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Annual Performance Plan

2018/19

Department:Science and TechnologyREPUBLIC OF SOUTH AFRICA

science& technology

Understanding social conditions and contributing to transformation

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Official sign-offI hereby certify that this annual performance plan has been prepared in accordance with the HSRC’s strategic plan which:

• Was developed by the management of the Human Sciences Research Council (HSRC) under the guidance of the Board of the HSRC and the Department of Science & Technology (DST), based on the National Treasury Framework for Strategic Plans and Annual Performance Plans;

• Takes into account all the relevant policies, legislation and other mandates for which the HSRC is responsible; and

• Accurately reflects the strategic outcome-oriented goals and objectives which the HSRC will endeavour to achieve over the 2018/19 financial year.

Ms Crystal Abdoll

Chief Financial Officer

Human Sciences Research Council

Professor Crain Soudien

Chief Executive Officer

Human Sciences Research Council

Professor Mvuyo Tom

Chair of the HSRC Board

Accounting Authority

Approved by:

Minister Naledi Pandor

Minister of Science and Technology

Executive Authority

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Contents

Official sign-off ..............................................................................................................................i

1. Updated situational analysis ....................................................................................................21.1 Performance delivery environment .......................................................................................................................... 2

1.2 Organisational environment .................................................................................................................................... 8

1.3 Mid-Term Review: Performance to date ................................................................................................................... 10

2. Revisions to legislative and other mandates .............................................................................13

3. Overview of 2018/19 budget and MTEF estimates .....................................................................143.1 Expenditure estimates ............................................................................................................................................. 14

3.2 Relating expenditure trends to strategic outcome oriented goals ............................................................................ 14

4 Strategic performance indicators and targets 2018/19 ..............................................................15

5 Programme and sub-programme plans ....................................................................................195.1 Programme 1: Administration .................................................................................................................................. 19

5.2 Programme 2: Research, Development & Innovation ............................................................................................... 22

Part D: Links to Other Plans ............................................................................................................45

Links to the long-term infrastructure and other capital plans .........................................................45

Annexures .....................................................................................................................................46Annexure A: Materiality and significance framework ....................................................................................................... 46

Annexure B: Strategic performance indicators and targets for 2018/19 to 2022/23 ......................................................... 48

Annexure C: Technical indicator descriptions .................................................................................................................... 51

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1. Updated situational analysisThe point of departure of this Annual Performance Plan is the HSRC’s strategic plan for the period 2014/15 to 2018/19. This strategic plan outlined the organisation’s broad approach through which it would deliver on its mandated objectives. The framework and objectives of the plan, and particularly its broad thematic areas and projects, derived directly from the National Development Plan (NDP) and the 2009–2014 Medium-Term Strategic Framework (MTSF). As we had indicated in previous Annual Performance Plans, events that helped to shape the contents and focus of the organisation’s plan remain valid:

• Internal to the organisation, the 2010 HSRC institutional review. This review highlighted key issues that the organisation was required to address;

• Externally, Government’s concerted drive to ensure co-ordinated support to address, ensure delivery and monitor progress towards achievement of national priorities in the context of an outcomes-driven approach;

• Broad lessons learnt in the implementation of the 10-year National Innovation Plan (2008–2018). Of particular importance, especially in the context of the Grand Challenge of Human and Social Dynamics in Development (HSDD), were ongoing engagements with the Department of Science and Technology (DST) around the refinement of the science plan for the HSDD Grand Challenge;

• Meetings with South African decision makers, other local and international stakeholders, as well as reflections on recent national and international studies highlighting issues and developments of strategic importance.

• Following Ministerial approval of the HSRC’s 2014/15 to 2018/19 strategic plan, the MTSF for 2014-2019 was formally launched. The HSRC continues to align itself to the MTSF, the NDP, government’s fourteen outcomes and its own mandated objectives.

As part of its internal organisation, the HSRC as an institution has embarked on a journey to place the critical issues of poverty and inequality at the centre of its work. Mindful of the constraints in the broader social, political and economic environment in which it functions, which require it to pay attention to other issues too, the journey on which it finds itself is about simultaneously keeping up with its mandate, and promoting and undertaking research which supports the country’s urgent development and nation building agenda.

1.1 Performance delivery environmentTwo developments are of consequence to the performance delivery environment in the current period. Firstly, the deteriorating financial climate in the country and a decline in available resources for government services and research expenditure. The second relates to the challenge of building a community of researchers which is able to contribute to the understanding of the most pressing social issues in the country and the development of policies to deal with them. With respect to the first, the HSRC is required to show how the task of research and knowledge production for the public good can be undertaken in strained financial circumstances.

With regard to the second, the organisation will continue to find ways to both attract and develop committed and capable social scientists.

The HSRC in the National System of Innovation (NSI)

The existing policy framework for the National System of Innovation is defined by the 1996 White Paper on Science and Technology. This White Paper introduced the concepts of “innovation” and “National System of Innovation” (NSI), as key drivers for national economic and social development.

The White Paper explicitly acknowledges that the human sciences have an important role to play in innovation, by

• contributing to the understanding of social processes and problems and as a source of social innovation

• facilitating appropriate technological change within society and within the economy

• providing the basis of policy analysis; and

• as a source of new knowledge and informed critique of the transformation of South African society and its economy.

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It is in the context of the innovating role of the human sciences in social development that the HSRC has a central and pivotal role to play in South Africa’s NSI.

In playing this dual role of promoting and undertaking research, the HSRC works closely with other role players in the innovation system. These include government, business, the non-governmental community, the university sector, other science councils and academies.

These institutions share functions and characteristics. None is completely distinctive. None has an exclusive place in the NSI. They all overlap with each other. The work of the HSRC overlaps with at least three of the above-mentioned categories, namely the Higher Education Sector, the Science Council Sector and the Academies and Advisory Bodies. This overlap requires, therefore, that institutions work together.

Distinguishing the HSRC from its sister institutions is its mandate. The raison d’être (reason for being) of the HSRC, as outlined in the preamble to the 2008 Human Sciences Research Council Act, is to promote research of the highest quality which is aimed at improving understanding of social conditions and the processes of social change, and to engage with research counterparts through research on pressing social issues relevant to human welfare and prosperity. Its work is typically problem-oriented and applied in nature.

Its promotional work involves harnessing, bringing together and convening research projects and programmes of work around areas of national importance.

With respect to the performance of research, it creates and acquires new knowledge through a range of projects across the spectrum of disciplines and methodological approaches, and benefits from the inputs of research peers both as collaborators and critical reviewers of its work.

Most of this promotional and performative work is based on collaboration. The HSRC engages with role players such as policy makers, civil society activists, academics, educators, research funders, the media and public at large through its research projects but also through the various ways in which it makes its research outputs and data available. Examples of these include its annual Study of South African Social Attitudes Survey (SASAS) and the South African National HIV, Behaviour and Health Survey (SABSSM) which is now in its 5th iteration. The purpose of these engagements is often to help build bridges between research and public understanding, policy development and improved practice in a responsible, accountable and transparent manner.

The Labour Market Intelligence Partnership research reported on in 2017 provides an example of how research performance and research promotion is undertaken. This collaboration with the Department of Higher Education and Training (DHET) and with colleagues in a number of higher education institutions, produced 35 concept notes; 49 research reports and learning guides; 11 journal articles; one book; 13 high level policy engagements; 21 research policy briefs; nine research roundtables; five learning sessions; and19 HSRC-LMIP seminar series presentations. Several students received bursaries through this collaboration and completed post-graduate degrees.

The HSRC’s approach in addressing national issues is also aligned to the Science, Technology and Innovation Institutional Landscape (STIIL) vision as reflected in the 2017 STIIL Report.

The role and intended contributions of the HSRC

• Convening

• Collaboration with Universities and Science Councils

• Data Sharing

• Building research capacity

• Produce & Disseminate research-based evidence

• Large-scale, repeat surveys

• Quantitative & Qualitative analysis

Promoter Performer

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The HSRC was established in 1968 through an Act of Parliament by the apartheid government to conduct research in the social sciences for the public good. This Act was repealed and replaced in 2008. In terms of this Act the HSRC has the obligation to promote research which advances South Africa and Africa’s understanding of and engagement with its social conditions.

The scope of the human and social sciences research to which the HSRC is dedicated is broad. It encompasses all the dimensions of those phenomena which give a society its particular character and dynamic. It, of necessity, includes transversal themes such as poverty, inequality and unemployment; social change and aspects of innovation, development and growth; social cohesion, culture and its uses, citizenship, civic life, how people learn, socialisation and identity, the roles of institutions and individuals in their environments, and changing relationships of power and engagement.

For a country such as South Africa, with its history of apartheid, the issues raised above are overlaid with the complexities of, inter alia, race, class, gender, language and regionality. An understanding of these complexities may be best gained from studies conducted in areas such as education, health, cultural studies, political engagement, service delivery, employment and growth, or family studies. They require the participation of scientists from many disciplines with a problem-solving orientation who bring with them both specialist and multi- and trans-disciplinary skills.

Against this broad social landscape the question is, what, in the context of the resources that are at its disposal and in relation to its strengths, will the HSRC focus on for the next period? How, strategically, will it concentrate its resources?

The HSRC will focus its attention on the urgency and complexity of poverty and inequality, which form the base of all the country’s difficulties and provide the platform for many challenges, including national growth, ‘racism’, sexism, classism, regional strife and so on. This is borne out in many academic and policy related analyses, including the NDP and strategies of the DST.

Poverty and inequality, as conditions which are both structural and ideological, frame and modulate the macro- and micro-determinants against which the issues of deprivation, and their opposite, the capacity to flourish, play themselves out. In relation to this, both the structural factors that are in play in producing these conditions and the range of responses to the problems – the policies and interventions – require analysis and engagement. In order to do this, the country must bring together the most sophisticated economic, political, historical and social analysis at its disposal. The HSRC will play a central role in promoting this development. Flowing from this, two features will distinguish the HSRC’s work for the next period of 2017–2021:

(i) a focus on the urgent questions of the social determinants surrounding the persistence of poverty and the deepening of inequality; and

(ii) an emphasis on building the capacity for high-quality problem identification and high-quality solution-focused research which will assist in understanding and engaging with the questions of poverty and inequality.

According to the HSRC’s Strategic Plan for the next five years, the research focus of the HSRC is therefore ‘poverty and inequality: diagnosis, prognosis, responses’. This recognises the far-reaching consequences of poverty and inequality for the well-being and life chances of South African citizens and for the stability and cohesion of society. These issues are also hugely and increasingly significant for the rest of Africa and the wider world. In particular, the HSRC’s research strategy will continue to seek to:

• Enhance the analysis of current forms, patterns and trajectories of poverty and inequality;

• Improve understanding of the drivers, dynamics and structural constraints underlying the contemporary situation; and

• Explore the opportunities, triggers and tools for transforming current pathways and processes through action by government and other social institutions.

The research agenda will be influenced and inspired by a positive vision of inclusive development and an awareness of the factors in the social, political and economic environment which impede progress towards the attainment of development. Inclusive development is both a process and an outcome. As a concept, inclusive development encompasses the following principles (i) the social ideal that the entire population shares equitably in the benefits of economic progress, (ii) the social value of direct and

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indirect participation of the people of the country in the development process, (iii) the building and nurturing of social trust, and (iv) the consequent development of legitimacy of public structures and institutions. As a process it requires wide and inclusive participation both in decision-making and in the practical activities of the social, political and economic domains of everyday life.

Starting with what it has already done, the HSRC will build on the considerable methodological strengths and resources it has developed over time. For instance, the HSRC has developed the capacity to design and manage large-scale national repeat and longitudinal surveys, to analyse and interpret in both quantitative and qualitative ways the data sets generated by these surveys, and to make the data available for further analysis. It has also built up a considerable body of knowledge based on other studies and discrete small-scale enquiries that have been put at the disposal of government and policy-makers, in accordance with the preamble to the 2008 HSRC Act. These resources are available to provide trend data, basic information and interpretive analyses necessary for engaging with the social conditions of the country and the policies and processes required for changing them. The HSRC also intends to collaborate and learn with researchers, policy makers and communities who share an interest and expertise in addressing these issues, and to contribute to capacity development where it has the specialised resources to do so.

Against this background, the research programme of the HSRC over the next five years will be structured around three broad foci with respect to poverty, inequality and inclusive development:

including growth, competitiveness, regional integration, infrastructure, technological innovation, ICT, resources (natural, human, land), labour markets and spatial dynamics (urbanisation, agglomeration, density).

including well-being (quality of life, security, social and spatial mobility, migration), human capabilities (education, skills, health etc.), social relationships (race, class, gender, identity etc.), social institutions and cohesion (family, community etc.).

including political participation, democracy, trust-building, nurturing legitimacy in public structures, capacity-building in the state, enhancing leadership, distributing power, accountability, responsiveness, social movements, multi-level government and coordinated decision-making.

Economic Inclusion

Social Development

Governance and decision-making

Our approach to this over the medium-term will be to develop these foci as collaborative and cross-cutting flagship projects.

These three foci and their sub-elements will be studied both as separate research programmes in their own right but also in terms of their inter-dependent relationships.

While the country has access to and insight into the important causal social determinants of the challenges facing it, many of the most interesting and important research questions surrounding the drivers, dynamics and barriers to socio-economic progress relate to the interactions between the three that arise across the three foci. This requires understanding the relationship between the structural and psycho-social factors that are at play in the country.

Understanding the relationship between the structural – including macro-economic factors – and the psycho-social – the choices individuals make for themselves – will mean continuing existing lines of research but also opening up new research questions. For example, the relationship between rising inequality, political instability, disinvestment, unemployment and economic stagnation constitutes a vicious circle – but how strong are each of these connections in reality, what are the detailed mechanisms at work, and what are the thresholds beyond which inequality constitutes a brake on progress? Conversely,

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reduced poverty and narrower income gaps could lay the basis for mutual trust, social order, political tolerance and investor confidence. How in this environment one develops social compacts around widely-debated and widely-dialogued initiatives is important. This work will have to be undertaken at the macro-, meso- and micro-levels of social life in the country and calls for a better understanding of the connected nature of the social, political and economic dimensions of development.

Our approach to these foci begins with the study of Well-being. This work which is significantly underway is aimed at enhancing our understanding of South Africans’ approach to their own well-being, how they understand it, how they take steps to deal with the structural realities in their lives which impede their well-being, and, also what they desire for themselves. This will help us understand the causal factors that loom so large in the past of apartheid and the making of the present.

The second theme on City Regions will link the question of well-being with the large social and structural shift that is happening in the country around the migration of people to the cities. This second theme is premised on the understanding that in city/regions are to be found the impediments and affordances which determine the future of the majority of South Africa’s people. How the country is dealing with the challenges and developing the infrastructural facilities to promote development is the focus of this work.

Transformative Governance as a theme is concerned with the normative order of South Africa. The point of departure for this theme is that the heightened protest and conflict seen in the country has to do with different understandings within communities, between communities, and between communities and government about what constitutes a reasonable level of provision of the basic services which citizens in a democracy might expect of their government. This work seeks to establish, in partnership with the key higher education, civil society and government stakeholders in this domain of work, what the minimum levels of provision could be around which government could be held accountable.

These three projects are intended to assist in understanding where the country has come from, where it currently finds itself and where it wishes to go. Taken together, they are intended to constitute an intersectional diagnosis and prognosis of the situation in the country with respect to poverty and inequality.

This priority area is being developed under the title: “Poverty and Inequality in South Africa in 3D: Using a 3 Dimensional Human Well-being Lens to Move Us Forward.” Focusing on multiple dimensions of human well-being in South Africa through considering how well-being has been conceptualised and what has been omitted in this understanding, including notions of collective solidarity and structural challenges to well-being; what can be learned from policies and ideologies from other parts of the world that impact on well-being; and what new empirical knowledge is needed in order to improve well-being in the midst of poverty and inequality.

This is being developed under the heading “Towards a Centre of Excellence for research and teaching on city-region economies”. Cities are drivers of economic development, but the growth process needs to be inclusive to ensure that the people of the country themselves participate in productive activities and thereby share in the proceeds of success. The research will analyse the drivers of key industries, the dynamics of urban labour markets and the regulatory obstacles to enterprise. Affordable housing on well-located land is another crucial ingredient of inclusive urban economies and effective rural-urban migration. The HSRC team will work in partnership with researchers in Gauteng and an international network of countries in Africa and Asia.

The focus of this work, called the “The Transformative Governance Initiative”, is to assist in the development of a social consensus around the minimum standards for the delivery and governance of key social services.

Well-being

City Regions as a focus for socio-economic development

Transformative Governance

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The figures below provides a few indicative examples of interventions and work already underway to address the triple challenge of poverty, inequality and unemployment:

Understanding informal

settlements

Innovation in Public

Employment Programmes

An evaluation of citizen

engagement

Spatial evidence for

planning

Agro-processing

Citizen Frontline Service Delivery

Project

Understanding obstacles to affordable

housing

Labour Market

Intelligence Programme

Dynamism in Rural Areas

Reduce Poverty

Decrease unemployment

Diminish Inequality

Figure1 : Interventions addressing Poverty

Figure 2: Interventions addressing Unemployment

Figure 3: Interventions addressing Inequality

In addition to these foci, the HSRC will continue to develop its capacity to work in the broad field of humanities. Recent overview studies of the humanities have confirmed the contribution of the HSRC. This was evidenced in the number of HSRC researchers currently engaged in humanities research, a programme of publishing focused on the historical contribution of individuals to South Africa’s transformation and an annual award recognising outstanding contributions to the humanities (the HSRC Medal for Social Sciences and Humanities). In addition, a number of new initiatives and projects are under development.

The HSRC in Africa

Section 3 of the HSRC Act of 2008 mandates the organisation to promote social science and humanities research and knowledge production across the African continent. The Council is expected to engage in collaborative programmes linked to the public sector in order to foster research across the continent.

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After the incorporation of (Africa Institute of South Africa (AISA) into the HSRC, an Africa Focus Committee (AFC) was formed that has representation from the various Research Programmes, Centres, Institutes and Units in the HSRC. In many cases these representatives are the African Research Fellows in various programmes. The committee’s mandate, amongst other objectives, is to develop and coordinate the implementation of the proposed HSRC Africa Research and Collaboration Strategy. The strategy is premised on the understanding that the continent needs to move away from being a knowledge recipient and become a meaningful partner in global knowledge creation and innovation by leveraging its knowledge sources, epistemologies, capabilities and networks – including in the diaspora.

The Africa research partnership and collaborative strategy fosters partnerships and enhances/builds networks through multidisciplinary and transdisciplinary research programmes and organisational exchange programmes. The strategy enables the HSRC to directly and indirectly contribute to the implementation of the DST’s Africa engagement strategy. The main objective is to make evidenced-based research available in the region, especially in the SADC region, along the North-South transport corridor and across the African continent more broadly. The research is intended to inform the development of policies and strategies aimed at tackling issues of inclusive development and the reduction of poverty and inequalities, in line with the AU’s Science, Technology and Innovation Strategy for Africa 2024, the AU Africa Agenda 2063, and the UN’s Sustainable Development Goals. This is based on the understanding that Africa needs research, knowledge production and dissemination that has continental import, done by Africans, and for Africa.

The main strategic focus of the HSRC’s Africa-wide research is to build research partnerships across the continent, taking into account the continent’s strategic goals and policy frameworks for inclusive social and economic development.

Inclusive human and social development and improving well-being (shared and high rates of economic growth, the eradication of poverty and inequality, democratic governance, addressing climate and environment change, and engendering vibrant cultures) are key overarching continental priorities that require multilateral research partnerships. In addition to these priorities, other imperatives (globalisation, city building, regional infrastructure, and innovation) will also be the focus of attention and will be addressed across a range of transversal themes such as gender and youth development, and within various sectors, primarily health and education.

1.2 Organisational environmentThe figure below shows the organisational structure of the HSRC, as of January 2018. Broadly speaking, and for purposes of performance planning and reporting, the work of the HSRC is structured in two major programmes, namely:

• Administration (consisting of the office of the CEO, the Governance section, the office and units reporting to the Chief Financial Officer, and the Operations and Support units reporting to the Group Executive for Shared Services); and

• Research, Development and Innovation (encompassing the office of the Deputy CEO for Research and the following research programmes, units and centres: AISA, Centre for Science, Technology and Innovation Indicators (CeSTII), Democracy, Governance and Service Delivery (DGSD), Economic Performance and Development (EPD), Education and Skills Development (ESD), HIV/AIDS, Sexually Transmitted Diseases and Tuberculosis (HAST), Human and Social Development (HSD), Population, Health, Health Systems and Innovation (PHHSI), and Research Use and Impact Assessment (RIA).

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DCEO: Research

Group Executive Shared Services

(designated CFO)

Africa Institute of South Africa

Democracy, Governance and Service Delivery

Human Resources FinanceCentre for Science,

Technology and Innovation

Indicators

Economic Performance and

Development

Learning and Development

Supply Chain ManagementResearch Use and

Impact Assessment

Education and Skills Development

Legal Services Enterprise Risk Management

HIV/AIDS and STIs and TB

Library and Information

Services

Human and Social Development

Building and Maintenance (Facilities and

Cafeteria)

Population Health, Health Systems and Innovation

Information Technology

HSRC Board

CEO

Governance

Office Management and Board Secretariat

Internal AuditBusiness Development andInternational Liaison Unit

Figure 4: HSRC organisational structure, April 2018

The HSRC underwent restructuring in 2010. In the years following 2010, it made minor adjustments to its research and support units in accordance with operational requirements. Following the incorporation of the Africa Institute of South Africa (AISA) into the HSRC as of 1 April 2014, efforts to reduce duplication and strengthen the Africa focus programme have been ongoing.

A new Africa focus research strategy was developed during 2016/17, and AISA will remain the main driver to deliver on this strategy. However, in terms of institutional and programme-level performance objectives, the alignment between AISA and other research units in the RDI programme was achieved to such an extent that AISA will contribute to similar research-related performance indicators as of 1 April 2017. In this Annual Performance Plan, AISA is therefore presented as a sub-programme within

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the RDI programme, while still reflecting its own strategic objectives, programme performance indicators and annual targets for 2018/19 to 2020/21. Budget information for AISA is presented, and can be tracked, separately from the Administration and RDI programmes. In the course of 2017/18, a number of adjustments to the organisational structure and internal reporting lines were agreed to. These adjustments, which will reduce the number of research programmes reporting to the Deputy CEO for research, are expected to promote greater synergies in areas of related research, and also help to bring about savings in terms of the number of executive directors.

In preparation for the next (2018) institutional review, two programme-level reviews took place during 2017/18. Based on recommendations from these reviews and further developments in the broader Science, Technology and Innovation Institutional Landscape (STIIL), the HSRC will continue to critically reflect on factors that may impede or improve its ability to deliver effectively and efficiently on its core mandated and strategic objectives.

1.3 Mid-Term Review: Performance to dateThroughout the performance period starting in 2014/15, the HSRC constantly reviewed and reflected on its performance in relation to national priorities as well as predetermined objectives.

In 2015/16, following the appointment of the current CEO, the HSRC reflected the strategic purpose and focus of its research agenda. The outcome of this was a much clearer and more unified commitment to undertake, promote and extract synergies from research that deal with poverty, inequality and inclusive development. This enabled the organisation to re-affirm its alignment to key national priorities as identified in the NDP – notably the need to help understand and address poverty and inequality, as well as to its mandated objectives, as outlined in Section 3 of the HSRC Act.

Alongside the reflection on a strategic, unifying focus to drive its research agenda, the HSRC also considered the predetermined performance indicators and targets already appearing in its strategic and annual performance plan. The broad alignment between the six “ADEPTS” strategic outcome oriented goals, its mandated objectives (“Advance”, “Develop”, “Enhance” and “Preserve”) and operational imperatives (“Transform” and “Sustain”) was noted and acknowledged. At the same time, it was felt that there was a need to signal a stronger commitment to quality and impact, rather than to place more pressure on an organisation with limited resources, to deliver against constantly growing numerical targets.

Following due consultation, and with the support of its Board, the Department and the Minister of Science and Technology, the HSRC published an approved addendum to its 2017/18 Annual Performance Plan (APP). This addendum explains how and why some performance indicators appearing in previous APPs were removed, revised or replaced. This allowed the HSRC to introduce a few indicators intended to help track the impact or uptake of some of its work, and also to better align its performance indicators with some of the proxy indicators appearing in the APP of the DST. At the same time, sufficient continuity was maintained to allow the HSRC to track performance against predetermined objectives over three, four, or five years.

The section below reviews performance to date in relation to some of the indicators and targets associated with aspects of the strategic outcome oriented goals of the HSRC (described in more detail in its approved Strategic Plan, and updated in Sections 2, 3 and Annexure B to this APP) for the medium-term strategic period starting in 2014/15.

Strategic Outcome Oriented Goal 1: A – Advancing knowledge and scientific excellence

Under this rubric, the HSRC committed itself to “have advanced excellence in social sciences and humanities for public use by continuing to disseminate its research results through scientific publications, seminars and more popular media, thereby contributing to global knowledge generation and dissemination by end of the 2018/19 financial year”.

Specific, Measurable, Attainable, Relevant and Timely (SMART) performance indicators to monitor HSRC performance during this period relate to numbers of recognised journal articles, scholarly books and book chapters published, seminars hosted, and policy briefs published. The HSRC met or

250

200

150

100

50

02014/15 2015/16 2016/17

212

148

75

146

80

206

121

66

Total for HSRC

Total by senior researchers

Number of senior researchers

Figure 5: Peer-reviewed journal articles 2014/15 to 2016/17

167

2.5

2

1.5

1

0.5

02014/15 2015/16 2016/17

1.4

1.83 1.83

Target

Ratio

Figure 6: Peer-reviewed journal articles per senior researcher 2014/15 to 2016/17

1.9 1.9 1.97

70

60

50

40

30

20

10

02014/15 2015/16 2016/17

58 60

Target

Actual

Figure 7: HSRC research seminars hosted 2014/15 to 2016/17

50 50 50

62

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exceeded most targets set for these indicators, but remains committed to ensuring the quality and impact of its research outputs, rather than to focus on the achievement of numerical targets only. More recently, an academic impact indicator related to article citations was added.

From 2014/15 to 2016/17, the ratio of recognised peer-reviewed journal articles published per senior researcher was used as a performance indicator. As of 2016/17, the indicator was revised to calculate the ratio of DHET-accredited journal articles per researcher – showing the commitment to build and recognise capacity of younger researchers to publish alongside their more senior counterparts.

The figures below are based on historical data over three years (starting 2014/15), and from which important mid-term reflections are made:

(i) The HSRC has succeeded in appointing and retaining more senior researchers (senior research specialist and higher), in the period 2014/15 to mid-2016/17, from 66 to 80. This intends to help reduce the pressure on a small group of senior researchers to deliver on a range of areas. This had also been identified as a constraint in the 2010 institutional review report.

(ii) With a broader base of researchers contributing to publishing journal articles, and being held accountable for co-contributing to a performance target, the overall productivity of the HSRC is set to increase: By mid-2017/18, the number of DHET-listed journal articles produced by all HSRC researchers already stood at 128, which seems to indicate that the overall number of journal articles might exceed the previous high of 212 in 2015/16.

(iii) The target for DHET-accredited journals per researcher (revised indicator) will continue to be increased over time, as is made evident in Annexure B.

In the three-year period 2014/15 until 2016/17, the HSRC hosted an average of 60 seminars per year – more than one seminar per week. Many seminars were arranged on behalf of researchers or research teams from outside the HSRC, and attendance lists bear evidence of the broad range of role players and stakeholders from various parts of the country who are enabled to participate in seminar discussions. This serves as evidence of the HSRC playing the role of a promoter and facilitator of research, research dissemination and research-based debate.

As of 2018/19, the target for HSRC seminars will nevertheless be lowered, to enable the organisation to bring more resources to support strategic engagement and policy-relevant advocacy work for prioritised seminars.

Strategic Outcome Oriented Goal 2: D Developing collaborative networks and applied research on poverty and inequality

In terms of institutional performance, the HSRC continued to deliver on an Africa-wide (as well as international) agenda while addressing national priorities through its research. Its contributions to the BRICS (Brazil, Russia, India, China, South Africa) think tank forum helped to set a vision and research agenda for this group, and more recently an HSRC research executive director was appointed chairperson of the Indian Ocean Rim Association (IORA) academic forum. In terms of continental contributions, the Centre for Science and Technology Innovation Indicators (CeSTII) is held in high regard by counterparts thanks to its leadership role and capacity development initiatives across the continent; the HIV/AIDS, STIs and TB (HAST) research programme is currently involved in a major collaborative research project that also entails technical skills transfer in Africa, two collaborative research projects that consider the role of youth on the African continent are currently underway, and the HSRC’s collaboration with CODESRIA continues to strengthen networks and collaboration across the continent. At national level, two recent and very important collaborative programmes of work are worth mentioning: The Labour Market Intelligence Partnership (LMIP), undertaken with and on behalf of the Department of Higher Education and Training (DHET) by the HSRC and a consortium of academic partners at higher education institutions; and a Cabinet-commissioned study to review decisions made by the Constitutional Court and Supreme Court of Appeal, which was undertaken by the HSRC, with the University of Fort Hare, on behalf of the Department of Justice and Constitutional Development.

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Figure 8: African research fellows appointed 2014/15 to 2016/17

Figure 9: Master’s degree interns appointed at the HSRC: 2014/15 to 2016/17

Figure 10: PhD research interns appointed at the HSRC: 2014/15 to 2016/17

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In terms of SMART indicators, aspects of this strategic outcome oriented goal are addressed by performance indicators counting the number of collaborative partnerships – more recently, emphasising collaboration with Historically Disadvantaged Institutions (HDIs) – and examples of collaboration with counterparts from other parts of Africa.

The figure on this page shows changes in the targets set, and achieved, in relation to the appointment of African Research Fellows (ARFs) in the HSRC. After new immigration regulations came into effect in May 20151, the HSRC found it more difficult to appoint ARFs in longer-term positions. It consequently decided to revise its policy on the appointment of ARFs as of 2017/18, to allow for more short-term exchange appointments. In addition, a new performance indicator to track and report on journal articles co-authored with research counterparts in African countries outside South Africa was introduced in 2016/17. This indicator is aligned with a DST proxy indicator.

Strategic Outcome Oriented Goal 3: E – Enhancing research skills and public awareness

Performance indicators in this strategic outcome oriented goal relate to research internships, postdoctoral appointments, and outreach or capacity building programmes. The HSRC, through AISA, continued to deliver on annual young scientist events and campus lecture series. As of 2017/18, a specific focus on methodology workshops was introduced. Apart from national outreach activities, the HSRC’s special contribution to research capacity development is the formal appointment (as staff members) of emerging researchers as interns or postdoctoral fellows. This allows them to benefit from participation in all aspects of research projects, research publication, and other formal and informal mentorship and capacity development opportunities.

In the three years from 2014 to 2017, the HSRC appointed and supported many research interns and postdoctoral fellows. At any point in time, there were more interns than senior researchers employed, which placed pressure on the limited number of senior research staff in the HSRC. Efforts to re-balance these ratios included a decision prior to 2015/16 to increase the targets for PhD interns in relation to Master’s interns. The proposed reduced targets for 2018/19 are motivated by a commitment to ensure quality supervision and mentorship support for interns, also helping them to complete their formal studies before leaving the HSRC. Another consideration informing slightly reduced targets for new internship and postdoctoral appointments is reduced levels of funding from parliamentary as well as external sources.

Strategic Outcome Oriented Goal 4: P – Preserving and sharing data for further analysis

Following the promulgation of the 2008 HSRC Act, the organisation prioritised preservation and curation of datasets with a view to secondary research by internal as well as external researchers.

The annual targets set since 2014/15 were met or exceeded as shown on the left. However, thanks to the introduction of a new indicator to monitor and report on datasets downloaded for secondary use, it was confirmed that data from large, national or repeat surveys should be prioritised for curation. Hence, a lower target will be set as of 2018/19, to ensure that prioritised data sets are curated and made accessible for secondary use.

Strategic Outcome Oriented Goal 5: T – Institutional transformation

The HSRC remains committed to institutional transformation, and has purposefully selected stretch targets to monitor transformation from the perspective of race and gender. The most critical sub-group of staff members are targeted for purposes of reporting, namely senior researchers (at the level of senior research specialist or higher). From the perspective of race, the target is not set in terms

1 http://www.dha.gov.za/index.php/statements-speeches/600-overview-of-the-new-immigration-laws-and-regulations-

and-their-implications-by-home-affairs-director-general-mkuseli-apleni

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Figure 11: Postdoctoral researchers appointed at the HSRC: 2014/15 to 2016/17

Figure 12: Curated datasets 2014/15 to 2016/17*

Figure 13: Senior researchers who are African 2014/15 to 2016/17 *

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* This target refers to the StatsSA classification of “African” in terms of population group reporting, i.e. black persons of African origin. It is intended to redress past inequalities and associated backlogs in representivity and access, by promoting capacity building and career development of Black African South African researchers; it is not intended to perpetuate past divisions based on racial classifications.

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of “black” as a collective concept. Rather, this target refers to Statistics South Africa’s classification of “African” in terms of population group reporting, i.e. black persons of African origin.

Actual performance for senior researchers who are African: 28/66 (for 2014/15) 34/75 (for 2015/16) and 33/80 (for 2016/17).

In terms of gender representivity, the HSRC started at a lower base, but has been making rapid progress since 2014/15.

Pure compliance targets (e.g. the number of quarterly employment equity reports submitted) were removed as of 2017/18.

Strategic Outcome Oriented Goal 6: S – Financial sustainability

Trends over time since 2014/15 (when AISA incorporation boosted the relative % of baseline funding) shows that the HSRC remained under pressure to increase its external funding component. Actual figures used to calculate the percentages below are R162m/R408m for 2014/15, R208m/R469m for 2015/16 and R205m/R460m for 2016/17.

The HSRC and the National Development Plan (NDP)

As indicated earlier, the research agenda of the HSRC is closely aligned with topics and priorities highlighted in the NDP. More information on this alignment, including the alignment between institutional objectives and strategic performance indicators of the HSRC and national priorities, is provided in Section 4 of this Annual Performance Plan.

2. Revisions to legislative and other mandatesThere were no revisions to legislation and other mandates directly applicable to the HSRC.

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Figure 14: Senior researchers who are female 2014/15 to 2016/17

Figure 15: External income as a percentage of total income 2014/15 to 2016/17

48%

48%

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3. Overview of 2018/19 budget and MTEF estimates3.1 Expenditure estimatesTable 1: Expenditure Estimates – Human Sciences Research Council

Programme Actual/Audited outcomesAdjusted appropriation Medium-term expenditure estimate

R thousand 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19 2019/20 2020/21

1. Administration 145 168 152 314 165 408 165 324 198 274 208 215 221 086 229 829

2. Research, Development & Innovation 203 217 211 408 245 990 286 107 297 900 315 488 336 081 354 365

3. Africa Institute of South Africa (AISA) - 26 298 26 195 27 805 43 942 46 546 49 676 51 663

Total 348 385 390 020 437 593 479 236 540 115 570 249 606 783 635 857

Economic classification

Current payments 337 949 380 055 429 379 466 235 501 052 530 682 552 361 593 158

Compensation of employees 208 098 230 800 236 986 270 926 274 259 293 608 315 340 327 954

Goods and services 129 851 149 255 192 393 195 309 214 863 222 906 234 784 248 982

Of which:

Agency and support/outsourced services 6 509 8 081 5 480 6 550 8 685 9 189 9 704 10 092

Computer Services - - - 654 692 732 773 804

Communication 11 584 11 701 13 991 12 815 15 617 16 522 17 448 18 145

Contractors & outsourced services 9 240 11 946 11 452 11 840 14 166 14 988 15 827 16 460

Inventory 3 926 4 940 6 236 6 728 5 880 6 221 6 569 6 832

Maintenance repairs & running costs 9 801 15 603 12 065 16 534 25 953 26 007 26 859 27 900

Operating leases 7 182 7 108 8 612 9 187 7 878 8 335 8 801 9 153

Training and staff development 2 217 2 123 2 549 3 985 3 264 3 453 3 646 3 792

Travel and subsistence 4 499 4 737 4 485 5 555 6 214 6 574 6 942 7 220

Research Costs 63 716 73 626 114 197 109 405 118 435 116 311 122 824 132 577

Other Operating Costs 11 177 9 390 13 326 12 056 8 081 14 575 15 391 16 007

Other costs 10 436 9 965 8 213 13 001 11 930 12 622 13 330 13 892

Depreciation 9 403 8 695 6 995 11 251 10 654 11 272 11 904 12 380

Interest and rent on land 1 033 1 270 1 218 1 750 1 276 1 350 1 426 1 512

Transfers and subsidies to: - - - - 39 063 41 329 43 642 45 389

Non-profit institutions - - - - 39 063 41 329 43 642 45 389

Total 348 385 390 020 437 593 479 236 540 115 570 249 606 783 635 856

3.2 Relating expenditure trends to strategic outcome oriented goals

3.2.1 Contribution of Budget and MTEF allocation to the realisation of strategic outcome-oriented goals

Appropriately skilled and experienced staff as well as sufficient levels of funding are key inputs to support the work of the HSRC. There is a great deal of competition for the services of highly qualified research staff in academia, the public sector as well as in the private sector. The number of senior research staff in the HSRC has declined over time, hence the need to focus on growing new research staff by means of trainee programmes and to retain the services of good researchers.

The HSRC funding from the parliamentary grant has increased over the past few years. However, these increases were generally in line with inflation. The parliamentary grant has not increased substantially in real terms. Hence, there is still a great deal of pressure on the HSRC and its senior research staff to raise additional funds to enable the organisation to deliver on mandated objectives. According to

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current projections, the HSRC will have to secure a greater portion of external research income in the next few years if it is to retain its current staffing and budget levels. This pressure is bound to increase if major additional capital or research expenses have to be incurred. It should be noted that the report of the 2010/11 HSRC Institutional Review Panel contains a recommendation suggesting a ratio of 80% parliamentary grant in relation to 20% external research funding. The Minister of Science and Technology and Director-General of the Department had also confirmed their support for a much more favourable ratio of parliamentary grant funding versus external research funding. However, any additional allocations would depend on the National Treasury allocations to the Department of Science and Technology.

3.2.2 Impact of allocations in the Budget and MTEF on performance targets

The HSRC receives parliamentary grant funding via government’s Medium-Term Expenditure Framework (MTEF) allocation to Vote 30, Science and Technology. However, this allocation does not sufficiently fund the mandate of the HSRC. One of the HSRC’s mandates is to promote and help build capacity in social and human sciences in South Africa, Africa and the global South. Over the years the practical execution of this mandate has been largely funded from externally generated income. Some of the major funders of current and recent projects include the US Centres for Disease Control and Prevention (CDC), the Wellcome Trust, the Conrad N. Hilton Foundation and the International Development Research Centre (IDRC).

Long-term visioning and planning is hampered by uncertainty of actual total budget to be achieved in years to come.

Although performance targets have been set, insufficient budget allocation will hamper the HSRC’s ability to meet its mandated objectives.

3.2.3 Strategies to address the impact of allocations in the Budget and MTEF on performance targets

The HSRC wishes to reduce the proportion of its external funding income by growing the MTEF portion of its income to reduce pressure on researchers and ensure financial security for realistic planning and delivery. Bearing in mind the constraints on the fiscus and the need to ensure optimal use of government funding, the HSRC noted with appreciation the reference made to ongoing work involving the DST and National Treasury, on the impact of the current funding regime on science councils (DST Annual Performance Plan 2016/17 page 27).

4 Strategic performance indicators and targets 2018/19In terms of strategic objectives and key performance indicators set for the forthcoming planning period, the HSRC will retain generic indicators that had been set for the MTSF. These include indicators that are associated with research and science communication processes (such as platforms to engage with policy makers), research outputs (including published journal articles, book chapters and curated datasets), attempts to report on research use and impact (for instance cited journal articles and downloaded datasets), as well as critical inputs associated with institutional sustainability and relevance including ongoing transformation and capacity development.

During 2016/17, the HSRC executive leadership paid specific attention to the review and refinements of the set of performance indicators in the APP for the year. It engaged with DST and DPME about the possible reduction or revision of some indicators, and based on its motivated requests, some indicators were removed and a few others were revised or replaced in the 2017/18 APP.

The six outcome-oriented goals of the HSRC, captured under the acronym “ADEPTS” show alignment to the HSRC’s mandated objectives as well as NDP priorities as summarised in the graphic on page 17. In addition to the general examples cited in Table 3, the examples of strategic contributions made by some of its flagship projects also include more information on research evidence emerging from longitudinal and repeat cross-sectional surveys, to support planning, monitoring and evaluation, as well as possible intervention strategies in relation to national priorities. The HSRC therefore continues to work closely with its Executive Authority to secure sustainable funding from Government to support

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strategic longitudinal and repeat cross-sectional surveys which are national resources that are critical to support government planning as well as the Monitoring and Evaluation of the National Development Plan. These surveys are:

• South African National HIV, Behaviour and Health Survey (SABSSM)

• South African Social Attitudes Survey (SASAS)

• Trends in International Mathematics and Science Study (TIMSS)

Based upon a completed scoping exercise of the publically available data from over 40 surveys conducted by the HSRC, in the 2018/19 period the HSRC will continue construction of a dashboard of indicators of poverty and inequality. This will be a centralised web-based indicator dashboard based entirely on HSRC produced data that supports the monitoring of the implementation of the national Medium-Term Strategic Framework and the National Development Plan. The dashboard, to be implemented in three phases – depending on the securing of appropriate Data Architect, Data Developer, Web Developer, and Business Analyst competencies – will also directly link HSRC data to Africa’s Agenda 2063 and the Sustainable Development Goals (SDGs). Where possible the dashboard will present an aggregated time series (trend) view of key indicators and provide the means to drill into curated data using data analysis tools.

The HSRC’s areas of research support the objectives of the NDP to varying degrees, as illustrated below:

Fighting corruption

An integrated and inclusive rural economy

Social protection

Positioning South Africa in the world

Environmental sustainability

Economy and employment

Building safer communities

Building a capable and developmental state

Economy infrastructure

Transforming human settlements

Transforming society

Improving education, training and innovation

Promoting HealthFigure 16: Priorities highlighted in NDP chapters

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Alignment between HSRC outcome oriented goals and mandated objectives, National Development Plan (NDP) priorities and Medium Term Strategic Framework (MTSF) outcomes

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Economy and unemployment

NDP Chapter MTSF Outcome HSRC Programme of work HSRC’s Strategic Response

Transforming society and uniting the country

Promoting health

Transforming human settlements

Positioning South Africa in the world

Decent employment through inclusive economic growth

A diverse, socially cohesive society with a common national identity

A long and healthy life for all South Africans

Sustainable human settlements and improved quality of household life

Protect and enhance our environmental assets and natural resources

Quality basic education

Responsive, accountable, effective and efficient local government

Create a better South Africa and contribute to a better Africa and a better world

A skilled and capable workforce to support an inclusive growth path

An efficient, effective and development-oriented public service

Economic Performance and Development

Human and Social Development

HIV/AIDS, STIs and TBPopulation Health, Health Systems and Innovation

Economic Performance and Development

Democracy, Governance and Service Delivery via IORA

Centre for Science, Technology and Innovation IndicatorsEducation and Skills DevelopmentResearch Use and Impact Assessment

Democracy, Governance and Service Delivery

Africa Institute of South AfricaDemocracy, Governance and Service Delivery via the BRICS Research Centre

• Advancing excellence in social sciences and humanities for public use by continuing to disseminate research results through scientific publications, seminars and more popular media, thereby contributing to global knowledge generation and dissemination

• Contributing to the development of a programme of work dealing with poverty and inequality by conducting research, analysing and publishing data, identifying priorities, and proposing or reviewing possible interventions that aim to address developmental challenges affecting marginalised or vulnerable groups in South Africa and elsewhere in Africa, through knowledge and research partnerships

• Providing opportunities for masters’ and doctoral candidates as well as post-doctoral fellows to conduct research at the HSRC in order to grow an echelon of suitably qualified and experienced researchers, while also contributing to the growing awareness of findings, approaches and career opportunities in social sciences and humanities research amongst members of the public, students and scholars, and decision makers

• Preserving data collected during HSRC research and make it available for further analysis and acknowledgement in publications

Improving education, training and innovation

Building a capable and developmental state

As indicated earlier, the HSRC continued to develop and refine performance indicators that are intended to allow better reporting and reflection on the quality, relevance and impact of its work.

The focus on generic, rather than content-specific indicators is deliberate: Because the HSRC is dependent on external income to meet all of its budgetary obligations and mandated objectives, it is not always possible to link performance indicators in advance with specific topics or detailed content areas. However, the research agenda and areas of work of the HSRC will remain focused on the broad dimensions of poverty, inequality and inclusive development, through the lenses of economic inclusion, social development, and governance and decision-making. By the end of each annual or five-year reporting cycle, the HSRC will therefore be able to report and reflect, amongst other things, on contributions made through its research from the board dimensions of economic inclusion, social

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Table 2: Strategic performance indicators and targets 2018/19

No Goals, objectives & performance indicators

Annual Targets Quarterly Performance Targets

2018/19 Q1 Q2 Q3 Q4

1 A – Advancing knowledge and scientific excellence

Objective 1A Disseminating of knowledge through publications and public dialogue

1.1 Peer-reviewed journal articles (acknowledged journals) per researcher.

0.9 0.1 0.2 0.3 0.4

1.2 Scholarly books published 14 0 1 4 9

1.3 Scholarly book chapters published 54 6 11 19 18

1.4 HSRC research seminars convened 40 12 12 8 8

1.5 HSRC Review publications produced 4 1 1 1 1

Objective 1B Informing effective formulation of government policy

1.6 Policy briefs produced and published 10 0 2 2 6

1.7 Public dialogues on poverty and inequality hosted 4 1 1 1 1

Objective 1C Promoting excellence, reach and impact of publications

1.8Number of peer-reviewed journal articles by HSRC author or authors with at least 10 citations listed within 5 years from publication

8n/a

(annual target)

n/a n/a 8

2 D – Developing collaborative networks and applied research

Objective 2A Supporting collaborative research networks

2.1 HDIs with which HSRC has actively collaborated during the reporting period

5 2 1 1 1

Objective 2B Promoting and African research agenda

2.2 African research fellows hosted by the HSRC 10 5 7 8 10

2.3 Peer-reviewed journal articles co-published with researchers outside South Africa, on the African continent

8 1 1 2 4

3 E – Enhancing research skills and public awareness

Objective 3A Attracting skills for the development of a skilled & capable workforce

3.1 Master’s level interns 35 26 29 32 35

3.2 PhD level interns 45 36 40 42 45

3.3 Post-Doctoral Fellows 20 13 16 17 20

Objective 3B Building research capacity for the human sciences

3.4 Completed Master’s level research internship 6 0 1 0 5

3.5 Completed PhD level research internship 8 0 0 0 8

Objective 3C Raising awareness of opportunities and contributions in social science and humanities research

3.6 Training academy (“winter/summer school” or methodology workshop) hosted

2 0 1 0 1

4 P – Preserving and sharing data for further analysis

Objective 4A Preserving research data and artefacts

4.1 Preserved datasets 10 0 3 2 5

Objective 4B Managing and promoting secondary use of research data

4.2 Unique downloads of curated data sets 472 100 124 124 124

development and governance and decision making to critical issues associated with the reduction of poverty and inequality, and promotion of inclusive innovation and growth.

The following table presents a consolidated view of organisational strategic performance indicators and targets for the financial year 2018/19, against which the performance of the HSRC will be reported during the course of the financial year. Annual performance targets for the fiscal years 2017/18 to 2021/22 are presented in Annexure B of this document.

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Annual Targets Quarterly Performance Targets

2018/19 Q1 Q2 Q3 Q4

5 T – Institutional transformation

Objective 5A Ensuring ongoing transformation at the level of senior researchers

5.1Percentage South African senior researchers who are African2 56% 56% 56% 56% 56%

5.2 Percentage senior researchers who are female 50% 50% 50% 50% 50%

6 S – Financial sustainability

Objective 6A Ensuring financial sustainability by securing extra-parliamentary income

6.1 Extra-parliamentary income as percentage of total income

48% 48% 48% 48% 48%

6.2 Multi-year grants 56% 56% 56% 56% 56%

Cumulative Year-end Cumulative Year to date Non-cumulative

5 Programme and sub-programme plansThe HSRC’s main focus is to conduct large-scale, policy-relevant, social-scientific projects for public-sector users, non-governmental organisations and international development agencies in partnership with researchers globally, but specifically in Africa. To implement its strategic plan, the following strategic objective annual targets have been allocated to the two main HSRC programmes units whose details are presented in the following sub-sections:

Programme 1: Administration

Programme 2: Research, Development & Innovation (RDI)

5.1 Programme 1: AdministrationPurpose: This programme is responsible for the strategic direction and overall management of the HSRC. It provides centralised support services to ensure that all activities of the HSRC comply with good governance principles, applicable legislation and funder requirements whilst ensuring that the strategic direction of the institution is aligned with the mandated objectives and government priorities.

The Administration programme is implemented by administrative and strategic support units reporting to the CEO, the Group Executive for Shared Services and the CFO.

Units entrusted with good governance, strategic planning and oversight, and external funding relations, are placed in the Office of the CEO. These include the Board Secretariat, Internal Audit, and Business Development and International Liaison (BDIL).

The Finance Directorate, Supply Chain Management (SCM) and Enterprise Risk Management (ERM) reside within the office of the CFO.

Staff functions and research support functions such as Human Resources (HR), Information Technology (IT), Legal Services, Library and Information Services (LIS) as well as Building and Maintenance-related services report to the Group Executive for Shared Services.

5.1.1 Strategic objective annual targets for 2018/19 to 2020/21

Detailed strategic objectives and performance indicators are presented in Annexure B of this document. Table 3 below presents strategic objective performance targets for the Administration programme.

2 This target refers to the StatsSA classification of “African” in terms of population group reporting, i.e. black persons of African origin. It is intended to redress past inequalities and associated backlogs in representivity and access, by promoting capacity building and career development of Black African South African researchers; it is not intended to perpetuate past divisions based on racial classifications.

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Table 3: Strategic performance indicators and targets – Administration

NoStrategic objective & performance indicator titles

5-year Strategic Plan Target

Audited Performance Targets Medium-term targets

2014/15 2015/16 2016/17 2017/18 2018/19 2019/20 2020/21



1.7Public dialogues on poverty and inequality hosted

4 New New 4 4 4 4 4


1.8

Number of peer-reviewed journal articles by HSRC authors with at least 10 citations listed within 5 years from publication

12 New NewIndicator and target defined

6 8 10 10



3.1 Master’s level interns 42 42 43 52 42 35 35 35

3.2 PhD level interns 49 45 53 52 49 45 45 45

3.3 Post-Doctoral Fellows 25 21 28 27 25 20 20 20


3.6

Training academy (“winter/summer school” or methodology workshop) hosted

2 New New New 1 2 2 2


4.2

The number of unique downloads of HSRC curated data sets during the period under review

546 New NewIndicator and target defined

450 472 496 520


5.1.2 Strategic objective quarterly targets – Administration

Table 4: Administration programme quarterly targets


Annual Targets HSRC Annual Targets

Programme

Quarterly Performance Targets Programme

2018/19 Q1 Q2 Q3 Q4



1.7Public dialogues on poverty and inequality hosted

4 4 1 1 1 1

1.8

Peer-reviewed journal articles authored or co-authored by HSRC researchers with at least 10 citations listed, within 5 years following publication.

8 8N/a (annual target)

N/a (annual target)

N/a (annual target)

8



3.1 Master’s level interns: 35 353 26 29 32 35

3.2 PhD level interns: 45 45 36 40 42 45

3.3 Post-Doctoral Fellows: 20 20 13 16 17 20

3 Including one (1) located at DCEO: Research

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Programme

Quarterly Performance Targets Programme

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3.6Training academy (“winter/summer school” or methodology workshop) hosted

2 2 0 1 0 1


4.2The number of unique downloads of HSRC curated data sets during the period under review

472 472 100 124 124 124


5.1.3 Reconciling performance targets with the Budget and MTEF: Expenditure estimates

Table 5: Expenditure estimates – Administration

Sub-Programme Actual/Audited outcomesAdjusted appropriation Medium-term expenditure estimate

R thousand 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19 2019/20 2020/21

Administration 145 168 151 094 165 408 165 324 198 274 208 215 221 026 229 829

Total 145 168 151 094 165 408 165 324 198 274 208 215 221 026 229 829





Of which:

Agency and support/outsourced services 5 151 6 556 5 480 6 514 6 820 7 216 7 620 7 924

Computer Services - - - - - - - -

Communication 7 737 8 359 10 415 10 415 11 480 11 088 11 709 12 177

Contractors & outsourced services 9 211 11 912 11 370 11 840 14 054 14 869 15 702 16 330

Inventory 3 186 4 412 5 798 5 798 5 206 5 508 5 816 6 049

Maintenance repairs & running costs 9 228 11 922 11 870 15 643 25 371 25 390 26 208 27 223

Operating leases 6 825 6 012 7 726 8 093 7 430 7 861 8 302 8 634

Training and staff development 1 373 1 035 1 530 2 550 1 967 2 081 2 198 2 286

Travel and subsistence 4 370 4 642 4 445 5 131 5 447 5 763 6 085 6 329

Research Costs - - - - - - - -

Other Operating Costs 10 179 4 805 11 676 9 966 2 959 2 395 2 529 2 630

Other costs 7 838 6 210 5 855 7 310 8 177 8 651 9 136 9 501

Depreciation 6 805 4 940 4 637 5 560 6 901 7 301 7 710 8 018

Interest and rent on land 1 033 1 270 1 218 1 750 1 276 1 350 1 426 1 483

Financial transactions in assets and liabilities


Universities and technicons - - - - - -


Payment for capital assets - - - - - -

Total 145 168 151 094 165 408 165 324 198 274 208 215 221 026 229 829

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Performance and expenditure trends

Budget allocations have impacted on investment in capital items, which has been limited, and no major investments in buildings or equipment will be possible unless additional income is obtained.

5.1.4 Risks and the mitigation thereof

Risks

There is pressure on public entities to reduce administrative costs. In the HSRC, there is also a commitment to reduce the number of administrative support positions, in relation to the number of research positions. If this process is not managed carefully, there is a risk that critical skills may be lost due to staff turnover.

Mitigation

Plans for job sharing, succession planning and introduction of electronic workflow and information management systems will receive attention in coming years, if sufficient funding for such initiatives can be obtained and earmarked.

5.2 Programme 2: Research, Development & InnovationPurpose: This programme facilitates knowledge generation through research and development in key priority areas and also to inform government’s policy/planning, monitoring and evaluation in national priority areas. It also facilitates preservation of data sets and assesses the impact of its research.

5.2.1 Strategic objective annual targets for 2018/19to 2020/21

Table 6 below presents strategic objective performance targets for the Research, Development & Innovation programme.

Table 6: Strategic objective annual targets – Research, Development and Innovation

NoStrategic objective & performance indicator

5-Year Strategic Plan Target


2014/15 2015/16 2016/17 207/18 2018/19 2019/20 2020/21



1.1Peer-reviewed journal articles per HSRC researcher.

1.2 New New 1.83 0.8 0.9 1 1.1

1.2 Scholarly books published 15 16 11 16 15 14 15 14

1.3Scholarly book chapters published

55 54 53 64 54 54 54 55

1.4Number of HSRC humanities and social sciences research seminars hosted

50 58 62 60 50 40 40 40

1.5The number of HSRC Review publications produced

4 6 5 4 4 4 4 4


1.6The number of policy briefs produced and published

15 23 16 25 15 10 10 10



2.1Collaborative activities with Universities, particularly HDI and other Science Councils

7 New New New 5 5 6 6

Objective 2B Promoting an African research agenda

2.2 African research fellows 14 14 6 6 14 10 10 10

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NoStrategic objective & performance indicator

5-Year Strategic Plan Target


2014/15 2015/16 2016/17 207/18 2018/19 2019/20 2020/21

2.3

Peer-reviewed journal articles co-published with researchers residing outside South Africa, on the African continent

14 New New 13 6 8 10 10



3.4Completed Master’s level programme.

7 6 10 10 5 6 7 7

3.5Completed PhD level research programme

8 9 0 6 8 8 8 8




4.1 Preserved datasets 25 23 23 23 23 10 10 10



5.1Senior researchers who are African

56%45%

(29/65)42%

(28/66)45%

(34/75)56% 56% 56% 56%

5.2Senior researchers who are female

50%48%

(31/65)36%

(24/66)39%

(29/75)50% 50% 50% 50%



6.1 Extra-Parliamentary Income 48%43.68%

(R153.1m/R350.6m)

39.73% (R162m/ R408m)

42% 48% 48% 48% 48%

6.2 Multi-year grants 56%44.74% (34/76)

52.13% (49/94)

64% (42/65)

56% 56% 56% 56%


5.2.2 Sub-programmes in Research Development and Innovation

(a) Africa Institute of South Africa (AISA)

AISA undertakes policy-relevant applied and comparative research that focuses on the poverty-related development challenges and opportunities facing the African continent. While several programmes within the HSRC are also carrying out research in various African countries, AISA is officially recognised as the main arm of the HSRC that does research on the continent. Thus, AISA collaborates with other research institutions, various actors, and key stakeholders on the continent to provide research-based policy advice to African multilateral organisations and governments on public affairs. The work of the Institute makes a contribution to addressing the many dimensions of the study of Africa in Africa and reversing the continent’s global marginality in terms of knowledge production. In their work, AISA’s researchers pay special attention to issues of poverty, inequality, socio-economic exclusion, conflict and peace on the continent.

As a multidisciplinary research institute undertaking applied social science research in South Africa and the rest of the African continent, researchers in AISA focus on topical development issues of the day, to generate evidence-based knowledge and recommendations for policy and practice. These are intended to assist policy makers and practitioners in making informed decisions for addressing Africa’s development challenges. Drawing on a broad range of analytical frameworks and well-established research methodologies, AISA is strategically positioned to contribute to the resolution of key national

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and continental development challenges and priorities as part of its strategic research. Thus, the outputs from AISA research projects are intended to contribute directly to national and continental policy processes. They are also of significant value to academics and practitioners.

AISA flagship activities include the annual Africa Young Graduate Scholars (AYGS) Conference and African Unity and Renaissance (AUR) Conference.

The Institute’s programme of work contributes directly to NDP Chapter 7: Positioning South Africa in the World and MTSF Outcome 11: Create a better South Africa and contribute to a better Africa and a better world.

5.2.3 Strategic objectives programme performance indicators and annual targets for 2018/19 to 2020/21 – AISA

Detailed strategic objectives, performance indicators and targets for the AISA programme are presented in Table 7a below. AISA has the following performance indicators and annual targets aligned to the strategic outcomes-oriented goals of the HSRC:

Table 7a: AISA performance indicators and annual targets

No Strategic objective & performance indicator titles


2014/15 2015/16 2016/17 2017/18 2018/19 2019/20 2020/21



1.1Number of peer-reviewed journal articles published in acknowledged scientific journals, per researcher

New New 0.8 0.8 0.9 1.0 1.0

1.2Number of recognised books with at least one researcher listed as author or co-author, published during the period under review

3 3 6 2 2 2 2

1.3 Scholarly book chapters published 9 7 20 6 6 2 2


1.6The number of policy briefs produced and published

New 5 7 1 1 2 2



2.1Number of HDIs with whom HSRC (AISA) has actively collaborated during the reporting period

New New New 1 1 2 2


2.2 African research fellows New 0 0 3 3 3 3

2.4Peer-reviewed journal articles co-published with researchers residing outside South Africa, on the African continent

New New 1 2 3 4 4



3.1The number of interns (research trainees) enrolled in a Master’s programme, appointed at the HSRC (AISA)

New New 6 4 4 4 4

3.2The number of interns (research trainees) enrolled in a PhD programme, appointed at the HSRC (AISA)

New New 0 4 4 4 4

3.3The number of post-doctoral fellows appointed at the HSRC (AISA)

New New 0 2 2 2 2

3.4

The number of interns (research trainees) enrolled in a Master’s programme who have completed the programme during the period under review

New New 0 0 1 1 1

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No Strategic objective & performance indicator titles


2014/15 2015/16 2016/17 2017/18 2018/19 2019/20 2020/21

3.5

The number of interns (research trainees) enrolled in a PhD programme who have completed the programme during the period under review

New New 0 1 1 1 1



5.1South African senior researchers who are African

100%75% (3/4)

100% (5/5)

85% 56% 56%56%

(with RDI)

5.2 Senior researchers who are female New 25%0%

(0/5)25% (1/4)

49% 50%50%

(with RDI)


Table 7b: Strategic objective quarterly targets: AISA



Programme

Quarterly Performance Targets Programme: AISA

2018/19 Q1 Q2 Q3 Q4




0.9 0.9 0.2 0.2 0.2 0.3

1.2

Number of recognised books with at least one HSRC (AISA) researcher listed as author or co-author, published during the period under review

14 2 0 1 0 1

1.3

Number of recognised book chapters with at least one HSRC (AISA) researcher listed as author or co-author, published during the period under review

54 6 0 2 2 2


1.6The number of policy briefs produced by HSRC researchers and published by the HSRC during the period under review

10 1 0 0 0 1




2.1Number of HDIs with which HSRC (AISA) has actively collaborated during the reporting period

5 1 0 1 0 0


2.2 African research fellows 10 3 0 1 2 3

2.3Peer-reviewed journal articles co-published with researchers outside South Africa, on the African continent

8 3 0 1 1 1



3.1The number of interns (research trainees) enrolled in a Master’s programme, appointed at the HSRC.

35 4 4 4 4 4

3.2The number of interns (research trainees) enrolled in a PhD programme, appointed at the HSRC.

45 4 4 4 4 4

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Programme

Quarterly Performance Targets Programme: AISA

2018/19 Q1 Q2 Q3 Q4

3.3The number of post-doctoral fellows appointed at the HSRC

20 2 0 1 1 2

3.4 Completed Master’s level research internship 6 1 0 0 0 1

3.5 Completed PhD level research internship 8 1 0 0 0 1



4.1 Preserved datasets 10 0 0 0 0 0



5.1Percentage South African senior researchers who are African4 56% 56% 56% 56% 56% 56%

5.2 Percentage senior researchers who are female 50% 50% 50% 50% 50% 50%



6.1Extra-parliamentary income as percentage of total income

48% N/a - - - -

6.2 Multi-year grants 56% N/a - - - -


5.2.4 Reconciling performance targets with the Budget and MTEF Expenditure Estimates

Table 8: Expenditure estimates – AISA


R thousand 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19 2019/20 2020/21

Africa Institute of South Africa (AISA) - 26 529 26 195 27 805 43 942 46 545 49 676 51 663

Total - 26 529 26 195 27 805 43 942 46 545 49 676 51 663


Current payments - 24 798 25 825 27 505 37 861 40 112 42 882 44 597

Compensation of employees - 17 962 17 334 20 016 25 451 29 098 31 251 32 501

Goods and services - 6 836 8 491 7 489 12 410 11 014 11 631 12 096

Of which:

Agency and support/outsourced services - - - - - - - -

Computer Services - - - 654 692 732 773 804

Communication - 265 221 53 449 476 502 522

Contractors & outsourced services - - - - - - - -

Inventory - - 240 - - - - -

Maintenance repairs & running costs - 594 (74) 195 207 219 231 240

Operating leases - 745 - - - - - -

Training and staff development - 128 202 261 276 292 309 321

Travel and subsistence - - - 52 55 58 62 64


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R thousand 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19 2019/20 2020/21

Research Costs - 3 618 7 710 6 390 7 702 6 033 6 371 6 753

Other Operating Costs - 1 483 436 (357) 3 028 3 204 3 383 3 518

Other costs - 1 273 370 634 671 710 749 779

Depreciation - 1 273 370 300 671 710 749 779



Total - 26 579 26 195 27 085 43 942 46 545 49 676 51 663

(b) Centre for Science, Technology & Innovation Indicators (CeSTII)

Inspired by the National Development Plan, the current strategic focus for the Department of Science and Technology is on intensifying R&D spending, expanding innovation capacity by developing human capital and building research infrastructure and institutions, and greater commercialisation or usage of research findings to support industrialisation. According to the DST Strategic Plan for the Fiscal Years 2015-2020, this should lay the foundation for more intense productivity improvement and the pursuit of a knowledge economy. Two national survey reports were released at an event on 12 April 2017 at the Innovation Hub in Pretoria, the first on R&D, and on the second on intellectual property and technology transfer from publicly funded research. The event presented a very timely opportunity for DST and its stakeholders within the NSI to reflect on both the trends in R&D investment in South Africa, as well as ways of promoting the usage of the outputs of R&D for enhanced economic growth and address the many social challenges our country faces. Conceptualised, planned, organised and coordinated by the HSRC’s CeSTII team working in close collaboration with the DST, the National Intellectual Property Management Office (NIPMO), and the Southern African Research and Innovation Management Association (SARIMA), the event was attended by a diverse mix of over 150 actors from government, business (including and especially IP law firms), higher education and the media, and consisted of two components; a media briefing and a policy roundtable. Addressing participants, Minister Naledi Pandor used the data produced by CeSTII to deliver statements on key policy issues and trends of concern for the NSI, including, for example, the scale of R&D investment, the issue of growing capacity for technology transfer, and encouraging growth in business expenditure on R&D. “I am pleased to submit these reports to the public of South Africa,” the Minister remarked in closing.

The Centre for Science, Technology and Innovation Indicators (CeSTII) was established in 2002 to serve as a base for the production of science, technology and innovation indicators in South Africa, through a formal Memorandum of Understanding (MoU) with the DST. The mandate has since been expanded to include the development of new indicators, enhance and maintain statistical quality, and conduct research and analysis in the measurement of Science, Technology and Innovation (STI). The new Terms of Reference (TORs) proposed by DST inform the future work programme of the centre and its strategic positioning within the monitoring and evaluation landscape of the National System of Innovation.

The roles and responsibilities of CeSTII are the following, according to the TORs:

• To undertake statistical surveys that support measurement and analysis of STI indicators;

• Analysis of STI indicators to enhance the understanding of the STI environment and inform policy development;

• Knowledge sharing and exchange with the national, regional and global community of practice in STI measurement and policy.

The Centre has established itself as a leader in the field of national surveys that underpin benchmarking, planning and reporting on R&D, innovation and technology transfer. CeSTII adapts best practice international methodologies for measurement of STI indicators. Working with key African partners, it continuously seeks ways to improve the quality of measurement and to capture STI activities that are unique to developing countries. The active role that CeSTII plays in the development of global knowledge on STI indicators in the Organisation for Economic Cooperation and Development (OECD), UNESCO and the New Partnership for Africa Development’s African Science, Technology and Innovation Indicators Initiative (NEPAD-ASTII) is important in building the internationally recognised South African expertise in this field.

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CeSTII recently completed an Intellectual Property and Technology Transfer survey, a baseline survey to measure and monitor technology transfer from publicly funded research. This provides evidence of the impact of the IPR Act, on the implementation of DST funding and policy mechanisms, and on the impact on technology start-ups and entrepreneurship.

The Centre’s programme of work contributes directly to Chapters 9 (Improving education, training and innovation) and 13 (Building a capable and developmental state) of the NDP, and Outcome 4 (Decent employment through inclusive economic growth) of the MTSF.

Table 9: Strategic objective quarterly targets: CeSTII



Programme

Quarterly Performance Targets Programme: CeSTII

2018/19 Q1 Q2 Q3 Q4




0.9 0.9 0.1 0.1 0.3 0.4

1.2

Number of recognised books with at least one HSRC (CeSTII) researcher listed as author or co-author, published during the period under review

14 1 0 0 0 1

1.3

Number of recognised book chapters with at least one HSRC (CeSTII) researcher listed as author or co-author, published during the period under review

54 5 1 1 1 2


1.6The number of policy briefs produced by HSRC (CeSTII) researchers and published by the HSRC during the period under review

10 2 0 1 0 1




2.1Number of HDIs with which HSRC has actively collaborated during the reporting period

5 1 0 1 0 0




8 0 0 0 0 0



3.1The number of interns (research trainees) enrolled in a Master’s programme, appointed at the HSRC

35 4 4 4 4 4

3.2The number of interns (research trainees) enrolled in a PhD programme, appointed at the HSRC

45 5 4 5 5 5


20 2 2 2 2 2







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Programme

Quarterly Performance Targets Programme: CeSTII

2018/19 Q1 Q2 Q3 Q4








48% N/a - - - -

6.2 Multi-year grants 56% N/a - - - -


(c) Democracy, governance and service delivery (DGSD)

On 3 November 2017 the Minister of Justice and Correctional Services, Adv Michael Masutha released the final report on the Constitutional Justice Project: Assessment of the impact of the decisions of the Constitutional Court and the Supreme Court of Appeal on the transformation of society, which was approved by Cabinet recently. The report was produced by a team from HSRC and University of Fort Hare under leadership of Prof Narnia Bohler-Muller and Prof Obeng Mireku. In the project an in-depth legal analysis of the jurisprudence of the apex courts was complemented with a strong empirical component investigating the broader impact of these court decisions on South African society, the extent to which state departments implemented decisions, as well as the extent to which South Africa’s highest courts are accessible. The Minister alluded to one of the profound findings emanating from the Report, being the need for a constitutional dialogue amongst the three Branches of State to address issues of how to improve the socio-economic conditions of all our people. This sentiment was echoed in a historic meeting between the National Executive and the Judiciary on 27 August 2015, which similarly expressed the need for a structured interface between the Branches of State to discuss matters, particularly pertaining to transformation. Prof Bohler-Muller joined the Minister on a panel for discussion of the report with the media. She indicated that the report essentially showed that the “courts were doing a good job” when it came to upholding socio-economic rights, and that other spheres of government needed to improve implementation. The research addressed the Constitutional imperatives of socio-economic rights, separation of power and access to justice, as reflected in chapters 11, 12 and 15 of the NDP.

Democracy, Governance and Service Delivery is a knowledge hub for high quality, independent, strategic and relevant research addressing national, continental and international issues of democracy and development; governance and service delivery; social cohesion; poverty, inequality and social justice. In 2016 the BRICS Research Centre joined DGSD as a research unit. This has consolidated a focus on global governance.

In the main, DGSD research aims to propose strategic interventions using qualitative and quantitative methodologies that assist policy makers in making evidence-based choices and decisions in response to political and socio-economic challenges.

As a knowledge hub for high quality, strategic and independent inter-disciplinary research, DGSD is a key national, regional and global resource. Work produced and outputs generated are of value to national, provincial and local government, and to the wider academic, civil society and policy development community. By conducting comparative research, South African issues are addressed within a continental and global context including through the work of the BRICS Research Centre.

DGSD flagship activities include the State of the Nation publication and the South African Social Attitudes Survey (SASAS) and the Transformative Governance Index project.


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Table 10: Strategic objective quarterly targets: DGSD



Programme

Quarterly Performance Targets Programme: DGSD

2018/19 Q1 Q2 Q3 Q4




0.9 0.9 0.10 0.10 0.20 0.50

1.2

Number of recognised books with at least one HSRC (DGSD) researcher listed as author or co-author, published during the period under review

14 2 0 0 1 1

1.3

Number of recognised book chapters with at least one HSRC (DGSD) researcher listed as author or co-author, published during the period under review

54 9 1 2 3 3



10 1 0 0 0 1





5 1 0 1 0 0




8 1 1 0 0 0




35 3 3 3 3 3


45 5 5 5 5 5


20 2 1 2 2 2



The programme’s work areas and several completed and planned projects support various of the NDP Chapters and MTSF outcomes, including:

Chapter 7: Positioning South Africa in the World;

Chapter 13: Building a capable and developmental state;

Outcome 9: Responsive, accountable, effective and efficient local government;

Outcome 10: Protect and enhance our environmental assets and natural resources through its participation in IORA;

Outcome 11: Create a better South Africa and contribute to a better Africa and a better world, also via the BRICS Research Centre;

Outcome 12: An efficient, effective and development-oriented public service.

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Programme

Quarterly Performance Targets Programme: DGSD

2018/19 Q1 Q2 Q3 Q4












48% 48% 48% 48% 48% 48%

6.2 Multi-year grants 56% 56% 56% 56% 56% 56%


(d) Economic performance and development (EPD)

Professor Ivan Turok completed a report called “Reducing Spatial Inequalities through Better Regulation” for the parliamentary High Level Panel on the Assessment of Key Legislation and acceleration of fundamental change, chaired by former President Kgalema Motlanthe. The project examined the state and reasons for the persistence of spatial inequality in the country and offered policy solutions to creating a more equal society in future. It identified a series of ways in which regulations could be streamlined and simplified. The project findings were presented to two parliamentary workshops in June and July 2017. The High Level Panel report was published in November 2017.

EPD’s mission is to generate robust knowledge, evidence, and policy ideas through rigorous research for lasting solutions to the pressing economic and developmental challenges of unemployment, inequality and poverty facing South Africa and the rest of Africa. Its vision is to contribute to the creation of a productive, inclusive and resilient country and continent through broad-based economic development and full employment. EPD’s research contributes to making a difference to the well-being of people and communities.

To achieve its objectives, EPD’s work is structured around four themes:

• Rural development and transitions;

• Spatial economy;

• Place making and development; and

• Employment creation & Inclusive development.

EPD’s recent Rural Innovation Assessment Toolbox (RIAT) findings informed crucial revisions to new Local Economic Development Policy elevating the focus on Innovation for Local Economic Development (ILED), with guidelines on toolbox use within resource-poor local municipalities.


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EPD is currently part of an international consortium called the Centre for Sustainable, Healthy and Learning Cities and Neighbourhoods (CSHLC) which has just secured a multi-million pound grant from the UK’s Global Challenges Research Fund (GCRF). Over the next four years the process of urban economic and social change will be looked at by the HSRC and other research partners located in China, Tanzania, Rwanda, India, Bangladesh and Philippines. It is anticipated that the Centre will strengthen capacity among urban researchers, government officials and policy makers in developing countries. The Centre will also conduct comparative studies of urbanisation and urban neighbourhoods to understand and respond to the challenges posed by large-scale rural to urban migration.

These and similar projects located in EPD directly support NDP Chapters 3 (Economy and unemployment) and 8 (Transforming human settlements), among others, as well as MTSF Outcomes 4 (Decent employment through inclusive economic growth) and 8 (Sustainable human settlements and improved quality of household life).

Table 11: Strategic objective quarterly targets: EPD



Programme

Quarterly Performance Targets Programme: EPD

2018/19 Q1 Q2 Q3 Q4




0.9 0.9 0.2 0.2 0.2 0.3

1.2

Number of recognised books with at least one HSRC (EPD) researcher listed as author or co-author, published during the period under review

14 1 0 0 1 0

1.3

Number of recognised book chapters with at least one HSRC (EPD) researcher listed as author or co-author, published during the period under review

54 7 1 1 4 1



10 1 0 1 0 0





5 1 0 0 1 0




8 1 0 0 1 0




35 4 4 4 4 4


45 4 3 4 4 4


20 3 3 3 3 3



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Programme

Quarterly Performance Targets Programme: EPD

2018/19 Q1 Q2 Q3 Q4












48% 48% 48% 48% 48% 48%



(e) Education and skills development (ESD)

The HSRC released the Trends in International Mathematics and Science Study (TIMSS) 2015 results for South Africa in the grade 9 as well as the grade 5 levels at the Department of Basic Education (DBE) on 29 November 2016 with the Minister of Basic Education, Angie Motshekga. The TIMSS 2015 results were distributed widely and had a massive impact in the political, policy and public spaces.

The TIMSS results was mentioned by Minister Angie Motshekga in her opening address and also formed the basis of a keynote address to the National Strategy for Learner Attainment (NSLA) Lekgotla, hosted by the Department of Basic Education Sector in January 2017. The audience of 450 people came from all provinces, unions and other stakeholders.

The President of South Africa also mentioned TIMSS in his State of the Nation (SONA) 2017 address:

“President OR Tambo was a maths and science teacher. Government will thus prioritise maths and science more than ever before this year, in his memory. We are encouraged by recent international test results.”

TIMSS scores (mentioned both in the DBE Action Plan and Presidential Monitoring Targets) is the only instrument that provide Trend data, and the TIMSS 2015 scores at the grade 9 level provide achievement trends from 2003, 2011 and 2015 and evidence that there are changes in educational performance and quality. This is also the first time that we participated in TIMSS-Numeracy at the primary school phase and TIMSS 2015 at the grade 5 level provides baseline information.

Over the 20 year period, the South African mathematics and science achievement at the grade 9 level improved from a ‘very low’ level in 1995, 1999 and 2003 to a ‘low’ level in 2011 and 2015. This shows that educational change is possible, but the pace of change, especially in no-fee schools, must be accelerated if we are to have the requisite skills and capacities to meet the societal and economic needs of the future. One of the major achievements is the observation that South Africa has shown the largest improvement in mathematics and science scores of the 25 countries who participated in TIMSS 2003 and TIMSS 2015 (of course South Africa started from a low base).

Education and Skills Development (ESD) promotes research into individual, social and economic development. The education and skills development research is located in the developmental context of South Africa, and the prism of poverty and inequality informs the programme’s research and is an explanatory variable for its studies.

ESD’s research focuses on national priorities related to securing Improved Quality of Basic Education for all, and sustaining a Skilled and Capable Workforce to Support an Inclusive Growth Path. The urgency of attaining these ambitions has a broader context. The NDP observes that the South African economy


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is caught in a “low growth middle income trap” and must transform towards a diversified and dynamic economy capable of gaining global market share. This will require substantial investment in schooling and education, skills development and innovation, including innovation for inclusive development (NDP Chapter 3 and Chapter 9) which are key research foci in the ESD programme.

The Labour Market Intelligence Partnership (LMIP) project and Trends in International Mathematics and Science Study (TIMSS) are ongoing flagship projects in the programme.

A number of projects undertaken in ESD support NDP Chapter 9: Improving education, training and innovation.

The following impact projects contribute directly to Outcome 1 of the MTSF: Quality basic education:

• The Youth into Science Study (YISS)

• Teacher Assessment Resource for Monitoring and Improving Instruction (TARMII)

• Trends in International Mathematics and Science Study (TIMSS)

The following projects support MTSF Outcome 5: A skilled and capable workforce to support an inclusive growth path:

• Labour Market Intelligence Partnership (LMIP) project

• Assessment of Key Legislation on Skills Development

Table 12: Strategic objective quarterly targets: ESD



Programme

Quarterly Performance Targets Programme: ESD

2018/19 Q1 Q2 Q3 Q4




0.9 0.9 0.1 0.2 0.3 0.3

1.2

Number of recognised books with at least one HSRC (ESD) researcher listed as author or co-author, published during the period under review

14 2 0 0 0 2

1.3

Number of recognised book chapters with at least one HSRC (ESD) researcher listed as author or co-author, published during the period under review

54 7 0 0 3 4



10 1 0 0 0 1





5 1 1 0 0 0




8 0 0 0 0 0

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Programme

Quarterly Performance Targets Programme: ESD

2018/19 Q1 Q2 Q3 Q4




35 4 2 2 3 4


45 6 5 5 6 6


20 3 2 2 2 3














48% 48% 48% 48% 48% 48%



(f ) HIV/AIDS, Sexually transmitted diseases and Tuberculosis (HAST)

The HIV/AIDS, STIs and TB (HAST) research programme specialises in research on the social determinants of and social interventions to address HIV/AIDS, sexually transmitted infections and tuberculosis. The research strives to address these health problems at both the social and population levels. It also includes social aspects of delivery models for biomedical interventions in order to improve implementation and effectiveness.

The main objectives of the HAST research programme in the next five years are to develop a stronger focus in its research and research communication efforts in addressing poverty and inequality as common threads running through its research and collaborative work, and to support South Africa’s response to public health issues including HIV/AIDS, TB and STIs.

HAST is responsible for the South African National HIV Prevalence, Incidence and Behaviour Survey (SABSSM), which is conducted every three to four years. Other recent highlights include the Educators Survey of HIV/AIDS and health 2016, the People Living with HIV Stigma study and the PEPFAR Gender Analysis Study.

Over the past 15 years population-based survey methodology has advanced to address the evolving data needs of a changing epidemic. The inclusion of novel laboratory methodologies in the survey protocol has enabled direct estimation of exposure to amti-retroviral treatment (ART) among People Living with HIV (PLHIV), as well as direct HIV incidence measures from cross-sectional blood specimens.


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Table 13: Strategic objective quarterly targets: HAST



Programme

Quarterly Performance Targets Programme: HAST

2018/19 Q1 Q2 Q3 Q4




0.9 0.9 0.1 0.2 0.3 0.3

1.2

Number of recognised books with at least one HSRC (HAST) researcher listed as author or co-author, published during the period under review

14 2 0 0 1 1

1.3

Number of recognised book chapters with at least one HSRC (HAST) researcher listed as author or co-author, published during the period under review

54 5 0 1 2 2



10 1 0 0 0 1





5 1 0 0 0 1




8 1 0 0 0 1



3.1The number of interns (research trainees) enrolled in a Master’s programme, appointed at the HSRC.

35 6 3 4 5 6


45 7 4 5 6 7


20 3 0 1 2 3









The HAST programme of work encompasses a number of projects aligned to NDP Chapter 10: Promoting health and MTSF Outcome 2: A long and healthy life for all South Africans.

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Programme

Quarterly Performance Targets Programme: HAST

2018/19 Q1 Q2 Q3 Q4






48% 48% 48% 48% 48% 48%

6.2 Multi-year grants: 56% 56% 56% 56% 56% 56%


(g) Human and social development (HSD)

HSRC making impact on livestock vaccine policy debates

The Human and Social Development programme in the HSRC in collaboration with the Agricultural Research Council (ARC) held a stakeholder engagement workshop on “Livestock Vaccine Value chains in South Africa: Linking producers to the markets and end-users” at the HSRC offices in Pretoria on 8 November. The aim of the workshop was to critically assess livestock vaccine value chains in South Africa in terms of challenges, obstacles and opportunities. The stakeholder engagement was a culmination of a three-year project (2014–2017), “Novel livestock vaccines for viral diseases in Africa towards improved food security” being implemented by the HSRC and ARC and funded by the Canadian International Development Research Centre (IDRC). The stakeholder engagement, attended by representatives from three government departments (Agriculture, Health and Social Development), smallholder livestock farmers, state veterinarians, animal vaccine manufacturers and retailers and academics, yielded significant insights on the challenges faced by smallholder livestock farmers in accessing livestock vaccines and in cattle farming in general. A key recommendation of the Engagement, which the Department of Agriculture, Forestry and Fisheries, showed great interest in, was a need to review regulatory policies concerning the distribution of animal vaccines to small-scale livestock farmers that would lead to the development of an effective livestock vaccine delivery strategy for the country. The project directly addresses government‘s objective of creating an integrated and inclusive economy in rural areas outlined in Chapter Six of the National Development Plan 2030.

HSD is a multidisciplinary programme that conducts social science and humanities research addressing the development of vulnerable individuals over the life course, and across generations living in the midst of communities and a transforming society. Its unique contribution focuses on how the intersections of identity markers such as gender, race, class, geography and age and broader social conditions (e.g. inequalities; diversity, social cohesion) impact human and social development. The programme’s work acknowledges that to build a socially cohesive South African society requires an investigation of South Africa’s divided history, marginal sexualities, moral values, and views regarding justice, equity, restitution, and reconciliation (including xenophobia). Its mix of disciplines, theoretical and methodological rigour, drawn from anthropology, cultural studies, demography, economics, education, psychology and sociology allows it to produce evidence-based knowledge that helps to both promote understanding as well as develop interventions for individual and social change.

The work of the HSD programme is driven by a focus on four thematic areas:

(1) Children in Adversity;

(2) Youth in the Global South;

(3) Families and Reproductive Justice; and

(4) Society and Belonging.

HSD’s work often contributes to national health objectives and outcomes, as is evidenced through the Amagugu Clinical Trial, a randomised controlled trial (RCT) to test the efficiency of an HIV disclosure intervention for HIV infected parents of HIV uninfected primary school aged children.


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/19

Recent projects include “Amazwi Ethu: Speaking Back!” Using photovoice methodology, this project worked with vulnerable youth from the Sweetwaters area in KwaZulu-Natal to gain insights into the challenges and risks faced by them living in a context of high unemployment, high rates of HIV, and extreme poverty. A book project entitled ”Another Country: Everyday social restitution” deals with black South Africans’ experiences of dehumanising racism alongside white South Africans’ shame for the past and anxiety for the future. It introduces the concept of ‘social restitution’ – understood as the actions and attitudes that everyday people can undertake in dialogue with each other to ‘make things right’.

The majority of the programme’s work, however, contributes directly to NDP Chapter 15 (Transforming society and uniting the country) and MTSF Outcome 14 (A diverse, socially cohesive society with a common national identity).

Table 14: Strategic objective quarterly targets: HSD


Annual Targets HSRC

Annual Targets Programme

Quarterly Performance Targets Programme: HSD

2018/19 Q1 Q2 Q3 Q4




0.9 0.9 0.1 0.3 0.6 0.9

1.2

Number of recognised books with at least one HSRC (HSD) researcher listed as author or co-author, published during the period under review

14 2 0 0 1 1

1.3

Number of recognised book chapters with at least one HSRC (HSD) researcher listed as author or co-author, published during the period under review

54 8 2 2 2 2



10 1 0 0 0 1





5 1 1 0 0 0




8 1 0 0 0 1




35 4 4 4 4 4


45 5 5 5 5 5


20 3 3 3 3 3


39

HSRC

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ance

Plan

2018

/19


Annual Targets HSRC

Annual Targets Programme

Quarterly Performance Targets Programme: HSD

2018/19 Q1 Q2 Q3 Q4












48% 48% 48% 48% 48% 48%



(h) Population health, health systems and innovation (PHHSI)

Through a competitive grant from Medtronic Foundation, the PHHSI has worked in the Umgungundlovu district in KwaZulu-Natal and the deep rural Pixley ka Seme district in the Northern Cape, on a project for the prevention, screening, treatment and care of people with hypertension and diabetes. We provide mentorship and build the capacity of an indigenous start-up NGO. This is a project that showcases the use of innovative strategies for health care.

The PHHSI programme conducts research that uses methodologies derived from the entire social science spectrum. Furthermore, it conducts research to understand both human and organisational behaviour across the life-course. It focuses on the national priorities outlined in the National Development Plan (2030 Vision) and the National Health Strategic Plan (2015–2020).

The strategic focus of PHHSI is therefore to generate scientific evidence that helps better understand: the social determinants of health; strengthening of health systems; promotion of health, disease prevention and behaviour change; and nutrition and food security.

A deliberate focus on implementation research and use of demonstrations or intervention projects is employed, to provide research-based evidence of strategies that will have the greatest impact, and to identify the circumstances under which these strategies will work best.

The four research themes/sections of the programme are:

• Health Economics and Health Systems;

• Health Promotion, Disease Prevention and Behavioural Sciences;

• Nutrition and Food Security; and

• Social and Behavioural Epidemiology (as a cross-cutting methodology and epidemiological analysis group).


40

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/19

Significant contributions from the programme include the first South African National Health and Nutrition Examination Survey (SANHANES), the Youth Risk Behaviour Survey, the development of a monitoring and evaluation framework for National Health Insurance reforms and for the district pilot sites, and development of Universal Health Indicators for BRICS countries.

The majority of the programme’s work, however, contributes directly to NDP Chapter 15 (Transforming society and uniting the country) and MTSF Outcome 14 (A diverse, socially cohesive society with a common national identity).

Table 15: Strategic objective quarterly targets: PHHSI



Programme

Quarterly Performance Targets Programme: PHHSI

2018/19 Q1 Q2 Q3 Q4




0.9 0.9 0.18 0.37 0.62 0.9

1.2

Number of recognised books with at least one HSRC (PHHSI) researcher listed as author or co-author, published during the period under review

14 1 0 0 0 1

1.3

Number of recognised book chapters with at least one HSRC (PHHSI) researcher listed as author or co-author, published during the period under review

54 3 0 1 1 1



10 1 0 0 1 0




5 2 0 1 1 0




8 0 0 0 0 0




35 3 2 3 3 3


45 5 5 5 5 5


20 1 1 1 1 1






41

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ance

Plan

2018

/19



Programme

Quarterly Performance Targets Programme: PHHSI

2018/19 Q1 Q2 Q3 Q4








48% 48% 48% 48% 48% 48%



(i) Research use and impact assessment (RIA)

Rethinking Reconciliation: Evidence from South Africa

South Africa’s first democratic elections in 1994 heralded the end of more than forty years of apartheid. The Government of National Unity started the process of bringing together this deeply divided society principally through the establishment of the Truth and Reconciliation Commission (TRC).

However, interest in – and responsibility for – the reconciliation project first embodied through the TRC appears to have diminished over more than two decades of democracy. The narrow mandate of the Commission itself has been retrospectively criticised, and at face value it would seem that deep divisions persist: the chasm between rich and poor gapes are wider than ever before; the public is polarised over questions of restitution and memorialisation; and incidents of racialised violence and hate speech continue.

This edited volume uses a decade of public opinion survey data to answer these key questions about the extent of progress in South African reconciliation. Leading social scientists analyse longitudinal data derived from the South African Reconciliation Barometer Survey (SARB), conducted annually by the Institute for Justice and Reconciliation since 2003, to interrogate and reach critical conclusions on the state of reconciliation, including in the areas of economic transformation, race relations and social contact, political participation, national identity formation and transitional justice. Their findings both confirm and disrupt theory on reconciliation and social change, and point to critical new directions in thinking and policy implementation.

RIA is a cross cutting unit that seeks to extend and enhance the use and impact of scientific research from the HSRC and other sources of research, and manage the HSRC’s relationships, reputation and brand. In the context of structured and enabling business processes, it adds value to the core business of the HSRC, which is to co-produce output from basic and applied research, inform public debate, and provide evidence-based policy advice. The co-production of knowledge and narrative change are key objectives and dynamics in the vision and mission of RIA. As knowledge brokers, it has both an internal mandate (within the HSRC) and an external mandate with respect to the research-policy-action nexus. RIA consists of the following sub-sections: Science Communication, HSRC Press, Corporate Communication and Stakeholder Engagement, and Impact Assessment – all of which are approached as areas of both professional practice and research.

A specific task of RIA is to organise research conferences focused on the social sciences and humanities to shape the HSRC’s research agenda. Every second year, all HSRC researchers from the five regional offices participate in a two-day research conference. The rationale of the HSRC conferences is to: engender an organisation-wide research focus on a particular theme; encourage dialogue and discussion between researchers and researcher trainees from different Research Programmes; and help promote the sense of the HSRC as a research community.


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/19

Table 16: Strategic objective quarterly targets: RIA



Programme

Quarterly Performance Targets Programme: RIA

2018/19 Q1 Q2 Q3 Q4




0.9 0.9 0 0.3 0.6 0.9

1.2

Number of recognised books with at least one HSRC (RIA) researcher listed as author or co-author, published during the period under review

14 1 0 0 0 1

1.3

Number of recognised book chapters with at least one HSRC (RIA) researcher listed as author or co-author, published during the period under review

54 4 1 1 1 1

1.4Number of HSRC humanities and social sciences research seminars hosted during the period under review

40 40 12 12 8 8

1.5Number of HSRC Review publications produced during the year under review

4 4 1 1 1 1



10 1 0 0 1 0





5 1 0 0 0 1




8 1 0 0 0 1




35 3 0 1 2 3


45 4 1 2 3 4


20 1 1 1 1 1






T – Institutional transformation


43

HSRC

Annu

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ance

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2018

/19



Programme

Quarterly Performance Targets Programme: RIA

2018/19 Q1 Q2 Q3 Q4






48% 48% 48% 48% 48% 48%


5.2.5 Reconciling performance targets with the Budget and MTEF Expenditure estimates

Table 17: Expenditure Estimates – Research, Development & Innovation

Programme Actual/Audited outcomesAdjusted appropriation Medium-term expenditure estimate

R thousand 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19 2019/20 2020/21

Research, Development & Innovation 203 217 212 349 245 990 286 107 297 900 315 488 336 081 354 365

Total 203 217 212 349 245 990 286 107 297 900 315 488 336 081 354 365





Of which:

Agency and support/outsourced services 1 358 1 525 - 36 1 865 1 973 2 084 2 187

Computer Services - - - - - - - -

Communication 3 847 3 077 3 385 2 347 4 687 4 959 5 237 5 446

Contractors & outsourced services 29 34 82 - 112 119 126 131

Inventory 740 525 431 927 674 713 753 783

Maintenance repairs & running costs 573 3 087 269 741 376 398 420 437

Operating leases 357 351 887 1 094 447 473 500 530

Training and staff development 844 960 828 1 146 1 020 1 079 1 139 1 185

Travel and subsistence 129 95 40 424 712 753 795 827

Research Costs 63 716 70 008 106 487 102 708 110 732 110 278 116 454 125 952

Other Operating Costs 998 1 230 1 213 2 447 2 094 8 976 9 479 9 858

Other costs 2 598 2 482 1 988 5 391 3 083 3 262 3 444 3 582

Depreciation 2 598 2 482 1 988 5 391 3 083 3 262 3 444 3 582

Interest and rent on land - - - - - - - -

Financial transactions in assets and liabilities - - - - - - - -


Universities and technikons - - - - - - - -


Payment for capital assets - - - - - - - -

Total 203 217 212 349 245 990 286 107 297 900 315 488 336 081 354 365


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/19

Performance and expenditure trends

Limited Budget allocations have impacted on investment in capital items and no major investments in buildings or equipment will be possible unless additional income is obtained.

5.2.6 Risks and the mitigation thereof

Risks

Insufficient external and internal funding to deliver on the HSRC mandate has been identified as the primary strategic risk for the organisation. The root causes contributing to this relate to four key conditions:

(i) Insufficient SA government support due to competing national priorities;

(ii) Uncertain funding from US foundations and agencies, and also UK and European funders;

(iii) Increased competition for national and international research funding; and

(iv) Limited HSRC capex funding.

Another major risk is insufficient critical skills and human resources. In addition to challenges in respect of recruiting and retaining appropriate skills, the burden of fund raising on researchers has been shown to be a major contributing factor to low staff morale and resignations.

Mitigation

A number of processes and controls are in place to manage these risks. These include:

(i) SA government (MTF) funding covers a three-year cycle;

(ii) Multi-year external grants and funding;

(iii) Diversification of funding sources;

(iv) Engagements with DGs in key departments for ring fenced funding;

(iv) Appointment of senior research staff who are “rain makers”; and

(vi) Reprioritisation of funding to meet existing capital expenditure requirements.

In addition to managing these risks, action plans are being developed to mitigate the residual risk, focusing on:

• Enhancing relationships with key funders;

• Identifying new funders;

• Developing innovative research ideas and methodologies;

• Advocating for the value of social science;

• Developing new partnerships with other research organisations;

• Pursuing more political and financial champions for social science;

• Recruiting more research experts at fund raising;

• External HSRC branding and profiling; and

• Strengthening the role of Business Development and International Liaison.

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/19

Part D: Links to Other PlansLinks to the long-term infrastructure and other capital plans As a national public entity, the HSRC is required to provide for all capital and infrastructural requirements from its own budget. The entity continues to face challenges with its ageing building which now has a lot of components requiring upgrades. As the current MTEF allocation is insufficient to cater for these upgrades, the HSRC submitted a separate MTEF application for infrastructure and research equipment support in the past, but without success. In the light of critical needs to maintain and upgrade existing assets, the HSRC aims to develop a long-term infrastructure plan and other capital plans in consultation with the Department of Science and Technology and National Treasury. This is in addition to continuous lobbying for additional funding to address the current challenges. In the short term the organisation will re-prioritise of its current budget about R10 million to start off some of these upgrades. Separate applications have been submitted for funding (to National Treasury through the DST) and we are hopeful that our application will be considered to address these improvements for the 2019/20 and 2020/21 financial year.

Project NameProject description/Type of structure Outputs

Estimated Costs ZAR

2018/19 ZAR

2019/20 ZAR

2020/2021 ZAR

Building upgrades and maintenance of the Pretoria Building

Several floors due for full refurbishment, in the short term

Occupational health and safety compliance & improvement in building functionality 99 420 000 10 000 000 50 000 000 39 420 000

Total 99 420 000 10 000 000 50 000 000 39 420 000

46

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/19

3.1 Fiduciary duties of the accounting authority (PFMA section 50) Quantitative (Amount) Qualitative (Nature)

(1) The accounting authority must –

(c) on request, disclose to the executive authority responsible for that public entity or the legislature to which the public entity is accountable, all material facts, including those reasonably discoverable, which in any way influence the decisions or actions of the executive authority or that legislature.

Any fact discovered of which the amount exceeds the determined materiality figure as calculated in Annexure A.

1. Any item or event of which specific disclosure is required by law.

2. Any fact discovered of which its omission or misstatement, in the Board’s opinion, could influence the decisions or actions of the executive authority or legislature.

3.2 Annual report and financial statements (PFMA section 55) Quantitative (Amount) Qualitative (Nature)

(2) The annual report and financial statements referred to in subsection (1) (d) must –

(a) fairly present the state of affairs of the public entity, its business, its financial results, its performance against predetermined objectives and its financial position as at the end of the financial year concerned.

(b) include particulars of –

(i) any material losses through criminal conduct and any irregular expenditure and fruitless and wasteful expenditure that occurred during the financial year;

(ii) any criminal or disciplinary steps taken as a consequence of such losses or irregular expenditure or fruitless and wasteful expenditure;

(iii) any losses recovered or written off;

(iv) any financial assistance received from the state and commitments made by the state on its behalf; and

(v) any other matters that may be prescribed.

1. Losses through criminal conduct – any loss identified.

2. Losses through irregular, fruitless or wasteful expenditure.

Any identified loss through criminal conduct.

3.3 Information to be submitted by the accounting authority (PFMA section 54) Quantitative (Amount) Qualitative (Nature)

(2) Before a public entity concludes any of the following transactions, the accounting authority for the public entity must promptly and in writing inform the relevant treasury of the transaction and submit relevant particulars of the transaction to its executive authority for approval of the transaction:

(a) establishment or participation in the establishment of a company;

Not applicable

(b) participation in a significant partnership, trust, unincorporated joint venture or similar arrangement;

Above the materiality figure as defined in the framework.

Any participation, outside of the approved strategic plan and budget.

AnnexuresAnnexure A: Materiality and significance framework

Materiality Framework in terms of Treasury Regulations 28.1.5

1 Introduction

In terms of Treasury Regulation 28.1.5, the accounting authority must develop and agree to a framework of acceptable levels of materiality and significance with the relevant executive authority in consultation with the external auditors. (Material & significance are defined in the Public Finance Management Act (PFMA) in sections 50(1), 55(2), 66(1) and 54(2) respectively.)

2 Framework

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/19

3.3 Information to be submitted by the accounting authority (PFMA section 54) Quantitative (Amount) Qualitative (Nature)

(c) acquisition or disposal of a significant shareholding in a company;

Not applicable Any acquisition or disposal, outside of the approved strategic plan and budget.

(d) acquisition or disposal of a significant asset; Above the materiality figure as defined in the framework.

1. Any asset that would increase or decrease the overall operational functions of the entity, outside of the approved strategic plan and budget.

2. Disposal of the major part of the assets of the entity.

(e) commencement or cessation of a significant business activity;

Not applicable Any business activity that would increase or decrease the overall operational functions of the entity, outside of the approved strategic plan and budget.

(f ) a significant change in the nature or extent of its interest in a significant partnership, trust, unincorporated joint venture or similar arrangement.

3 Determination of Materiality

Materiality bases % of revenue (1%)

2017/18 Budget 2018/19 Budget

R’000 Materiality (R’000) R’000 Materiality (R’000)

Total revenue & materiality amounts 540 115 5 401 570 249 5 702

The nature of the business of the HSRC is such that revenue is a more meaningful measure of materiality than expenditure. The impact of the reduction or increase in research revenue will have a prominent impact on performance. As a result the HSRC have opted for 1% of Revenue as an appropriate level of materiality.

48

HSRC

Annu

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2018

/19

Anne

xure

B: S

trate

gic p

erfo

rman

ce in

dica

tors

and t

arge

ts fo

r 201

8/19

to 20

22/2

3

NoPe

rform

ance

Indi

cato

r Des

cript

ion

Audi

ted P

erfo

rman

cePe

rform

ance

targ

ets

Rem

arks

2014

/15

2015

/16

2016

/17

2017

/18

2018

/19

2019

/20

2020

/21

2021

/22

2022

/23

1A

– A

dvan

cing

kno

wle

dge

and

scie

ntifi

c ex

celle

nce

Obj

ectiv

e 1A

Dis

sem

inat

ing

of k

now

ledg

e th

roug

h pu

blic

atio

ns a

nd p

ublic

dia

logu

e

1.1

Num

ber o

f pee

r-rev

iew

ed jo

urna

l art

icle

s pub

lishe

d in

ack

now

ledg

ed

scie

ntifi

c jo

urna

ls, p

er H

SRC

rese

arch

er.

New

New

1.83

0.8

0.9

11.

11.

21.

2

1.2

Scho

larl

y bo

oks

publ

ishe

d:

Num

ber o

f rec

ogni

sed

book

s with

at l

east

one

HSR

C re

sear

cher

list

ed a

s au

thor

or c

o-au

thor

, pub

lishe

d du

ring

the

perio

d un

der r

evie

w.

1611

1615

1415

1415

15

1.3

Scho

larl

y bo

ok c

hapt

ers

publ

ishe

d:

Num

ber o

f rec

ogni

sed

book

cha

pter

s with

at l

east

one

HSR

C re

sear

cher

lis

ted

as a

utho

r or c

o-au

thor

, pub

lishe

d du

ring

the

perio

d un

der r

evie

w.

5453

6454

5454

5555

55

1.4

HSR

C re

sear

ch s

emin

ars

conv

ened

:

Num

ber o

f HSR

C hu

man

ities

and

soci

al sc

ienc

es re

sear

ch se

min

ars

host

ed d

urin

g th

e pe

riod

unde

r rev

iew

.58

6260

5040

4040

4040

Redu

ced

1.5

HSR

C Re

view

pub

licat

ion:

The

num

ber o

f HSR

C Re

view

pub

licat

ions

pro

duce

d du

ring

the

year

un

der r

evie

w.

65

44

44

44

4

Obj

ectiv

e 1B

Info

rmin

g eff

ectiv

e fo

rmul

atio

n of

gov

ernm

ent p

olic

y

1.6

Polic

y br

iefs

:

The

num

ber o

f pol

icy

brie

fs p

rodu

ced

by H

SRC

rese

arch

ers a

nd

publ

ished

by

the

HSR

C du

ring

the

perio

d un

der r

evie

w.

2316

2515

1010

1010

10Re

duce

d

1.7

Targ

eted

pub

lic d

ialo

gues

:

Num

ber o

f pub

lic d

ialo

gues

on

pove

rty

and

ineq

ualit

y ho

sted

.N

ewN

ew4

44

46

66

Obj

ectiv

e 1C

Pro

mot

ing

exce

llenc

e, re

ach

and

impa

ct o

f pub

licat

ions

1.8

Num

ber o

f pee

r-rev

iew

ed jo

urna

l art

icle

s by

HSR

C au

thor

or a

utho

rs

with

at l

east

10

cita

tions

list

ed w

ithin

5 y

ears

from

pub

licat

ion.

New

New

Indi

cato

r an

d ta

rget

de

fined

10

0%

68

1010

1212

(Nar

rativ

e ex

ampl

es,

not

SMAR

T in

dica

tor)

Dec

isio

n su

ppor

t:

Exam

ples

of g

over

nmen

t ser

vice

s or f

unct

ions

whe

re H

SRC

rese

arch

re

sults

pro

vide

d de

cisio

n su

ppor

t.N

ewN

ew3

Nar

rativ

eN

arra

tive

Nar

rativ

eN

arra

tive

Nar

rativ

eN

arra

tive

49

HSRC

Annu

al Pe

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ance

Plan

2018

/19

NoPe

rform

ance

Indi

cato

r Des

cript

ion

Audi

ted P

erfo

rman

cePe

rform

ance

targ

ets

Rem

arks

2014

/15

2015

/16

2016

/17

2017

/18

2018

/19

2019

/20

2020

/21

2021

/22

2022

/23

2D

– D

evel

opin

g co

llabo

rativ

e ne

twor

ks a

nd a

pplie

d re

sear

ch

Obj

ectiv

e 2A

Sup

port

ing

colla

bora

tive

rese

arch

net

wor

ks

2.1

Act

ive

colla

bora

tion:

Num

ber o

f HD

Is w

ith w

hich

HSR

C ha

s act

ivel

y co

llabo

rate

d du

ring

the

repo

rtin

g pe

riod.

New

New

New

55

66

77

Obj

ectiv

e 2B

Pro

mot

ing

an A

fric

an re

sear

ch a

gend

a

2.2

Afr

ican

rese

arch

fello

ws:

The

num

ber o

f res

earc

h fe

llow

s fro

m e

lsew

here

in A

frica

hos

ted

by th

e H

SRC.

146

614

1010

1010

10Re

duce

d

2.3

Num

ber o

f pee

r-rev

iew

ed jo

urna

l art

icle

s co-

publ

ished

with

rese

arch

ers

resid

ing

outs

ide

Sout

h Af

rica,

on

the

Afric

an c

ontin

ent.

New

New

136

810

1014

14

3E

– En

hanc

ing

rese

arch

ski

lls a

nd p

ublic

aw

aren

ess

Obj

ectiv

e 3A

Att

ract

ing

skill

s fo

r the

dev

elop

men

t of a

ski

lled

& c

apab

le w

orkf

orce

3.1

Mas

ter’s

leve

l int

erns

:

The

num

ber o

f int

erns

(res

earc

h tr

aine

es) e

nrol

led

in a

Mas

ter’s

pr

ogra

mm

e, a

ppoi

nted

at t

he H

SRC.

4243

5242

3535

3535

35Re

duce

d

3.2

PhD

leve

l int

erns

:

The

num

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HSRC

Annu

al Pe

rform

ance

Plan

2018

/19

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2015

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rant

s:

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perc

enta

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f res

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h gr

ants

that

are

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ti-ye

ar (a

t lea

st th

ree

year

s).

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3%

(49/

94)

64%

(4

2/65

)49

.43%

56%

56%

56%

56%

56%

56%

51

HSRC

Annu

al Pe

rform

ance

Plan

2018

/19

Annexure C: Technical indicator descriptions

Indicator 1.1: Peer-Reviewed Journal Articles Per HSRC Researcher

Indicator title Peer-reviewed journal articles

Short definition Ratio:

The number of articles with at least one HSRC researcher (from the level of “researcher” upwards, i.e. including interns appointed at the level of researcher or higher) listed as author or co-author, published during the period under review in journals recognised by the Department of Higher Education and Training (DHET) for subsidy purposes, divided by the number of researchers employed by the HSRC at the end of the reporting period.

Purpose/importance Indicator for research excellence:

Productivity (number of articles per researcher) and quality (peer-reviewed, DHET-recognised journals) of HSRC work.

Peer-review process ensures that HSRC work is subject to independent scrutiny and quality control

Proof of research excellence is critical for research findings to be taken seriously, and to be able to attract research collaborators and research funding.

Use of DHET listing allows for national benchmarking.

Source/collection of data

Research Management System (RMS), drawing information from:

• Research outputs database (IS) (internationally accredited peer-reviewed publications captured in the database)

• Staff database (HR)

Method of calculation a. Count number of peer-reviewed journal articles with one or more HSRC researcher listed as author or co-author (i.e. no adjustment for multiple authors) published during the period under review.

b. Count number of HSRC staff on permanent payroll (1 year or longer), appointed at levels of researcher or above, as at the last day of the reporting period.

Calculate: a/b expressed as a ratio

Data limitations Recognised journals:

• Journals appearing in the following International indices are recognised:

› The Sciences Citation Index of the Institute of Scientific Information (ISI)

› The Social Sciences Citation Index of the ISI

› The Arts and Humanities Citation Index of the ISI

› The International Bibliography of Social Sciences (IBSS)

› DHET listing, refer to DHET policy and published lists.

More detail on count of peer-reviewed articles:

• The following types of contributions appearing in journals are not counted as articles:

› Correspondence to the editors

› Abstracts or extended abstracts

› Obituaries

› Book reviews

› News articles

› Advertorials

› Editorials.

In addition to peer-reviewed articles produced by authors appearing on the list of current staff members, peer-reviewed articles contributed by the following categories of authors are also recognised for the period under review:

• Publications by authors who are in senior executive management positions (CEO, DCEO) are counted, and attributed to the research programme on whose work the article was based, as indicated by the author when submitting the article for capturing by Library and Information Services (LIS).

• Publications produced by staff who were employed, but left the employment of the HSRC in the course of the reporting period (financial year to date) will be counted during the reporting period, irrespective of when they left the HSRC.

• Publications by staff who had already left the HSRC may count towards numerator in subsequent reporting period(s) as long as the research unit concerned is able to submit proof, with the hard copy of the publication, that the publication had been completed and submitted to the publisher concerned while the staff member was still employed by the HSRC. Such proof is to accompany the publication submitted to IS for capturing.

• Publications by persons not appointed as staff members of the HSRC (e.g. assignees, staff on secondment from another institution, staff on joint appointment by agreement, Honorary Research Fellows or Honorary Research Associates): Will only count if co-published with an HSRC staff member or staff members.

• African Research Fellows are included for purposes of calculating performance against this target.

52

HSRC

Annu

al Pe

rform

ance

Plan

2018

/19

Type of indicator • Quantity Indicator – Output (measures number of publications)

• Efficiency Indicator – Measures research excellence i.e. number of publications per senior researcher

• Quality Indicator – Measures research output quality against international industry standards

Calculation type Cumulative (Year-end)

Reporting cycle Quarterly

New indicator No

Desired performance Equal to or more than the agreed target.

Indicator responsibility Publications: LIS (quality control and capturing of data submitted by research programmes)

Staff: HR

Ratio: RMS (IT)

Indicator 1.2: Scholarly Books Published

Indicator title Scholarly books published

Short definition Number:

The number of scholarly books with at least one HSRC researcher listed as author or co-author, published during the period under review.


Productivity of HSRC research staff (number of scholarly books authored, co-authored, edited or co-edited) and quality of HSRC work (recognised/scholarly books published).

Proof of research excellence is critical for research to be taken seriously, and to be able to attract research collaborators and research funding.

Publications in books ensure that research findings are made broadly available, and have an impact over a relatively long period of time – this is aligned with HSRC mandated objectives.



• Research outputs database (LIS) (scholarly books captured in the database)

Method of calculation Count number of scholarly books with one or more HSRC researcher recognised as author or editor (i.e. no adjustment for multiple authors or multiple editors) published during the period under review.

Data limitations Recognised (scholarly) books:

• Peer-reviewed, non-periodical scholarly or research publications disseminating original research on developments within specific disciplines, sub-discipline or field of study, published in South Africa or internationally. Examples of scholarly books include monographs or collected works.

• The length of the book must be a minimum of 60 pages, excluding references, bibliography and appendices.

• The book must have an International Serial Book Number (ISBN).

• The book must be peer-reviewed prior to publication, with supporting evidence of the review process provided in the book or obtained from the publishers of the book. Such evidence must accompany the copy of the book or book chapter submitted to LIS for purposes of capturing.

• In the case of the HSRC, books based on research commissioned and paid for by external organisations may be included.

• Excluded:

› Dissertations and theses

› Text books, manuals and study guides

› Inaugural speeches

› Works of fiction

› Translations

› Documentation of case studies

› Book reviews

› Dictionaries

› Encyclopaedia

› Autobiographies.

53

HSRC

Annu

al Pe

rform

ance

Plan

2018

/19

Data limitations (continued)

More detail on count of books:

• Count of books: Recognised for period under review.

More detail on HSRC researchers:

• Researchers at all levels included, i.e. not only SRS/SRM or higher.

• Publications by authors who are in senior executive management positions (CEO, DCEO) are counted, and attributed to the research programme on whose work the book or book chapter was based, as indicated by the author when submitting the publication for consideration and possible subsequent capturing by LIS.


• Publications by staff who had already left the HSRC may be reflected in subsequent reporting period(s) as long as the research unit concerned is able to submit proof, with the hard copy of the publication, that the publication had been completed and submitted to the publisher concerned while the staff member was still employed by the HSRC. Such proof must be signed by the Executive Director concerned and accompany the publication submitted to Library and Information Services (LIS) for capturing.

• Publications by persons not appointed as staff members of the HSRC (e.g. assignees, staff on secondment from another institution, staff on joint appointment by agreement, Honorary Research Fellows or Honorary Research Associates) will only count if co-published with HSRC researchers, or if proof of institutional affiliation is provided by the Executive Director concerned, as indicated below.

• Proof of institutional affiliation: Author affiliation with the HSRC should be stated on the hardcopy publication (whether at the start or in a footnote printed in the publication). If the Author’s affiliation is not given in the publication, a letter confirming the author’s affiliation to the HSRC, signed by the ED concerned, must be provided with every submission. The letter should confirm the author’s affiliation to HSRC, (e.g. Honorary Research Fellow, with proof of appointment letter as Honorary Research Fellow), and should also state that the publication is based on HSRC research that was conducted whilst the said person was based at HSRC, or formally associated with HSRC.





New indicator No



Staff: HR

Number count: RMS (IT)

Indicator 1.3: Scholarly Book Chapters Published

Indicator title Scholarly book chapters published


The number of scholarly book chapters with at least one HSRC researcher listed as author or co-author, published during the period under review.


Productivity of HSRC research staff (number of scholarly book chapters authored or co-authored) and quality of HSRC work (scholarly book chapters published).

Proof of research excellence is critical for research to be taken seriously, and to be able to attract research collaborators and research funding.

Publication of book chapters ensure that research findings are made broadly available, and have an impact over a relatively long period of time – this is aligned with HSRC mandated objectives.



• Research outputs database (LIS) (book chapters captured in the database)

Method of calculation Count number of scholarly book chapters with one or more HSRC researcher recognised as author (i.e. no adjustment for multiple authors).published during the period under review.

54

HSRC

Annu

al Pe

rform

ance

Plan

2018

/19

Data limitations Recognised (scholarly) book chapters:

• Peer-reviewed, non-periodical scholarly or research publications disseminating original research on developments within specific disciplines, sub-discipline or field of study, published in South Africa or internationally.

• The book in which the chapter is published must have an International Serial Book Number (ISBN), and meet the requirements of a scholarly book as outlined for Indicator 1.2.

• The book chapter must be peer-reviewed prior to publication, with supporting evidence of the review process provided by the publishers of the book. Such evidence must accompany the copy of the book chapter submitted to LIS for purposes of capturing.

• In the case of the HSRC, book chapters based on research commissioned and paid for by external organisations may be included.

• Excluded:

› Dissertations and theses

› Text books, manuals and study guides

› Inaugural speeches

› Works of fiction

› Translations

› Documentation of case studies

› Book reviews

› Dictionaries

› Encyclopaedia

› Autobiographies.

More detail on count of book chapters:

• Count of book chapters: Recognised for period under review.

More detail on HSRC researchers:

• Researchers at all levels included, not only SRS/SRM or higher.

• Publications by authors who are in senior executive management positions (CEO, DCEOs) are counted, and attributed to the research programme on whose work book chapter was based, as indicated by the author when submitting the publication for review and subsequent capturing by LIS


• Publications by staff who had already left the HSRC may be reflected in subsequent reporting period(s) as long as the research unit concerned is able to submit proof, with the hard copy of the publication, that the publication had been completed and submitted to the publisher concerned while the staff member was still employed by the HSRC. Such proof must be signed by the Executive Director concerned and accompany the publication submitted to Library and Information Services (LIS) for capturing.

• Publications by persons not appointed as staff members of the HSRC (e.g. assignees, staff on secondment from another institution, staff on joint appointment by agreement, Honorary Research Fellows or Honorary Research Associates) will only count if co-published with HSRC researchers, or if proof of institutional affiliation is provided by the Executive Director concerned as indicated below.

• Proof of institutional affiliation: Author affiliation with the HSRC should be stated on the hardcopy publication (whether at the start or in a footnote printed in the publication). If the Author’s affiliation is not given in the publication, a letter confirming the author’s affiliation to the HSRC, signed by the ED concerned, must be provided with every submission. The letter should confirm the author’s affiliation to HSRC, (e.g. Honorary Research Fellow, with proof of appointment letter as Honorary Research Fellow), and should also state that the publication is based on HSRC research that was conducted whilst the said person was based at HSRC, or formally associated with HSRC.





New indicator No



Staff: HR


55

HSRC

Annu

al Pe

rform

ance

Plan

2018

/19

Indicator 1.4: HSRC Humanities And Social Sciences Research Seminars Convened

Indicator title HSRC humanities and social sciences research seminars convened


The number of HSRC research seminars convened during the period under review.

Purpose/importance Indicator for research relevance and potential use (application/impact):

Type of output focused on knowledge dissemination.



• Research outputs database (LIS) (HSRC humanities and social sciences research seminars captured in the database) – source document is the summary document providing information on the seminar(s) hosted during the period under review, as issued by the ED: RIA or designate.

• Supporting information such as copies of workshop invitations and signed attendance lists will be kept on record by the person(s) designated to coordinate HSRC seminars.

Method of calculation Count number of humanities and social sciences research seminars convened by the HSRC during the period under review.

Data limitations Research seminars:

The seminars will generally run a maximum of one to two hours, but not exceed one working day. Topics and invited delegates are identified based on the study and nature of information to be disseminated. The standard format of a seminar will be a presentation by a subject-matter expert or experts, followed by plenary discussion aimed at identifying key issues, policy options and/or a research agenda building on the issues identified.

Type of indicator Output Indicator (number of seminars), also measures effectiveness as it relates to achievement of HSRC mandate.



New indicator No


Indicator responsibility Research outputs: Library and Information Services (LIS)

(capturing of data submitted by the ED: RIA or designate)

Indicator1.5: HSRC Review Publications

Indicator title HSRC Review publications produced.


The number of HSRC Review publications produced during the year under review.

Purpose/importance Proof of research relevance and excellence:

Knowledge dissemination to external stakeholders to ensure that research findings are made broadly available – this is aligned with HSRC mandated objectives.


Research Management System (RMS), drawing information from RIA reports.

Supporting information (electronic copies of the HSRC Review publication) will be accessible on the HSRC website.

Method of calculation Count number of publications produced and published during the period under review (publications can be hard copy or electronic).

Data limitations The HSRC Review is an edited news magazine produced by the HSRC, which contains accessible articles of recent research outputs, success stories of collaborative projects, and projects involving capacity development at community level.

Type of indicator Quantity Indicator – Output (number of publications), also measures effectiveness as it relates to achievement of HSRC mandate.



New indicator No


Indicator responsibility Quality control and capturing of data: LIS


56

HSRC

Annu

al Pe

rform

ance

Plan

2018

/19

Indicator 1.6: Policy Briefs

Indicator title The number of policy briefs produced and published by the HSRC


The number of policy briefs with at least one HSRC staff member serving as author or co-author, published by the HSRC during the period under review.

Purpose/importance Indicator for research relevance and excellence:

Productivity (number publications) of HSRC work.

The ED: RIA (or designate) will ensure that guidelines for the development and review of policy briefs are made available to HSRC researchers and research managers, and that this includes requirements for engagement with appropriate lead government departments and decision makers. This type of publication should accommodate the needs of decision makers, to enhance the relevance and impact of the publication

Policy briefs are only published following a review process to ensure that they are relevant, timely and meet internal criteria of good research communication.



• Research outputs database (LIS) (policy briefs captured in the database)

Method of calculation Count number of policy briefs published by the HSRC during the period under review.

Data limitations Recognised policy briefs:

• Policy briefs are short papers that convey policy issues and outline courses of action to resolve them.

• Policy briefs are published by the HSRC according to a format and guidelines approved by the DCEO: Research or the ED meeting.

• Quality control and sign-off prior to publication of the policy brief by HSRC Press will be delegated to the executive directors or designated heads of research programmes.

• Dissemination of the policy briefs, including submission to the RMS for capturing in the RMS by Library and Information Services, will be overseen by the executive directors or designated heads of research programmes.

• Policy briefs published by institutions other than the HSRC will be reflected as recognised research outputs of the HSRC, but not as “policy briefs produced and published by the HSRC”.

Type of indicator Output Indicator (measures number of publications).



New indicator No


Indicator responsibility Planning and preparation of policy briefs: Research programmes

Quality control, including review process and sign-off prior to publication: EDs or designated heads of research programmes

Publication of policy briefs: HSRC Press

Capturing of published policy briefs submitted by research programmes: LIS

Indicator 1.7: Targeted Public Dialogues

Indicator title The number of public dialogues on poverty and inequality hosted by the HSRC


The number of public dialogues dealing with aspects of poverty or inequality hosted by the HSRC CEO or designate during the period under review.

Purpose/importance Indicator for research relevance and excellence:

Productivity (number of public dialogues) dealing with issues of national and international importance.

Public dialogues are expected to :

• Focus on a pre-determined issue or research question with potential or immediate policy relevance

• Present different perspectives based on prior research or engagement, for facilitated deliberation and discussion

• Involve stakeholders who will be able to bring different perspectives on the issue. They will include citizens (members of the general public) as well as policy makers, experts and/or researchers

• Attempt to find, through structured and moderated two-way discussions, shared values or common views emerging. The emphasis is on finding acceptable solutions or at least recommended steps to take an issue forward.

International best practice for facilitating public dialogues will be applied to local requirements by the HSRC; hence the definition and approach may be refined in the course of the reporting period.

57

HSRC

Annu

al Pe

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ance

Plan

2018

/19


Research Management System (RMS), drawing information from

• Report on public dialogue that had been hosted

Method of calculation Count number of public dialogues hosted by the HSRC during the period under review.

Data limitations Targeted public dialogues will be planned and undertaken in consultation with the office of the CEO.

• Following the public dialogue, a short report on the dialogue will be prepared for review and approval of the CEO.

• Supporting information such as invitations, agenda or signed attendance lists will be kept on record by the person(s) designated to coordinate the public dialogue.

Type of indicator • Output Indicator (measures number of dialogue hosted)

• Effectiveness Indicator – Measures extent of achieving HSRC mandate.



New indicator No


Indicator responsibility Sign-off on short report of public dialogue for capturing of performance information purposes: CEO or designate

Capturing of information: LIS

Indicator 1.8: Peer-Reviewed Journal Articles with Multiple Citations

Indicator title Peer-reviewed journal articles with multiple citations

Number of peer-reviewed journal articles by HSRC author or authors with at least 10 citations listed within 5 years from publication.


Number of recognised (DHET, ISI or IBSS) peer-reviewed journal articles by HSRC author or authors with at least 10 citations listed (in SCOPUS or Google Scholar databases) within 5 years from the year of initial publication.

Purpose/importance Indicator for recognition of research excellence and relevance:

Citation of publications is regarded as an indicator of academic impact. It points to recognition of the relevance and quality of published HSRC work.

High impact, as measured through citation analysis, may contribute to the ability to attract collaboration and research funding.


• SCOPUS and Google Scholar

• Research outputs database (LIS) (ISI, IBSS and DHET-accredited peer-reviewed publications recognised as HSRC outputs and captured in the research outputs database in the five years preceding the reporting period.)

Method of calculation Determine the number of citations listed for each ISI, IBSS and DHET-accredited journal article with one or more HSRC researcher listed as author or co-author, and captured in the HSRC research outputs database in the 5 years preceding the period under review.

Citation count will be determined by using SCOPUS and Google Scholar, and will recognise the number of citations recorded at the date of analysis.

Select and record those journal articles with ten or more unique citations recorded to date on the SCOPUS and Google Scholar reporting system.

Count: The number of journal articles with ten or more unique citations so selected and recorded.

Data limitations Recognised peer-reviewed journal articles as already captured in the RMS for five full financial years preceding the current financial year.

Subscription to SCOPUS is a prerequisite for this method of citation analysis.

Type of indicator • Impact indicator – Measures research academic impact of research against international industry standards

Calculation type Non-cumulative (Annual target)


New indicator No


Indicator responsibility Quality control, selection of articles and citation analysis: LIS

58

HSRC

Annu

al Pe

rform

ance

Plan

2018

/19

Indicator 2.1: Active Collaboration with Historically Disadvantaged Institutions (HDIs)

Indicator title Number of HDIs with which HSRC has actively collaborated during the reporting period


Number of Historically Disadvantaged Institutions (HDIs) in South Africa with which the HSRC has actively collaborated during the period under review.

Purpose/importance The purpose is to reflect the number of verified, reported instances of active collaboration with counterpart institutions, with particular reference to HDIs in South Africa. This relates directly to mandated objectives of the HSRC to support research collaboration, capacity development, networks and institutional linkages in the human sciences research community.

Records and counts the number of active collaboration with other research institutions, to get an understanding of the range of verified inter-institutional collaboration.


Stakeholder engagement or MOU database (Business Development and International Liaison (BDIL)).

Verify and capture examples of inter-institutional collaboration submitted by research programmes, in relation to various role players in the South African National System of Innovation.

For the university sector, ten of the 26 publicly-funded universities are recognised as HDIs for purposes of reporting on this indicator:

Method of calculation Count the total number of HDIs with whom HSRC has been actively collaborating during the period under review.

Data limitations Instances of collaborative activities:

• Joint projects (signed contract in place)

• Joint workshops or conferences (programme or title should recognise institutional collaboration)

• Joint academic appointments or formalised postgraduate (supervisory agreements contract or letter of appointment in place)

• At least one collaborative activity during the period under review, captured or submitted for capturing in the stakeholder engagement or MOU reporting module by the research programme concerned and confirmed by BDIL.

Historically Disadvantaged Institutions: Seven HDIs as recognised by CHE, plus three publicly funded universities established after 2010:

• Mangosuthu University of Technology (MUT)

• University of Fort Hare (UFH)

• University of Limpopo

• University of Venda

• University of the Western Cape

• University of Zululand

• Walter Sisulu University

and

• Sefako Makgatho Health Sciences University

• Sol Plaatje University

• University of Mpumalanga

Type of indicator • Quantity Indicator – Activity (measures number of HDIs where collaborative activities were recorded).




New indicator No


Indicator responsibility Activity reporting: Research programme(s) with collaborative activities for the period under review.

Verification and reporting: BDIL

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Indicator 2.2: African Research Fellows

Indicator title The number of research fellows from elsewhere in Africa hosted by the HSRC


Number of persons hosted by the HSRC during the reporting period as research fellows from elsewhere in Africa.

Purpose/importance Counts the number of persons from elsewhere in Africa serving as a research fellow at the HSRC, to strengthen research links and help contribute to Africa’s progress through research.


Staff database (HR) and short-term assignees

Method of calculation Count the total number of African research fellows hosted by the HSRC during the period under review.

Data limitations Persons indicated as African research fellows in their engagement letters, and who had assumed duty in this capacity at the HSRC.

Further clarification:

• Recruitment and selection guidelines as stipulated in the relevant HR policy.

Type of indicator • Quantity Indicator – Input (measures number of African Research Fellows).


Calculation type Cumulative – (Year to date) for the year


New indicator No


Indicator responsibility Staff: HR

Total (cumulative) number: RMS (IT)

Indicator 2.3: Peer-Reviewed Journal Articles with African (Non-Sa) Co-Author(s)

Indicator title Peer-reviewed journal articles with African (non-SA) co-author


The number of peer-reviewed journal articles by HSRC author or authors with at least one co-author from an African country other than South Africa.

Purpose/importance Indicator for research collaboration and relevance:

In support of HSRC mandated objective – Africa collaboration

Related to proxy indicator appearing in DST strategic plan


• Research outputs database (LIS) (peer-reviewed publications captured in the database)

• Staff database (HR)

Source of verification: Sign-off document submitted to LIS for capturing of journal article, and institutional affiliations of author(s) appearing with the published article.

Method of calculation Number of articles so verified and captured

Data limitations The journal article must have as authors at least one HSRC researcher as defined for recognised HSRC research outputs, and one non-HSRC researcher who has an institutional affiliation in an African country which is not South Africa.

The ethnic or racial categorisation of the African (non-South African) co-author is not a consideration; it is the country of origin/residence/affiliation of the co-author.

Type of indicator • Output indicator – Measures number of publications meeting specific requirements



New indicator No


Indicator responsibility Publications: LIS

(quality control and capturing of data submitted by research programmes)

Staff: HR

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Indicator 3.1: Master’s Level Interns

Indicator title The number of interns (research trainees) enrolled in a Master’s programme, appointed at the HSRC


Number of persons employed by the HSRC during the reporting period as Master’s level interns.

Purpose/importance Counts the number of persons employed by the HSRC as Master’s level interns during the period under review, as an indication of capacity development initiatives.


Staff database (HR)

Method of calculation Count the total number of Master’s level interns (research trainees) employed by the HSRC during the period under review.

Data limitations Persons who in their appointment letters are indicated as Master’s Intern or Master’s Research Trainee that have assumed duty at the HSRC


• Appointment and period of appointment in accordance with Board-approved Researcher Training Policy.

• The necessary supporting documentation (e.g. proof of registration at higher education institution, agreement with HSRC mentor) must be available for auditing purposes.

Type of indicator • Quantity Indicator – Intput (measures number of Master’s interns appointed).


Calculation type Cumulative (Year to date)


New indicator No


Indicator responsibility Submission of supporting documents: Research programmes, coordinated by HR (Learning and Development)

Staff: HR


Indicator 3.2: PhD Level Interns

Indicator title The number of interns (research trainees) enrolled in a PhD programme, appointed at the HSRC


Number of persons employed by the HSRC during the reporting period as doctoral (PhD) level interns.

Purpose/importance Counts the number of persons employed by the HSRC as PhD level interns during the period under review, as an indication of capacity development initiatives.


Staff database (HR)

Method of calculation Count the total number of PhD level interns (research trainees) employed by the HSRC during the period under review.

Data limitations Persons who in their appointment letters are indicated as PhD Intern, Doctoral Intern, PhD Research Trainee or Doctoral Research Trainee that have assumed duty at the HSRC.



• The necessary supporting documentation (e.g. proof of registration at higher education institution, agreement with HSRC mentor) must be available for auditing purposes.

Type of indicator • Quantity Indicator – Input (measures number of PhD interns appointed).




New indicator No



Staff: HR


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Indicator 3.3: Post-Doctoral Fellows

Indicator title The number of post-doctoral fellows (research associates) appointed at the HSRC


Number of persons employed by the HSRC during the reporting period as post-doctoral fellows (research associates).

Purpose/importance Counts the number of persons employed by the HSRC as post-doctoral fellows during the period under review, as an indication of capacity development initiatives.


Staff database (HR)

Method of calculation Count the total number of post-doctoral fellows (research associates) employed by the HSRC during the period under review.

Data limitations Persons who in their appointment letters are indicated as post-doctoral fellows that have assumed duty at the HSRC.



• The necessary supporting documentation (e.g. proof of successful completion of doctoral studies) must be available HR for auditing purposes.

Type of indicator • Quantity Indicator – Input (measures number of Post-Doctoral Fellows appointed).




New indicator No



Staff: HR


Indicator 3.4: Completed Master’s Level Research Internship

Indicator title Completed Master’s level research internship


Number of interns (Research trainees) enrolled in a Master’s programme who have completed the programme during the period under review.

Purpose/importance Counts the number of Master’s level interns who have completed their programme during the period under review, as an indication of capacity development initiatives.


Staff database (HR)

Method of calculation Count the total number of Master’s level interns (research trainees) employed by the HSRC who have completed their programme during the period under review.

Data limitations Persons who in their appointment letters are indicated as Master’s Intern or Master’s Research Trainee that have assumed duty at the HSRC.



• The necessary supporting documentation (e.g. proof of registration at higher education institution, HSRC appointment letter and proof of completion of degree studies) must be available for auditing purposes.

• In cases where proof of successful completion of academic studies is submitted after the internship contract has expired and the intern has left the employment of the HSRC: This will be recognised as a completed Master’s level research internship if documentary proof is provided that the dissertation/thesis prepared by the intern had been submitted for examination purposes and receipt acknowledged by the higher education institution in question, before the intern left the employment of the HSRC.

Type of indicator • Quantity Indicator – Output (measures number of interns completed)




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New indicator No



Staff: HR


Indicator 3.5: Completed PhD Level Research Internship

Indicator title Completed PhD level research internship


Number of interns (Research trainees) enrolled in a PhD programme who have completed the programme during the period under review.

Purpose/importance Counts the number of PhD level interns who have completed their programme during the period under review, as an indication of capacity development initiatives.


Staff database (HR)

Method of calculation Count the total number of PhD level interns (research trainees) employed by the HSRC who have completed their programme during the period under review.

Data limitations Persons who in their appointment letters are indicated as PhD Intern or Master’s Research Trainee that have assumed duty at the HSRC.


• Appointment and period of appointment in accordance with Board-approved Researcher Training Policy

• The necessary supporting documentation (e.g. proof of registration at higher education institution, HSRC appointment letter, and proof of completion) must be available for auditing purposes

• In cases where proof of successful completion of academic studies is submitted after the internship contract has expired and the intern has left the employment of the HSRC: This will be recognised as a completed PhD level research internship if documentary proof is provided that the dissertation/thesis prepared by the PhD intern had been submitted for examination purposes and receipt acknowledged by the higher education institution in question, before the intern left the employment of the HSRC.

Type of indicator • Quantity Indicator – Output (measures number of interns completed).




New indicator Yes


Indicator responsibility Submission of supporting documents: Research programmes, coordinated by HR (Learning and development)

Staff: HR


Indicator 3.6: Training Academy (“Winter/Summer School” or Methodology Workshop) Hosted

Indicator title Training academy (“winter/summer school” or methodology workshop) hosted


The number of formal training events dealing with research methodology in the human or social sciences hosted by the HSRC for attendance by academics and (postgraduate) students.

Purpose/importance Counts the number of formal training events offered as an indication of capacity development initiatives.


Training programme and attendance registers for the events obtained from Learning and Development or the host research programme(s).

Method of calculation Counts the number of recognised formal training events offered during the period under review as per attendance register.

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Data limitations The programme of the workshop or event should cover two to three days.

The programme of the event should be coordinated by the Executive Director or Head of a research programme of the HSRC.

The topic of the workshop should deal with methodological issues relevant to HSRC research or research data.

At least twenty academics or students should register and participate in the event.

Type of indicator • Quantity Indicator – Output (measures number of workshops hosted)




New indicator Yes


Indicator responsibility Submission and capturing of supporting documents: Workshop coordinator.

Total number: RMS (IT)

Indicator 4.1: Preserved Datasets

Indicator title Preserved datasets


The number of HSRC research datasets that were preserved and made available for secondary use during the period under review.

Purpose/importance Counts the number of unique datasets that were preserved for future use, for the first time during the period of review. This serves as an indicator of the extent to which the HSRC responds to its mandated objective of developing and making publicly available new datasets to underpin research, policy development and public discussion.


List of datasets preserved and made available for secondary use during the period under review.

Method of calculation Count of the total number of unique datasets that were preserved and made available for secondary use, for the first time during the period of review.

Data limitations Data refer to computer-readable research data and may be

• quantitative data files consisting of a matrix of numbers or words and its related metadata, such as variable labels, code labels and missing value definitions, including data with spatial references and maps based on these references, or summary data tables. The final dataset might include both raw data and derived variables which would be described in the documentation associated with the dataset; and/or

• qualitative data sets that might include transcripts, thematic coding and conceptual maps, photographs, videos, and audio data with the related documentation.

A dataset as an entity for performance measuring purposes refers to a collection of measurements that describe a particular phenomenon under review.


• Effectiveness Indicator – measures extent of achieving HSRC mandate



New indicator No


Indicator responsibility LIS


Indicator 4.2: Secondary Use of Preserved Data

Indicator title Secondary use of preserved data:

The number of unique downloads of HSRC curated data sets during the period under review


The number of unique instance of HSRC curated datasets that are downloaded for secondary use via the designated HSRC web “research data” interface during the period under review.


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Purpose/importance Indicator for research quality, relevance and impact:

In support of HSRC mandated objective – making data available.

Data that are re-used are subject to further quality control, and are also contributing to greater efficiencies and cost savings in the international science system.


The downloads are registered in a database linked to the HSRC curated datasets made available via the HSRC website.

Prospective users of curated HSRC data sets register on the database.

The Head: Data Curation in LIS is responsible for managing the system of capturing downloads and extracting the required statistics from the database.

Method of calculation Number:

Count the number of unique downloads of curated data sets during the period under review.

Data limitations It will be the number of downloads of curated data sets registered annually:

The unique downloads per data set, per person are captured in the database linked to the system.

Downloads when people download the same file multiple times or multiple formats of the same file are counted only once.

Downloads from users such as developers and data curtain staff are excluded.

The downloads are registered in a database linked to the website. This is queried to provide the required statistic.

The source download data and the database queries used for the calculation are submitted by the Head: Data Curation for capturing in the RMS.

Type of indicator • Impact indicator – Measures number of instances of data sets downloaded for secondary use.



New indicator No


Indicator responsibility LIS


Indicator 5.1: Senior Researchers Who Are African (see footnote)

Indicator title Researchers at senior level (SRS/SRM and above) who are African

Short definition Percentage:

The number of South African researchers at senior level (SRS/SRM and above) who are African, divided by the total number of researchers at senior level (SRS/SRM and above) employed by the HSRC at the end of the reporting period, expressed as a percentage.

Purpose/importance Tracks the relative growth in senior South African researchers who are African, as an indicator of the progress made in achieving equity and excellence in a highly skilled and scarce category of staff.


Staff database (HR)

Method of calculation a Number of African14 (“African” as per StatsSA population information) South African citizens appointed at SRS/SRM level and above

b Number of African South African permanent residents or African foreign nationals (excluding African Research Fellows) appointed at SRS/SRM level and above

c Number of all researchers appointed at SRS/SRM level and above (excluding African Research Fellows)

Percentage: [(a+b)/c]x100

Data limitations As above

Type of indicator Equity indicator – Measures extent of achieving equity targets



New indicator No


Indicator responsibility Head: HR


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Indicator 5.2: Senior Researchers Who are Female

Indicator title Researchers at senior level (SRS/SRM and above) who are female

Short definition Percentage:

The number of researchers at senior level (SRS/SRM and above) who are female, divided by the total number of researchers at senior level (SRS/SRM and above) employed by the HSRC at the end of the reporting period, expressed as a percentage.

Purpose/importance Tracks the relative growth in senior researchers who are female as an indicator of the progress made in achieving equity and excellence in a highly skilled and scarce category of staff.


Staff database (HR)

Method of calculation a Number of female senior researchers appointed at SRS/SRM level and above

b Number of all researchers appointed at SRS/SRM level and above (excluding African Research Fellows)

Percentage: [a/b]x100


Type of indicator Input indicator



New indicator No


Indicator responsibility Staff: Deputy Executive Director HR & CE


Indicator 6.1: Extra-Parliamentary Income

Indicator title The percentage of total income that is extra-Parliamentary

Short definition The percentage of total income of the HSRC that comes from sources other than its Parliamentary allocation

Purpose/importance Tracks the extent to which the HSRC is able to augment its Parliamentary income with external income, and monitors the balance between Parliamentary and extra-Parliamentary income as an indicator of financial sustainability linked to relative independence.


Source: Financial information (actual income received) as reflected in “statement of financial performance” at the end of the reporting period.

Method of calculation Identify the following sources of income:

a Research revenue

b Parliamentary grants

c Parliamentary grants ring-fenced

d Other income

Percentage: [(a+d)/(a+b+c+d)]x100


Type of indicator Effectiveness Indicator – Measures extent to which outputs achieve the desired outcomes

Calculation type Cumulative: all income achieved by the end of the reporting period


New indicator No


Indicator responsibility Data: CFO

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Indicator 6.2: Multi-Year Grants

Indicator title The percentage of research grants that are multi-year (at least three years)

Short definition The number of approved current research contracts or agreements that run over a period of at least three budget years, as a percentage of the number of approved current research contracts or agreements that are in place for the year under review.

Purpose/importance Tracks the extent to which the HSRC is able to depend on longer-term external research funding sources to achieve external funding targets, as a measure of financial sustainability over time.


Contract information from Contracts Registry: Income-generating contracts only.

Ring-fenced information from MTEF allocation letter.

Method of calculation a. Select from the contracts repository, all approved current (open), income-generating contracts in the “research contracts” folder

b. From (a) select all contracts with a total value that is equal to or greater than R500 000 (excluding VAT) over the total life span of the contract

c. From (b) select all the contracts with a start date and end date indicating that the contract has a life span of at least 3 financial years (Multi-year research grants

Percentage: c/b x 100

Data limitations Clarification:

The following research-related contracts are excluded for reporting purposes: Contracts with a total monetary value of less than R500 000 (excluding VAT).

For contracts selected for inclusion:

Current open contract:

The contract has an end date in the course of, or after the current financial year, and is linked to a project in a research programme, as approved by Finance.

Modifications/extensions of research contracts are not treated as separate contracts, but as forming part of the original contract that has been modified or extended. Such modifications/extensions to contracts may have an impact on the total duration of the contract, as well as to the total value of the contract.

Total duration of the contract:

Read start date and end date of contract as recorded by Legal Services when capturing the original contract on the contracts repository.

To accommodate any approved formal amendments to original contract:

Read start date as per original contract and end date as per most recent formal amendment, as approved and recorded by Legal Services.

Total Rand value over the full life time of the contract:

Calculate the total Rand value of the contract, excluding VAT if applicable, and as recorded by Legal Services when capturing the original contract on the contracts repository.

To accommodate any approved formal amendments to original contract:

Add or subtract any additions or reductions to the agreed original total contract amount (excluding VAT) as per formal amendment(s) approved and recorded by Legal Services.

For a ring-fenced allocation from the MTEF allocation letter: The amount and purpose must be clearly stated in the MTEF letter, allocated to a research programme for the stated purpose, and linked to a project in a research programme, as approved by Finance.

Total value of the ring-fenced MTEF allocation: total value of the ring-fenced allocation over the current 3-year MTEF period, excluding VAT.

Type of indicator Input indicator relevant to effectiveness: More large-scale, long-term contracts reduce the burden of on-going fund-raising activities and having to manage many small projects rather than fewer, larger projects.

Calculation type Cumulative (Year to date):


New indicator No


Indicator responsibility Data: CFO & RMS

Contract information – Legal services

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Notes

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Notes

www.hsrc.ac.za

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