitor the impact of the IQMS on Vision 2030.

IQF also oversees the development and implementation of faculty quality management systems and faculty quality improvement plans through the membership of Faculty Quality Forum (FQF) chairpersons to the IQF. Further integration of the departmental sub-systems takes place through the membership of the academic heads of department (HoDs) to the FQF. The system is designed to provide a seamless integration of the departmental, faculty and institutional quality management systems.

Dr Siyanda Makaula

The inaugural IQF meeting was held on 12 April 2022, followed by two further engagement sessions in August and November 2022.

Director

Quality reviews and quality improvement planning

Quality Management Directorate

Every year, CPUT embarks on the development of a planned programme of activities to institutionalise the culture of quality, and to provide for better quality than previously existed. QMD and the respective faculties, together with external professional bodies, where applicable, develop an annual schedule of qualification reviews. To date, QMD has conducted four internal quality reviews and nine external quality reviews. Three more external quality reviews are planned for November 2022.

The quality improvement planning process is a direct response to internal or external peer review activities that have been deliberately planned to evaluate academic offerings in relation to quality standards and minimum accreditation requirements for the qualifications; and to assess the general state of qualifications, the fitness of the department to offer qualifications, and alignment with its vision and strategy.

Doctoral Quality Improvement Plan (Doc QIP) In collaboration with the Centre for Postgraduates Studies (CPGS), QMD developed the CPUT Doctoral Quality Improvement Plan as a response to the Doctoral Review

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Departmental Quality Improvement Plans For the period from March to August 2022, QMD conducted two virtual validation cycles for the Departmental Quality Improvement Plans (DQIPs) with the academic HoDs. The third and last validation cycle for 2022 will take a hybrid approach in November 2022. All DQIPs received from HoDs for the first two cycles were successfully validated; a clear demonstration of the commitment to the quality of education CPUT provides.

In an attempt to address and close ongoing findings emanating from the qualification review reports, a new initiative was introduced where institutional matters on the DQIPs were identified

by QMD and the academic HoDs. Institutional matters refer to all the findings that are out of the management domain of the academic HoDs, and that therefore require the intervention of either support unit(s), faculty dean, or other institutional governance and/or management structures.

The Institutional Matters Report serves at both the Quality Assurance and Risk Management Committee and Institutional Strategic Planning Committee. The focus of the third validation cycle will be on the validation of the Institutional Matters Report, where QMD will conduct physical site visits with academic HoDs to validate responses made by the various responsible support units.

QUALITY MANAGEMENT DIRECTORATE

Quality promotion and enhancement Quality Management Directorate has conducted and attended several quality promotion activities that aim to improve the quality culture across different functions of the University and capacitate QMD staff and other members of the CPUT quality family.

CHE workshops attended include: • CHE’s Regional Quality Assurance Framework (QAF) Capacity Development and Advocacy Workshop – February 2022; • CHE’s Quality Fora: Good Practice Guide on Student Engagement in Quality Assurance and Promotion in Higher Education – June 2022; • CHE’s Launch of the Doctoral Degrees National Report – September 2022; and • CHE’s QAF Stakeholder Engagement & Capacity Development Workshop – October 2022.

The QMD Director was invited to give a talk on quality imperatives for doctoral qualifications in South Africa at the 49th Physiological Society of Southern Africa Congress on 4 September 2022, hosted by Stellenbosch University. The title of the presentation was, “Putting ‘Phil & Feel’ back into a doctorate: A South African perspective”.

Dr Makaula continues to serve as a member of the Higher Education Qualifications Sub-Framework (HEQSF) Review Task Team of the Council on Higher Education, and USAf’s Community of Practice on Postgraduate Education and Scholarship.

Students engaged in quality matters Student engagement is one of the six pillars of quality management at CPUT, and plays an integral role in the framing of an integrated institutional quality management system. To bring about meaningful involvement of CPUT students in the strengthening of the institutional quality assurance system, QMD created various platforms for students’ reflection.

Report of the OFFICE OF THE VICE-CHANCELLOR | 2022

Panel Report, and a commitment by the Institution to address review panel findings. The Doc QIP comprehensively responded to all the findings and recommendations that were highlighted in the report. Consequently, CPUT received a letter of approval of the Doctoral Review Quality Improvement Plan from the Council on Higher Education (CHE) in September 2022. QMD and CPGS will be closely monitoring implementation of the improvement actions, and report to CHE on a quarterly basis.

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Our students actively participated in internal and external qualification reviews; and took part in departmental critical reflections with staff to ensure the student voice was reflected in the departmental self-evaluation report.

Prior to the actual review visit, QMD invites students to a briefing to prepare them for panel review interviews.

Subsequent to review interviews, students are invited to debriefing sessions to reflect on the qualification review process, and to establish whether they derived value from the opportunities provided to them.

Overwhelmingly, students appreciated the opportunity to participate in the improvement of their academic programmes, and to directly interact and engage with industry stakeholders and academic experts in their fields of study. They saw it as an opportunity to learn more about, and better understand some intricacies that exist in the industry. The enthusiasm shown by students to partake in the reviews has been commendable.

Student involvement in the Institutional Audit The QMD student engagement representative motivated the Quality Desks to participate in the CHE Institutional Audit panel interview process. Students from both the Undergraduate- and Postgraduate Student Quality Desk participated. Those who could not make the faceto-face session joined online in order to engage with the panel.

Student Quality Desks QMD established Undergraduate- and Postgraduate Student Quality Desks for reflection on quality standards, to create a deeper understanding of the IQMS, and help find innovative solutions for quality improvement and enhancement from students’ perspective. The two Student Quality Desks have met separately, three times this year. Reports on their engagements have been incorporated into QMD quarterly reports to QARM and ISPC.

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Report of the OFFICE OF THE VICE-CHANCELLOR | 2022

We also provided opportunities for exposure and capacity development to our members of the Student Quality Desks. Eight members attended the CHE Student Quality Forum, themed: “Student Engagement in Quality Assurance and Promotion in Higher Education”; and three participated in CHE’s Higher Education Qualifications Sub-Framework Student Consultative Workshop. Students reported that they learned a lot about the importance of quality assurance and higher education policies, and got a better understanding of the establishment of CPUT’s Quality Desk.

Institutional audit The overarching purpose of the institutional audit was to evaluate the coherence and effectiveness of the Institution’s internal quality assurance system in enabling student success and improving its core academic functions; and for the review panel report to provide baseline information for an institutional track record that will form the basis for the implementation of the new Quality Assurance Framework, and therefore, the main unit of analysis was the Institution itself.

QMD submitted the Institutional Audit Self-Evaluation Report (ISER) and Portfolio of Evidence to CHE on 3 July 2022. It subsequently embarked on the next phase of the project, which involved preparation for the site visit on 10–14 October 2022. The second phase included management of evidence, as per CHE panel requests; finalising the structure of interview sessions; developing a site visit schedule and list of interviewees; preparation of VC’s presentation; briefing session for interviews; management of the interviewee and panel sessions during the site visit; and conducting debriefing sessions after each interview session. The CHE IA site visit took place as scheduled, with the first two-and-a-half days presented virtually, and the last two days on site. The panel members were generally impressed with the comprehensiveness of our ISER, and some of our facilities.

INSTITUTIONAL PLANNING DIRECTORATE Enrolment Plan 2020–2025 The Institutional Planning Directorate (IPD) concluded and submitted the Midterm Review of Enrolment Plan 2020–2025. The success of the review process was that all stakeholders involved reflected on the experiences, challenges, and successes of 2020 to 2022. The review of the Enrolment Plan followed a rigorous process of stakeholder engagement, which started with a workshop on 29 July 2021, and a follow-up workshop on 23 August 2021. These workshops included all the institutional stakeholders who are involved in the recruitment, admission, and transitioning phase of students.

The review of targets in the current Plan followed a bottom-up approach.

This process ensured that the review was at the programme level, which cumulatively presents the overall shape and size of the Institution. In this process, the faculties and departments ensured that the reviewed targets were only on programmes that are approved in the Programme and Qualification Mix (PQM) and/or have fulfilled all the approval and accreditation requirements. As a result, the reviewed targets took into consideration programmes that are in the phase-out process, as well as those that will not be offered in the current cycle.

The process ensured that the proposed targets do not include qualifications that have not yet been approved and/or accredited. Furthermore, it ensured that the nuanced differences between programmes and disciplines were taken into consideration, as well as the quality and dictates of professional bodies.

Louis Mapatagane Director Institutional Planning

The submission and approval of the Enrolment Plan 2020–2025 preceded the approval of the Institution’s Strategic Plan 2021–2030 (Vision 2030). As espoused in the strategy document, CPUT envisions, “becoming the leading University of Technology (UoT) in smart teaching and learning, and being on the forefront of creating smart learning environments that will provide excellent and relevant content and learning experiences for all CPUT students”. The proposed targets presented the alignment of enrolment planning to the University Strategic Plan, goals, and objectives. The revised enrolment targets also prioritise the niche areas earmarked for growth, and the aspirations of the University’s Strategic Plan.

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The overall enrolment is expected to grow on an average annual increase of 2.1% based on 2019 baseline actuals, from a proposed target of 34,968 in 2023, to 38,430 in 2025.

In terms of size, the overall enrolment is expected to grow on an average annual increase of 2.1% based on 2019 baseline actuals, from a proposed target of 34,968 in 2023, to 38,430 in 2025. In terms of the shape; CPUT will be comprised of 47% Science, Engineering, Technology (SET); 34% Business/ Management; 11% Education, and 9% Humanities.

Academic planning CPUT has concluded the Higher Education Qualifications Sub-framework (HEQSF) alignment process.

CPUT, like many UoTs, was heavily impacted by the HEQSF implementation, in which a large number of the programmes required major curriculum development that constitutes 50% or more change to the programme design. Programmes that could not be aligned with the HEQSF, and which needed to be phased out or replaced (e.g., BTech qualifications, and other Category C non-aligned qualifications,) had to be phased out and replaced with appropriate qualifications that were aligned to the HEQSF. The University needed sufficient time to make transitional arrangements in relation to existing programmes, as well as to coordinate the process for the development of new qualifications; however, the delay in the approval and accreditation of the HEQSF-aligned programmes have presented a serious challenge for the University to meet its enrolment targets.

A total of 133 CPUT new applications were accredited and registered. All the new HEQSFaligned qualifications were submitted externally to

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the Department of Higher Education and Training (DHET) for PQM clearance; to the Council on Higher Education (CHE) for accreditation; and subsequently to the South African Qualifications Authority (SAQA) for registration. All the new qualifications that were submitted during the reporting period (2015–2020) have been updated on the PQM. From the total of 133 new applications, only one qualification awaits CHE accreditation, while three other qualifications are still pending SAQA registration, all of which should be finalised by the end of the 2022 academic year.

As a result, the Institution has seen a significant improvement and increase in the use of online dashboards and reports. These reports and dashboards include the Enrolment Monitor Dashboard, Faculty and Department Viability, Cohort Analysis, Success Rates, etc. The reports undertake a strategic evaluation of the University’s performance against set targets, through analysis and benchmarking of performance, the production of annual performance plan reports, and mid-term review performance reports; and the provision of faculty and departmental performance profiles to inform the annual planning process. The Applications Dashboard is a new addition to the reports, the objective of which is to ensure that the University can monitor the conversion of applicants into registration, and identify bottlenecks in the registration process.

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Institutional intelligence

INSTITUTIONAL PLANNING DIRECTORATE

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Almost all sectors, including NGOs, SOEs, Government departments, and universities use data and data analytics to inform decision-making and strategic planning. For instance, universities competing in global and local ranking leagues all rely on different forms of analysed data, such as trend analysis, comparative analysis, predictive analysis, etc. Reduced government funding, “fees must fall” strikes, and statutory reporting, have all led universities to seek new ways of increasing efficiency, monitoring the strategic imperatives, and thereby improving their decision-making processes. In an effort to promote and contribute to a culture of decisionmaking that is evidence-based, data-driven, and reliable, the IPD instituted training on HEMIS and the PowerHeda platform each quarter. Training dates are available on the institutional calendar.

Graduate employability

fronts, including, among others, a revised Strategy, V2030, which articulates employability objectives; the use of advisory committees with industry representatives to align curricular content to labour market needs; strong long-term employer partnerships for work-integrated learning (WIL) and research; and the integration of employability support through different units. Nonetheless, the report identifies that employability remains a major challenge for many CPUT graduates, with 46% of alumni reporting being unemployed. In addition, while employability support is offered to students, many are unaware of, or do not benefit from these.

Graduate employability cuts across five of the seven strategic focus areas of the Institution, as one of the key indicators of success. As espoused in the Vision 2030 Strategic Plan – One Smart CPUT, we committed ourselves to “grooming a next generation’s professionals and workforce”. We cannot begin to do so without collecting wide-spanning information that will serve as baseline data to assist CPUT to integrate mechanisms for quality assurance, planning, and resource allocation with strategic intent.

In partnership with the International Finance Corporation (IFC), a member of the World Bank Group, the Institutional Planning Directorate conducted a Graduate Employability Assessment (Vitae 360). Vitae measures the key processes and drivers of employability at the institution level; then provides recommendations and implementation support to institutions to adjust these processes, in order to improve career outcomes for graduates. The assessment was designed to accommodate surveys, focus groups, and interviews with our alumni, final-year students, support staff, academic staff, as well as employers.

The study highlights opportunities to strengthen the CPUT employability ecosystem by expanding the scope of institutional research and data collection to support evidence-based strategic decision-making, including by implementing an annual alumni survey; developing an institutional employability strategy, ideally under a cross-cutting career services unit in charge of increasing relevant employability support activities for students and alumni; better leveraging existing industry partnerships in the pursuit of employability objectives through mechanisms (Applied Research, short-term training) that position CPUT as a choice partner for employers; and finally, by seeking ways of providing multiple opportunities for students to interact with employers prior to graduation, through diversified WIL opportunities.

Employers, alumni, and students recognise, unequivocally, the quality of a CPUT education. To support the employability of its graduates, CPUT has implemented good employability practices on several

Alumni Survey

Student Survey

Institutional Self-assessment

+

Internal Stakeholders Interviews External Stakeholders Interviews

QUANTITATIVE

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QUALITATIVE

Focus Groups

=

Employability Diagnostic Report

Count of Student Number. First School Name and First Quintile by Province. New Lat and New Long.

EC

FS

GT

PROVINCE

LP

MP

NC

QUINTILE 22.10%

EC KZN

14.94%

LP

12.28%

GT

11.48%

MP FS

8.04% 3.18%

NW

2.86%

NC

1.30%

(Blank)

0.34% 0%

5 2

17.50%

1

13.82%

4

12.76% 20%

%GT Count of Student Numbers

20%

INSTITUTIONAL PLANNING DIRECTORATE

WC

FACULTY SCHOOL NAME 20.18%

0%

%GT Count of Student Numbers

NW

26.88%

3 20.56%

Quintile

WC

Province

KZN

46.02%

ENG Faculty School Name

(Blank)

Province

AS

23.78%

FBMS

17.60%

FID

12.84%

ED

5.84%

H&W

2.96% 0%

%GT Count of Student Numbers

50%

Report of the OFFICE OF THE VICE-CHANCELLOR | 2022

Feeder schools

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The South African higher education system faces the challenge of redressing past inequalities; and transforming the system to serve a new social order, meet pressing national needs, and respond to new realities and opportunities. In response to this national challenge, the IPD has integrated the Department of Basic Education (DBE) national schools’ data with the enrolment data, to develop a national feeder schools’ database. This was followed by the creation of an interactive dashboard through PowerBI to profile the schools and students in order to assist the Institution in developing tailor-made interventions to support learning and student success. As Stephen Few notes in The Encyclopedia of Human-Computer Interaction, important stories live in our data, and data visualisation is a powerful means to discover and understand these stories, and then present them to others. In general, the dashboard depicts the schools’ quintiles, rurality, and exact location. The database will be updated annually.

Strategy implementation The Institutional Planning Directorate developed three key templates for the implementation of Vision 2030: • The main template is for formatting the five-year strategic plan for support services divisions and faculties. The template is organised for the entity to provide its mission and vision, followed by the strategic goals, objectives, and actions for the five-year strategic plan.

• The second template was intended for divisions and faculties to develop a consolidated highlevel budget estimate for the implantation of the strategic objectives. Following the submission of the proposed budget estimations, a task team was set up to review the submissions and recommend the allocation of resources.

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•

The third template was developed for divisions and faculties to update the overall performance against the seven focus areas, goals, and objectives, providing a high-level synopsis of where continued attention is required, but also highlighting achievements realised in the current academic year.

This template will be used for the roll-out of the strategy up to the mid-term review in 2025. It will ensure that we continuously monitor our progress towards achieving the set objectives, identify areas where in some circumstances our progress has been slower, and take note of the lessons learned.

COMPLIANCE MANAGEMENT FUNCTION The Cape Peninsula University of Technology (CPUT) operates within legal and statutory requirements.

Numerous laws and standards impact the University’s day-to-day activities.

Some laws apply to everyone at the University, while others are relevant only to specific areas. Compliance Management helps CPUT stay up to date with legal obligations, and to avoid penalties, such as fines, criminal prosecution, and damage to the University’s reputation or the reputation of its stakeholders.

The Compliance Management Policy and Compliance Management Programme were established to protect the University. The Policy and Programme provide information and resources to help and support staff to understand, clarify and manage their responsibilities regarding compliance. The objective is to maintain a strong culture of compliance, to provide assurance to the Vice-Chancellor and Council that the University is actively attentive to its legislative compliance obligations, that it considers impacts of any resulting changes, and ensures that these are reflected in practices and procedures incorporated throughout the University.

Sibusiso Mtatase

The Compliance Management Function provides support, information, and advice to all staff and stakeholders about the application of legislation to their activities within the University.

Compliance Management Function

Compliance Manager

The Compliance Obligation Register contains links to all Acts relevant to the University. All staff, students, and other university stakeholders have an obligation to report any non-compliance.

CPUT’s Compliance Management Function stands on three pillars: • Strengthening a culture of integrity; • Mitigating compliance risks; and • Improving compliance issue response.

Together, these components enable the Compliance Management Function to ensure compliance with relevant legislation, regulations, and policies, while advancing CPUT’s strategic goals.

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The Compliance Management Function provides support, information, and advice to all staff and stakeholders about the application of legislation to their activities within the University.

Integrity culture

•

Goals: •

•

•

All University stakeholders are responsible for building and maintaining a culture of integrity, which includes ethical conduct, and compliance with relevant legislation, regulations, and policies – To enable and encourage all stakeholders to embrace a culture of integrity and accountability throughout the University University leadership are responsible for owning their compliance risks and ensuring integrity in their faculties, departments, and units – To assist the leadership by enabling them to identify and manage their compliance responsibilities, including promotion of ethics and integrity All areas of the University and their staff are responsible for understanding their legal and policy obligations – To assist all University stakeholders by ensuring appropriate compliance training and by responding to questions and concerns

Objectives: •

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Improve the Code of Values (Code of Conduct) for the University, as directed

by Council, through contributing to the document; and through support with appropriate training, including expectations from University leadership

•

•

•

Conduct surveys of integrity and compliance culture, and develop benchmark measures to identify challenges, assess progress, and compare ourselves to best practice standards Establish strong governance processes to support compliance, ethics and integrity, as well as ensuring accountability through compliance reporting to University Council committees Clarify roles and responsibilities for compliance and for individuals responsible for compliance within their respective faculties, departments, and units Identify resource gaps limiting the success of compliance efforts

Mitigating compliance risks Goals: •

•

•

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University Council and Management are responsible for compliance with all relevant legislation, regulations, and policies. The Compliance Management Function works with Council and Management to identify and substantively mitigate top compliance risks Support appropriate central processes in the University, including the University policy process Build consistent core compliance processes for the University to ensure the identification, assessment, and mitigation of compliance risks (See Figure 1.)

IMPROVE to control non-compliance and evaluate the effectiveness of corrective actions

PLAN to address compliance obligations

CPUT’S context

Leadership

EVALUATE PERFORMANCE and analyse information

IMPLEMENT controls to ensure compliance

Support, Resources & Training

MONITOR effectiveness of controls and respond to breaches

Figure 1: Compliance Management Programme

Objectives: • •

Ensure the ongoing mitigation, tracking and reporting of material compliance risks Develop core compliance processes to support ongoing mitigation efforts, including: - Partnering with Legal Services to maintain a Regulatory Register of all material laws and regulations applying to the University; - Partnering with Risk Management and Internal Audit to conduct an annual Compliance Risk Assessment by determining the materiality of requirements and the effectiveness of current controls; - Developing Annual Compliance Plans for the University and key areas to ensure operational ownership and proactive mitigation planning for all top compliance risks; - Developing, reviewing, updating, and implementing compliance policies;

COMPLIANCE MANAGEMENT FUNCTION

- Establishing comprehensive oversight of training processes to ensure the delivery of efficient, effective, and appropriate training to all members of the University community; - Working with key University stakeholders to ensure the establishment of sufficient operational controls to comply with key legal and regulatory requirements; - Developing comprehensive, risk-based testing and monitoring to measure the effectiveness of controls in meeting legal and policy requirements; and - Ensuring appropriate issue response and reporting, by clarifying roles, responsibilities, and standards for compliance issues, including regular reporting to the University Council committees.

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COMPLIANCE MANAGEMENT PROGRAMME

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•

Build and simplify processes critical to the mitigation of top compliance risks, including: - University processes for approving and revising policies; - Proactive processes to identify regulatory and operational changes critical to meeting the University’s compliance requirements and obligations; and - Conflict of interest disclosure process.

Improving compliance issue response Goals: •

•

Ensure appropriate response to top compliance issues, whether originating externally or internally, to enable accurate, timely, and fair resolution of each issue Improve reporting for senior leadership, Council and its committees on compliance issues, to support appropriate accountability, and ensure completion of necessary corrective actions

Objectives: •

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Develop core processes to support University leadership in responding to top compliance issues. These processes include: - Tracking and managing all information requests to ensure appropriate and timely response to all such requests received by the University; - Working with Director Protection and Risk Services to create consistent standards for the conduct and reporting of investigations across the University; - Managing ethics, and the University’s whistleblowing hotline; - Developing a framework to ensure appropriate response to regulators’ requests and enforcement; and - Tracking and reporting audit findings, to identify common root causes, and leverage this valuable partnership in mitigating compliance risks.

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Compliance management is addressed and subsumed at several levels of the University: • Council • Ethics and Governance Committee • Audit and Risk Oversight Committee • Vice-Chancellor • University Executive • Registrar • Deans • Directors • Managers and staff • Students

Projects The Compliance Management Function is involved in the following projects: • Developed the Compliance Strategic Plan to align with Vision 2030; • Facilitated the development of a Compliance Management Policy and Programme; • Developed policies to meet the requirements of POPIA; • Facilitated POPIA awareness; • Developed POPIA and Privacy Plan webpage; • Advising on the Procurement Policy and processes; • Created and designing a University Policy Library; • Developing a Compliance Obligation Register; • Finalising the Data Processing and Data Sharing Agreements and Information Classification and Handling Manual; and • Coordinated the development of the University Information Governance and Management Framework.

STAKEHOLDER ENGAGEMENT COORDINATION In pursuit of realising “Focus Area 6: Smart Engagement and strong links with quintuple helix partners” of Vision 2030, the Office of the ViceChancellor appointed a Stakeholder Engagement Coordinator.

It is imperative for CPUT to identify and to categorise all its stakeholders in a systematic way, and make every effort to engage broadly with our key internal and external stakeholders in co-creating a future-focused institutional strategy.

Based on what is captured in the V2030 strategy document, CPUT made use of a well-known model where stakeholders with high and low interests and power are identified and categorised.

Understanding the role of the Stakeholder Engagement Coordinator The purpose of stakeholder engagement within the Office of the ViceChancellor is to increase the visibility and accessibility of the Vice-Chancellor and his office to the University staff and students through identified, planned, and booked engagements. To this end, more than 25 engagements were planned and organised in 2022, with various internal and external stakeholders of the Institution.

Busiswa Luqhide Stakeholder Engagement Coordinator Office of the Vice-Chancellor

Stakeholder mapping Stakeholder mapping assists in re-emphasising the importance of stakeholder engagement, and in identifying the Institution’s internal and external stakeholders.

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Alumnus

STAKEHOLDER MAPPING

General public Media

Local community

Current students

Foundations

EDUCATIONAL INSTITUTE

Enterprises

Potential students Accreditation agencies

Suppliers

Parents

Government Competitors

Administrative staff Faculty members

Internal and external engagements – Highlights 2022 Student Representative Council (SRC) leadership engagement The first engagement organised for 2022 was with the SRC leadership in February 2022. The SRC leadership collectively raised matters of concern, and got a chance to engage with the Vice-Chancellor on those issues.

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During another of the Vice-Chancellor’s initiatives to engage internal stakeholders on 5 October 2022, Prof Chris Nhlapo met with post-doctoral students.

Report of the OFFICE OF THE VICE-CHANCELLOR | 2022

Businesses and industries engagement

STAKEHOLDER ENGAGEMENT COORDINATION

47

On 20 June 2022, Prof Chris Nhlapo presented Vision 2030, and introduced his Executive Management to the CEOs and managers of various businesses and industries. The event was streamed live, with over 250 online views, and 30 physically in attendance. An opportunity for questions and answers was afforded to the participants, and pertinent questions, like graduate employability, were raised.

National Mandela Day, a community engagement at Ilitha Labantu In celebration and observation of the former and first black president of South Africa, Tata Nelson Mandela’s birthday, Prof Nhlapo and members of his Management and staff visited the elders at Ilitha Labantu in Gugulethu. During the visit on 18 July 2022, the organisation – which provides vital services to women and children affected by violence – was presented with a donation towards winter blankets, and the CPUT party lent a hand in the kitchen and garden.

International students’ engagement More than 100 international students were engaged on their needs and desires during this Vice-Chancellor’s initiative to engage internal stakeholders on 13 September 2022.

University of the Western Cape engagement On 14 September 2022, Prof Chris Nhlapo hosted his counterpart, the Vice-Chancellor of the University of the Western Cape (UWC), to discuss common challenges between the two institutions.

Post-doctoral students’ engagement

City of Cape Town engagement with UWC and the Greater Tygerberg This virtual meeting, held on 4 November 2022, resulted from the prior engagement between the Vice-Chancellors of the University of the Western Cape and the Cape Peninsula University of Technology.

Other stakeholder engagement highlights the Office of the Vice-Chancellor participated in included: French Science Week: Prof Chris Nhlapo led a diverse CPUT delegation from various faculties and departments to the Science Week in France, from 23 June to 1 July 2022. The trip was organised by the French Embassy for 23 South African universities, to promote partnership and collaboration.

Eskom MOU signing, SARETEC: Prof Chris Nhlapo and Group Chief Executive of Eskom, André de Ruyter, met at SARETEC for an MOU signing to train and upskill Eskom employees on 22 August 2022.

Komati Power Station, Mpumalanga: On 23 September 2022, the Vice-Chancellor visited the Komati Power Station during the finalisation of the agreement between SARETEC, an entity of CPUT and Eskom.

Engagement communication platform • • •

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Contact/ face-to-face Online via Microsoft Teams and Webinars Social media, Facebook, and Twitter

As can be gathered from this Report, the Office of the Vice-Chancellor is not only a busy environment, but a space on the forefront of innovative ideas.

The Office of the Vice-Chancellor also endeavours to be an approachable space, and no idea of any staff member or student is not important enough to engage on. We are also never too busy to find time to be responsive.

However, it remains the responsibility of the Office of the Vice-Chancellor to provide direction and leadership where issues should be raised, following the University’s line functions and delegated authorities. In the same breath, the Office of the ViceChancellor always strives to address the performance of any entity within the University perceived to be less than excellent, as the Office believes in upholding accountability, responsiveness, decisive leadership, exemplary service delivery, and excellence.

It bears remembering that any entity, organisation, or institution is only as good as its weakest links. I stand for greatness, not mediocracy; I stand for excellence, not for a managerial system where the blame of non-performance is placed at the doorstep of the next-door CPUT employee; I stand for high ethical standards. I expect the same of you. Do not hesitate to bring matters of poor performance and unethical behaviour to my Office’s attention if your line manager is not willing to deal with such matters.

Wishing you all of the best as we are building One Smart CPUT; where YOUR voice and YOUR opinion matter!

Prof Chris Nhlapo Vice-Chancellor and Principal Cape Peninsula University of Technology

CONCLUSION

Report of the OFFICE OF THE VICE-CHANCELLOR | 2022

CONCLUSION

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ABBREVIATIONS/ACRONYMS AROC

Audit and Risk Oversight Committee

BankSETA Banking Sector Education and Training Authority CDISC

Centre for Diversity, Inclusivity and Social Change

CHE

Council on Higher Education

CPGS

Centre for Postgraduates Studies

DHET

Department of Higher Education and Training

DOJ&CD

Department of Justice and Constitutional Development

Management Committee

MCD

Marketing and Communication Department

MOU

Memorandum of Understanding

NGO

Non-Governmental Organisation

NSP-GBVF National Strategic Plan on Gender-Based Violence and Femicide OVC

Office of the Vice-Chancellor

P-SET

Post-school education and training

POPIA

Protection of Personal Information Act Programme and Qualification Mix

DSA

Division of Student Affairs

PQM

EM

Executive Management

QARM

ERM

Enterprise Risk Management

Quality Assurance and Risk Management Committee

FinCom

Finance Committee

QMD

Quality Management Directorate

GBV

Gender-based violence

RTIP

Research, Technology Innovation and Partnerships

GEC

Governance and Ethics Committee

SAHRC

South African Human Rights Commission

GEWE

Gender Equality, Women Empowerment

SAQA

South African Qualifications Authority

GPI

Gender Parity Index

SARETEC

HEMIS

Higher Education Management Information System

South African Renewable Energy Technology Centre

SDGs

Sustainable Development Goals

HEQSF

Higher Education Qualifications Sub-framework

SETA

Sector Education and Training Authority

HoD

Head of Department

SRC

Student Representative Council

IGBVC

Institutional Gender Based Violence Committee

STEAMI

Science, Technology, Engineering, Arts, Mathematics and Innovations

IKS

Indigenous Knowledge Systems

STEM

InvCom

Investment Committee

Science, Technology, Engineering, Mathematics

IPD

Institutional Planning Directorate

UoT

University of Technology

ISPC

Institutional Strategic Planning Committee

USAf

Universities South Africa

ITGC

Information Technology Governance Committee

V2030

Vision 2030 (CPUT Strategic Plan)

VC

Vice-Chancellor

KPI

Key performance indicator

WIL

Work-integrated learning

LGBTQIA+ Lesbian, Gay, Bisexual, Transgender, Queer, Intersex, Asexual, Plus

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ManCom

Report of the OFFICE OF THE VICE-CHANCELLOR | 2022

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