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Human Sciences Research Council | Annual Performance Plan 2016/2017

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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 2016/17 financial year.

Professor Crain Soudien Chief Executive Officer

Human Sciences Research Council Signature: ________________________

Ms Nasima Badsha Chair of the HSRC Board Accounting Authority Signature: ________________________

Approved by:

Minister Naledi Pandor Minister of Science and TechnologyExecutive Authority Signature: _________________________


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CONTENTSOfficial sign-off .............................................................................................................................. ii

Annual Performance Plan 2016-2017 ............................................................................................ 11. Updated situational analysis .............................................................................................................. 1

1.1. Performance delivery environment ........................................................................................... 21.2. Organisational environment ..................................................................................................... 6

2. Revisions to legislative and other mandates ...................................................................................... 63. Overview of 2016/17 budget and MTEF estimates ........................................................................... 7

3.1. Expenditure estimates.............................................................................................................. 73.2. Relating expenditure trends to strategic outcome oriented goals ............................................ 8

3.2.1 Contribution of Budget and MTEF allocation to the realisation of strategic outcome-oriented goals ................................................................................................. 83.2.2. Impact of allocations in the Budget and MTEF on performance targets ........................ 83.2.3. Strategies to address the impact of allocations in the Budget and MTEF on performance targets .................................................................................................. 8

4. Strategic performance indicators and targets 2016-2017 .................................................................. 9

5. Programme and sub-programme plans ............................................................................................. 13 5.1. Programme 1: Research, Development & Innovation ............................................................. 13 5.1.1. Strategic objective annual targets for 2016/17 to 2018/19 ....................................... 13 5.1.2. Purpose of sub-programmes that make up Research development and innovation ..... 16 5.1.3. Reconciling performance targets with the Budget and MTEF ...................................... 17 5.2. Programme 2: Africa Institute of South Africa (AISA) ........................................................... 18 5.2.1. Strategic objectives programme performance indicators and annual targets for 2016/17 to 2018/19 .............................................................................................. 19 5.2.2. Reconciling performance targets with the Budget and MTEF ...................................... 21 5.3. Programme 3: Administration ................................................................................................. 22 5.3.1. Strategic objective annual targets for 2016/17 to 2018/19 ....................................... 22 5.3.2. Reconciling performance targets with the Budget and MTEF ...................................... 24

Part D: Links to Other Plans .................................................................................................................. 26Links to the long-term infrastructure and other capital plans ................................................................ 26

Annexures ..................................................................................................................................... 30Annexure A: Materiality and significance framework ............................................................................. 30Annexure B: Strategic performance indicators and targets for 2016/17 to 2020/21 ........................... 33Annexure C: HSRC Pretoria building infrastructure upgrade requirements........................................... 43Annexure D: Technical indicator descriptions ......................................................................................... 45


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ANNUAL PERFORMANCE PLAN 2016-2017

1. UPDATED SITUATIONAL ANALYSISThe HSRC’s strategic plan for 2014/15 until 2018/19 outlined the organisation’s broad approach to deliver on its mandated objectives. The plan was developed in a performance environment where the priorities and outcomes identified in the National Development Plan (NDP) and the 2009-2014 Medium-Term Strategic Framework (MTSF) showed remarkable alignment with the broad thematic areas and specific projects covered by research programmes and projects in the HSRC. In preparation for this strategic plan, which was approved in early 2014, the following inputs and events helped to shape its contents and focus:

• The 2010 HSRC institutional review which highlighted key issues that have influenced the strategic planning process.

• 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 the outcomes approach;

• Progress made with the implementation of the 10-year National Innovation Plan (2008–2018), especially in the context of the Grand Challenge of Human and Social Dynamics in Development, and ongoing engagements with the Department of Science and Technology (DST) around the refinement of the science plan for the Human and Social Dynamics in Development (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. Once again, the HSRC could confirm that its own programme of work (including the various large-scale repeat surveys undertaken by the HSRC) showed strong alignment with NDP priorities and the fourteen outcomes identified by government for the electoral period.

In the course of 2015/16, the Department of Science and Technology (DST) started to discuss its own strategic plan, goals and proxy indicators with the HSRC and other entities reporting to it, This engagement provided an opportunity to identify DST performance indicators that were applicable to the work of the HSRC and, where possible, start preparing for the introduction of such indicators in planning and reporting documents of the HSRC.

As of September 2015, the HSRC started a process of reviewing its strategic plan. While recognising that this process of critical reflection, review and refinement would be on-going, it was nevertheless regarded as important to signal a commitment to change, by updating aspects of the approved strategic plan for 2014/15 to 2018/19. This revised strategic plan accompanies the 2016/17 annual performance plan of the HSRC. As part of this process, it was also agreed that performance indicators and targets would be critically reviewed and adjusted where possible. Through these adjustments, the HSRC wishes to signal a commitment to “making a difference”, by means of excellent research, targeted collaboration and communication, to our ability to understand and address critical problems facing South Africa and the world. The revision of the strategic plan, and the development of this annual performance plan, could thus be incorporated into a process where the HSRC as an institution embarks on a journey aimed at extracting synergies from the work it does, and, as an institution, to be seen to address critical issues of poverty and inequality, alongside opportunities and constraints for inclusive development and nation building, through its research.


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1.1 Performance delivery environment

It is important to understand what the HSRC is. It is a statutory council dedicated to conducting human and social science research, contributing to the pool of global knowledge in the interest of improving the quality of life of people on the African continent and particularly of the South African people. The HSRC was established in 1968 through an act of parliament by the apartheid government. The new South African government confirmed its support for the HSRC by providing for its continued existence and legislating its public purpose and objectives in the new HSRC Act 17 of 2008, which repealed and replaced the 1968 Act. Few countries in the world have the benefit of such a structure.

Towards fulfilling the mandate given to it by the Act of 2008, the HSRC is seized with the task of promoting research which advances South Africa and Africa’s understanding of and engagement with the social conditions which characterize their contexts. The knowledge it generates seeks, therefore, to contribute to local, regional and global understandings of the human and social conditions of the people of the region, and the processes which will assist in their social improvement. Its primary role, in terms of this mandate, is to be a hub of knowledge production and knowledge translation and dissemination for policy-makers and the broader public. In the context of an environment of skills shortages, it also has to play a critical role in building the capacity of new scholars and researchers to both support and advance the mandate of building new knowledge and taking that knowledge into the public domain.

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. 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, these issues are overlain with the complexities of ‘race’, class and gender. An understanding of these themes 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. These scientists have skills to undertake basic or problem-oriented research which is often multi- or interdisciplinary in nature.

Against this broad social landscape to which the HSRC looks, 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?

It is imperative that the HSRC, as a publicly funded and publicly mandated entity, orientates and marshals its capacities behind the project of addressing the most urgent social questions facing South Africa and the continent. While there are many issues which can be raised, it is absolutely clear, and this is borne out in many academic and policy related analyses, including the National Development Plan (NDP) and strategies of the Department of Science and Technology, that poverty and inequality are the major questions which the country has to address. Poverty and inequality provide the macro-determinants against which the issues of deprivation, and their opposite, the capacity to flourish, play themselves out.

Needing to be understood are both the structural factors that are in play in producing these conditions and, through various forms of innovation which explore creative and hybrid approaches, how they may be undone. This requires, of course, sophisticated economic, political, historical and social analysis.


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How inequality is given life and how it can be disrupted through the structural and the psycho-social realities is what the HSRC urgently has to assist South Africa and the continent in coming to deal with. The HSRC wants to present itself, within the National System of Innovation, as the agency which will help the country understand how key and critical social innovation (as a process in which new and creative approaches to inclusive social development can be explored), alongside of building our knowledge capacity in science and technology, is for addressing poverty and inequality. Flowing from this, two features will distinguish the HSRC’s work for the next period of 2016-2020:

(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

The guiding theme behind the HSRC’s Strategic Plan for the next five years 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 indirect participation of the people of the country in the development process, (iii) the building and nurturing of social trust, (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 be more deliberate in its attempts to produce and present research-based evidence that can be used to better understand, analyse and address aspects of poverty and inequality in the communities, country, continent and world we live in. It intends to 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.


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

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

• social development - 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.);

• governance and decision-making - 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.

These three dimensions 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 dimensions. This requires understanding the relationship between the structural and the psycho-social factors that are in play in the country. Practically it will mean continuing existing lines of research but also the opening up of new research questions. For example, the relationship between rising inequality, political instability, disinvestment, unemployment and economic stagnation could readily constitute 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 is a brake on progress? Conversely, 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.

In the same way as the dishes and antennas of the Square Kilometre Array (SKA) have produced for the country a powerful image of its intentions to push the frontiers of our understanding of the universe in which we find ourselves, so the alignment of different research units and projects inside and outside of the HSRC around poverty and inequality is intended to produce a new, cohesive and purposeful project for understanding how we ameliorate, mitigate and ultimately do away with the worst effects of the challenges which South Africans face on a daily basis.

There has been no change in the service delivery environment since the compilation of the strategic plan and no changes are foreseen over the medium term, save to say that competition for scarce resources like funding and human capital will probably intensify. The HSRC will continue to strive to attract high calibre staff to ensure that it delivers on its mandate.

Whereas the introductory section, above, provides a clear overview of the HSRC’s mandated objectives and strategic intent to deal with aspects of poverity, inequality and inclusive development, the table below provides a few indicative examples of interventions and work already underway to provide direct and indirect support to dealing with these critical areas:


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Table 1: Examples of HSRC contributions to deal with aspects of inequality, poverty and employment creation.

HSRC Contribution

Inequality Poverty Unemployment

Direct • Setting and monitoring tar-gets (in terms of race as well as gender) for appointment of staff at all levels

• Offering diversity and gender awareness training to support an inclusive workforce as well as sensitivity for these issues in research.

• Service staff (including clean-ing, security and catering) are in-sourced.

• Paying affordable but decent salaries to staff and temporary (includ-ing fieldwork) person-nel.

• Allowing for fair reim-bursement to research participants in accor-dance with guidelines of the National Health Research Ethics Coun-cil (NHREC) and as approved by the HSRC ethics committee.

• Earning external research income, including from inter-national sources, to provide more employment opportu-nities for researchers, and associated support staff.

• Large survey studies create employment and capacity development opportunities for unemployed members of local communities.

• Long-term community-based studies (e.g. in Sweetwaters) create local employment and development opportunities.

Indirect • All research projects are subject to ethics review and oversight. This includes care-ful scrutiny of how research participants, especially those from vulnerable groups, will be approached, involved and protected from potential risks. Participants are also given ac-cess to a toll-free hot-line to raise questions or concerns without fear.

• HSRC research agenda has a focus on inequality and ad-dressing the needs of margin-alised communities.

• Examples of recent contribu-tions: Co-hosting of Septem-ber 2015 World Social Science Forum (WSSF) which focused on global inequality and the quest for social justice; on-go-ing and completed research work around rural innovation and urban development; na-tional survey research data (addressing , amongst others, aspects of health, education, social protection) providing trends over time to allow de-tailed comparative analysis around perceived and actual levels of inequality in the coun-try, including possible priority areas for interventions to im-prove and monitor these.

• Research dealing with poverty and inequality, helping to inform and monitor policy on issues such as social grants, health and nutrition, na-tional health insurance, early child development interventions, and dis-eases of poverty and lifestyle notably HIV/AIDS but also TB and diabetes.

• In the context of Oper-ation Phakisa, HSRC provides support for planning around im-proved health provision. It is also centrally in-volved in in work around the Blue Economy: The emphasis rests on sus-tainable development of the oceans, food secu-rity, renewable energy and safety.

• Research to support employ-ment creation and growth including work around qual-ity education (for instance, long-term work around lan-guage in education as well as Mathematics and Science education), skills develop-ment planning (to support national planning),the role of universities in innovation, tourism and township de-velopment, expanded public works programmes and as-pects of social justice.


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1.2 Organisational environment

The HSRC had a major restructuring in 2010, and no immediate changes are expected in the organisational environment. However, following the incorporation of AISA, efforts are underway to reduce duplication and strengthen the Africa focus programme. In preparation for the next (2017) institutional review, and bearing in mind the recent (November 2015) appointment of a Ministerial Panel to review the science, technology and-innovation institutional-landscape, the HSRC will also critically reflect on factors that may impede or improve its ability to deliver effectively and efficiently on its core mandated and strategic objectives.

2. REVISIONS TO LEGISLATIVE AND OTHER MANDATESThere were no revisions to legislation and other mandates.


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Programme Actual/Audited outcomesAdjusted

appropriationMedium-term expenditure estimate

R thousand 2012/13 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19

1. Administration 148 725 145 168 152 314 177 249 187 612 198 274 209 977

2. Research, Development & Innovation 251 499 203 217 211 408 265 517 281 428 297 900 315 488

3. Africa Institute of South Africa (AISA)

- - 26 298 39 108 41 485 43 942 46 543

Subtotal 400 224 348 385 390 020 481 874 510 525 540 115 572 009Direct charges against the National Revenue Fund

- - - - - - -

- - - - - - -

Total 400 224 348 385 390 020 481 874 510 525 540 115 572 009

Change to 2013/14 budget estimate - - - - - - -

Economic classification

Current payments 388 574 337 949 380 055 435 997 462 068 489 122 518 058

Compensation of employees 197 165 208 098 230 800 253 535 268 292 284 390 301 452

Goods and services 191 409 129 851 149 255 182 462 193 776 204 732 216 606

Of which:

Agency and support/outsourced services

-

6 509

8 081

7 730 8

209 8

685 9

189

Computer Services

- - - 616

654

692

732

Communication 7

982 11

584 11

701 13 899

14 760

15 617

16 522

Contractors & outsourced services

14 780

9 240

11 946

12 608 13

390 14

166 14

988

Inventory

- 3

926 4

940 5 233

5 557

5 880

6 221

Maintenance repairs & running costs

11 657

9 801

15 603

16 869 17

914 18

953 20

053

Operating leases 7

224 7

182 7

108 7 011

7 446

7 878

8 335

Training and staff development

3 747

2 217

2 123

2 905 3

085 3

264 3

453

Travel and subsistence 4

682 4

499 4

737 5 530

5 873

6 214

6 574

Research Costs 119

594 63

716 73

626 103 710

103 908

109 935

116 311

Other Operating Costs 21

743 11

177 9

390 6 351

12 979

13 448

14 228

Other costs 11 650 10 436 9 965 10 422 11 294 11 930 12 622

Depreciation 8 338 9 403 8 695 9 270 10 070 10 654 11 272

Interest and rent on land 3 312 1 033 1 270 1 152 1 223 1 276 1 350Financial transactions in assets and liabilities

- - - - -

Transfers and subsidies to: - - - 35 455 37 164 39 063 41 329

Universities and technikons - - - - - -

Non-profit institutions - - - 35 455 37 164 39 063 41 329

Payment for capital assets - - - - - -

Total 400 225 348 385 390 020 481 874 510 525 540 115 572 009

3. OVERVIEW OF 2016/17 BUDGET AND MTEF ESTIMATES

3.1 ExpEnditurE EstimatEs

Table 2: Expenditure Estimates - Human Sciences Research Council


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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, there is still a great deal of pressure on the HSRC and its senior research staff to earn additional funds to enable the organisation to deliver on mandated objectives. According to 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 HSRC Institutional Review Panel contains a recommendation suggesting a ratio of 80% parliamentary grant in relation to 20% external research funding. The Director-General of the Department of Science and Technology had also publicly indicated that he supported 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 funding via the MTEF; however, this allocation does not sufficiently fund the mandate of the HSRC. One of the HSRC’s mandates is to promote social and human sciences in South Africa, Africa and the global South, over the years this mandate has been funded from externally generated income.

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 aims to reduce the proportion of its external funding income by growing its MTEF portion of its income so as to reduce pressure on researchers and ensure financial security for realistic planning and delivery.


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4. STRATEGIC PERFORMANCE INDICATORS AND TARGETS 2016-2017

In 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 completed research projects, seminars and conferences), research outputs (including published journal articles, book chapters and curated datasets), and critical inputs associated with institutional sustainability and relevance including on-going transformation and capacity development. As of 2016/17, the HSRC will also introduce 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, around the broad dimensions of economic inclusion, social 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 2016-2017, against which the performance of the HSRC will be reported during the course of the financial year. Annual performance targets for the fiscal years 2016/17 to 2020/21 are presented in Annexure C of this document.

Table 3: Strategic performance indicators and targets 2016-2017

NoGoals, objectives & performance indicators

Annual Targets

Quarterly Performance Targets

2016/17 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 (ISI/IBSS) per senior researcher

1.4 0.2 0.3 0.4 0.5

1.2 Scholarly books published 22 2 6 6 8

1.3 Scholarly book chapters published 63 7 14 20 22

1.4 State of the Nation book volumes pub-lished

10 0 0 1

1.5 HSRC research seminars convened: 50 10 13 13 14

1.6 HSRC Review publications produced 4 1 1 1 1

1.7 Titles published under new publishing imprint:

5 1 1 1 2

Objective 1B Informing effective formulation of government policy

1.8 Policy briefs produced and published 20 3 5 6 6


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Annual Targets


2016/17 Q1 Q2 Q3 Q4

1.9 Public dialogues on poverty and inequality hosted

2 0 1 0 1

Government services or functions where research results provided decision support

3 n/a

(annual target)

n/a n/a 3

Objective 1C Promoting excellence, reach and impact of publications

Peer-reviewed journal articles (acknowl-edged journals) per researcher.

0.7 0.1 0.2 0.2 0.2

Peer-reviewed journal articles with at least 10 citations listed

Indicator and target defined

n/a

(annual target)

n/a Indicator and target defined

n/a

2 D – Developing collaborative networks and applied research

Objective 2A Supporting collaborative research networks

2.1 Active MoUs 41 6 8 12 15

2.2 Structured collaborative research projects completed

18 1 3 5 9

Objective 2B Promoting an African research agenda

2.3 African research fellows 14 7 10 12 14

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

4 0 0 1 3

Objective 2C Undertaking research and analysis to address prioritised issues, notably poverty, inequali-ty and inclusive development

2.5 Research projects completed 23 2 5 6 10

2.6 Research reports produced 35 3 6 12 14

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: 42 12 22 32 42

3.2 PhD level interns: 49 10 20 30 49

3.3 Post-Doctoral Fellows: 25 5 12 18 25

Objective 3B Building research capacity for the human sciences

3.4 Completed Master’s level research intern-ship

5 0 0 2 3

3.5 Completed PhD level research internship 7 0 0 2 5

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

3.6 Students reached in the Research Semi-nars/Campus Lecture series

550 130 130 140 150

3.7 Schools engaged in Outreach Programme 190 45 45 45 55


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Annual Targets


2016/17 Q1 Q2 Q3 Q4

3.8 Social science research conferences 1 n/a

(annual target)

n/a 1 n/a

3.9 Platforms for engaging policy makers 1 1 1 1 1

4 P - Preserving and sharing data for further analysis

Objective 4A Preserving research data and artefacts

4.1 Preserved datasets 23 2 5 7 9

4.2 Preserved library holdings 158 30 35 45 48

Objective 4B Managing and promoting secondary use of research data

4.3 Secondary analysis and recognition of preserved data

Preserved HSRC data sets linked to digital object identifi-ers (doi), Means to monitor citation of datasets and future perfor-mance targets agreed to.

n/a

(annual target)

n/a Preserved HSRC data sets linked to digital object identifi-ers (doi), Means to monitor citation of datasets and future perfor-mance targets agreed to.

n/a

5 T- Institutional transformation

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

5.1 Percentage senior researchers who are African

56% 56% 56% 56% 56%

5.2 Percentage senior researchers who are female

49% 49% 49% 49% 49%

Objective 5B Ensuring awareness & proper reporting on transformation

5.3 Annual Employment Equity reports pro-duced and submitted

100% n/a

(annual target)

n/a 100% n/a

5.4 Quarterly Employment Equity reports produced

4 1 1 1 1

5.5 Diversity awareness events hosted. 1 n/a

(annual target)

n/a n/a 1


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Annual Targets


2016/17 Q1 Q2 Q3 Q4

5.6 Gender awareness events hosted 1 n/a

(annual target)

n/a n/a 1

Objective 5C Supporting ongoing organisational development and transformation

5.7 Ratio of senior researchers (SRS/SRM or higher) in relation to all HSRC staff

Indicator and target defined

n/a

(annual target)

n/a Indicator and target defined

n/a

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%

Objective 6B Promoting and implementing good corporate governance principles

6.3 Officials attending the anti-corruption campaign

80% 0% 0% 0% 80%

6.4 Eligible officials who have declared their interests

100% 0% 0% 60% 100%

6.5 Compliance reports produced 4 1 1 1 1

Objective 6C Upholding effective and efficient systems of financial management and internal control

6.6 Unqualified external audit report: 1 n/a 1 n/a n/a

6.7 BBBEE Status. 2 3 2 2 2

6.8 PPPFA compliance: 100% 100% 100% 100% 100%


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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 three main HSRC programmes units whose details are presented in the following sub-sections:

Programme 1: Research, Development & Innovation (RDI)

Programme 2: Africa Institute of South Africa (AISA)

Programme 3: Administration

It should be noted that some of the indicators and targets of programmes 1 and 2, (RDI and AISA) show overlaps. This is the result of an ongoing change process which includes the alignment of performance indicators following the incorporation of AISA into the HSRC as of 1 April 2014.

5.1 programmE 1: rEsEarch, dEvElopmEnt & innovation

Purpose: 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 our research.

5.1.1 Strategic objective annual targets for 2016/17 to 2018/19

Detailed strategic objectives and performance indicators are presented in Annexure B of this document. Table 4 below presents strategic objective performance targets for the Research, Development & Innovation programme.


Pg 14

Table 4: Strategic objective annual targets

No Strategic objective & per-formance indicator titles

Audited Performance Medium-term targets



1.1 Peer-reviewed journal articles by senior researchers

1.77 New 1.83 1.9 1.4 1.4 1.4

1.2 Scholarly books published: 8 13 13 13 19 18 20

1.3 Scholarly book chapters pub-lished

39 40 45 47 56 57 60

1.4 Number of State of the Nation book volumes published

New New New 1 1 1 1

1.5 Number of HSRC humanities and social sciences research seminars hosted

45 51 58 50 50 50 50

1.6 The number of HSRC Review publications produced

4 5 6 6 4 4 4

1.7 The number of titles published under the new “Best Red” pub-lishing imprint.

New 3 3 5 5 5 5


1.8 The number of policy briefs pro-duced and published.

8 8 23 22 15 15 15

1.9 Number of public dialogues on poverty and inequality hosted

New New New New 2 4 4

1.10 Decision support:

Number of government services or functions where HSRC re-search results provided decision support

New New New New 3 with AISA

3 with AISA

3 with AISA


1.11 Number of peer-reviewed journal articles per HSRC researcher.

New New New New 0.7 0.8 0.9



2.1 Active MoUs: 27 41 47 36 36 36 36

2.2 Structured collaborative re-search projects completed:

42 27 42 18 18 20 20


2.3 African research fellows 10 11 14 11 11 11 11


Pg 15

No Strategic objective & per-formance indicator titles


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


Objective 2C Undertaking research and analysis to address prioritised issues, notably poverty, inequality and inclusive development

2.5 The number of research projects completed.

11 27 35 19 22 23 24

2.6 The number of research reports produced.

19 45 49 26 32 31 32


Objective 3B Building research capacity for the human sciences

3.4 Completed Master’s level pro-gramme.

New 8 6 9 5 5 6

3.5 Completed PhD level research programme

New 3 9 9 7 8 8


3.8 The number of Annual social sci-ences research conference host-ed

New New New 1 1 1 1

3.9 The number of platforms for en-gaging policy makers

New New New 1 1 1 1



5.1 Senior researchers who are Af-rican

35.38% 45% 42% 56% 56% 56% 56%

5.2 Senior researchers who are fe-male.

47.69% 45% 48% 49% 49% 49% 50%


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

6.1 Extra-Parliamentary Income 52.02%

43.68%

39.73%

( R 162m./ R 408m)

48% 48% 48% 48%

6.2 Multi-year grants 51.56% [33/64]

44.74%

[34/76]

52.13%

(49 / 94)

54% 56% 56% 56%


Pg 16

5.1.2 Purpose of sub-programmes that make up Research development and innovation

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

Purpose: The Centre for Science, Technology and Innovation Indicators (CeSTII) is responsible for the production of science, technology and innovation (STI) indicators in South Africa as well as conducting research in the same and related fields.

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

Purpose: The Democracy, Governance and Service Delivery (DGSD) research sub-programme actively enhances the contribution of the HSRC as a strategic partner in knowledge production and a resource for informing and deepening public debate, national dialogue and theoretical discourse on key national, regional and international issues and dominant trends related to democracy; development; justice; governance and service delivery.

(c) Economic performance and development (EPD)

Purpose: This sub-programme is mandated to generate robust knowledge, evidence and policy proposals through rigorous research for lasting solutions to the pressing economic and developmental challenges of unemployment, inequality, poverty and growth facing South Africa and the rest of Africa.

(d) Education and skills development (ESD)

Purpose: The Education and Skills Development research sub-programme researches education, skills development and capability enhancement at the individual, institutional and systemic levels. It is unique in its ability to harness research work both across and at the interface of these three areas as well as across multiple levels of provision. Education and skills development promote individual, social and economic development and are key to the exercise of citizenship.

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

Purpose: HAST is a research sub-programme that undertakes applied social sciences and public health research on HIV/AIDS, STIs and TB (HAST) within South Africa. It also provides experiential training to young researchers and expert consultation to government, civil society organisations and international agencies on these issues. It also provides some technical assistance and advice to the government, South African National AIDS Council (SANAC), civil society and donors/research grant makers within South Africa, throughout Sub-Saharan Africa through the Social Aspects of HIV/AIDS Research Alliance (SAHARA), and also globally through its collaborating status with the Global HIV Prevention Working Group and other international organisations.

(f) Human and social development (HSD)

Purpose: Human and Social Development (HSD) is a research sub-programme that promotes social science and humanities research concerning the social conditions and identity markers that shape people’s life opportunities (or human development) and promote social cohesion in the midst of ongoing and dynamic change, and alongside the social movements that emerge in response to these challenges. Arising from the current movement toward a knowledge-based economy and from the renewed focus on Human and Social Dynamics as one of grand challenges facing South Africa identified by the Department of Science and Technology, the HSD research programme researches individuals, social contexts and public policies in six main areas.


Pg 17

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

Purpose: The PHHSI is a research sub-programme that conducts primary and secondary research on Health, health systems and innovation, which enables evidence-based decision-making by our partners. PHHSI works with external partners; the research programmes of the HSRC and, through various networks, builds health expertise in South Africa and the continent.

(h) Research use and impact assessment (RIA)

Purpose: The Research Use and Impact Assessment unit consolidates the dissemination and knowledge management activities of the HSRC into a single unit that plays a strategic role in supporting researchers in maximising the impact of their research by engaging in activities such as knowledge exchange, synthesis and application.

5.1.3 Reconciling performance targets with the Budget and MTEF

Expenditure estimates

Table 5: Expenditure Estimates - Research, Development & Innovation

Programme Actual/Audited outcomesAdjusted appropriation

Medium-term expenditure estimate

R thousand 2012/13 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19

Research, Development & Innovation

251 499 203 217 211 408 265 517 281 428 297 900 315 488

Subtotal 251 499 203 217 211 408 265 517 281 428 297 900 315 488.32

Direct charges against the National Revenue Fund

- - - - - -

- - - - - -

Total 251 501 193 721 248 710 254 949 267 184 280 543 315 488

Change to 2012/13 budget estimate

- - - - - -





Of which:


Computer Services -

Communication 3 155 3 741 3 950 4 172 4 401 4 621 4 889


Pg 18


296

9

10 10

11

11

12

Inventory - - - - - - -


246 300 317 335 353 371 393

Operating leases 433 357 377 398 420 441 467


814 860 908 976 1 047 1 108

Travel and subsistence

9 79 600 634 668 702 743

Research Costs 119 594 63 716 70 008 98 635 98 518 104 233 110 278

Other Operating Costs

10 599 11 177 3 580 2 350 8 775 9 338 9 880

Other costs 3 340 2 362 2 598 2 743 2 894 3 039 3 215

Depreciation 1 745 2 362 2 598 2 743 2 894 3 039 3 215

Interest and rent on land 1 595 - - - - - -

Financial transactions in assets and liabilities

- - - - - - -

Transfers and subsidies to: - - - 17 186 17 977 18 876 19 971

Universities and technikons - - - - - - -

Non-profit institutions - - - 17 186 17 977 18 876 19 971

Payment for capital assets - - - - - - -

Total 251 499 203 217 211 408 265 517 281 428 297 900 315 488

Performance and expenditure trends

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

Measures to be put in place to ensure that the strategic objectives continue to be realised include large-scale longitudinal and cross-sectional studies aimed to support government’s monitoring and evaluation mandate; innovative and collaborative research dissemination work; infrastructure (including staff) for data curation and dissemination; and enhancing inter-institutional collaboration and conducting joint research projects.

5.2 programmE 2: africa institutE of south africa (aisa)

Purpose: This programme facilitates knowledge generation through research and development in key priority areas of understanding African affairs through leading social scientists acting in concert and across all disciplines and through training and education on African affairs. It also collects, processes and disseminates information on African affairs, and promotes awareness and consciousness of Africa at grassroots level.


Pg 19

AISA joined the HSRC with an approved research agenda for 2011 to 2015. The AISA research agenda 2016-2020 is expected to be finalised and approved for implementation in 2016/17. The working title for the new strategy is “Towards an African future” and it aims to focus on Africa’s medium term research needs, while remaining aligned with the longer-term continental Agenda, as articulated in the African Union’s Agenda 2063. The performance indicators detailed in the following sub-sections are aligned to this theme.

Through its work AISA intends to also contribute to the refinement and implementation of DST’s Africa strategy DST/HSRC research strategies, and to support networks, platforms and initiatives that promote collective Research, Development and Innovation (RDI) agendas. AISA will also continue to deliver on public dialogue and outreach activities including the campus lecture series and school programmes.

5.2.1 Strategic objectives programme performance indicators and annual targets for 2016/17 to 2018/19

Detailed strategic objectives, performance indicators and targets for the AISA programme are presented in Table 6 below. This programme has the following performance indicators and annual targets aligned to the strategic outcomes-oriented goals of the HSRC:

Table 6: AISA performance indicators and annual targets

No Strategic objective & perfor-mance indicator titles


2012/13 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19



1.1 Peer-reviewed journal articles by senior researchers

New New 0.25 1.0 1.4 1.4 1.4.

1.2 Scholarly books published: New New 3 3 3 4 4

1.3 Scholarly book chapters pub-lished

New New 9 7 7 8 8


1.8 The number of policy briefs pro-duced and published

New New (New) (New) 5 5 6

1.10 Number of government services or functions where HSRC re-search results provided decision support

New New New New 3

(with RDI)

3

(with RDI)

3

(with RDI)


1.11 Number of peer-reviewed journal articles per HSRC researcher.

New New New New 0.7 0.8 0.9



2.1 Active MoUs New New New (New) 5 5 5


Pg 20

No Strategic objective & perfor-mance indicator titles


2012/13 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19


2.3 African research fellows New New New 3 3 3 3

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


Objective 2C Undertaking research and analysis to address prioritised issues, notably poverty, inequality and inclusive development

2.5 Research projects completed New New New New 1 1 1

2.6 Research reports produced New New New 3 3 4 4



3.6 Students reached in the Re-search Seminars/Campus Lec-ture series

New New 579 550 550 600 600

3.7 Schools engaged in Outreach Programme

New New 191 180 190 190 195



4.2 Preserved library holdings New New 654 158 158 160 159



5.1 Senior researchers who are Af-rican

New New (100%) 85% 85% 85% 85%

5.2 Senior researchers who are fe-male

New New 25% 49% 49% 49% 50%


Pg 21



Table 7: Expenditure estimates - AISA

Programme Actual/Audited outcomesAdjusted appropriation

Medium-term expenditure estimate

R thousand 2012/13 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19Africa Institute of South Africa (AISA)

- - 26 298 39 108 41 484 43 942 46 545

Subtotal - - 26 298 39 108 41 484 43 942 46 545


- - - - - -

- - - - - -

Total - - 26 298 39 108 41 484 43 942 46 545Change to 2012/13 budget estimate

- - - - - - -


Current payments -

-

25 025

33 696 35 736

37 861

40 112

Compensation of employees

-

-

17 962

24 431 25 897

27 451

29 098

Goods and services -

-

7 063

9 265 9 839

10 410

11 014

Of which:


Computer services

-

-

- 616 654

692

732

Communication -

-

265

400 425

449

476


-

-

- - - -

-

Inventory -

-

3

- - -

-


-

-

594

184 195

207

219

Operating leases -

-

745

- - -

Training & staff development

-

-

128

246 261

276

292

Travel and subsistence

-

-

- 49 52

55

58

Research Costs -

-

3 618

5 075 5 390

5 702

6 033


-

-

1 710

2 695 2 862

3 028

3 204

Other costs -

-

1 273

597 634

671

710


Pg 22

Depreciation -

-

1 273

597 634

671

710

Transfers and subsidies to:

-

-

- 4 815 5 114

5 410

5 724

Universities and technikons

-

-

- - - -

-

Non-profit institutions -

-

- 4 815 5 114

5 410

5 724

Payment for capital assets

-

-

- - - -

Total -

-

26 298

39 108 41 484

43 942

46 545

5.3 programmE 3: administration

Purpose: 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.

5.3.1 Strategic objective annual targets for 2016/17 to 2018/19

Detailed strategic objectives and performance indicators are presented in Annexure B of this document. Table 8 below presents strategic objective performance targets for the Administration programme.

Table 8: Strategic objective annual targets – Administration

No Strategic objective & performance indicator titles


2012/13 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19



1.12 Number of peer-reviewed journal articles by HSRC author or authors with agreed-upon number of citations within a predetermined period following publication.

New New New New Indicator and target defined

To be deter-mined (Tbd)

Tbd


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

3.1 Master’s level interns 41 37 42 42 42 42 42

3.2 PhD level interns 42 43 45 49 49 49 49


Pg 23



2012/13 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19

3.3 Post-Doctoral Fellows 22 23 21 29 25 25 25



4.1 Preserved datasets 22 23 23 23 23 23 24

Objective 4B Managing and promoting secondary use of research data

4.3 Secondary analysis and recognition of preserved HSRC data

New New New New Preserved data sets linked to digital object identifiers (doi), Means to monitor citation and future perfor-mance targets agreed to.


Tbd


Objective 5B Ensuring awareness & proper reporting on transformation

5.3 Annual Employment Equity reports produced and submitted

100% 100% 100% 100% 100% 100% 100%

5.4 Quarterly Employment Equity reports produced

4 4 4 4 4 4 4

5.5 Diversity awareness events hosted

1 0 1 1 1 1 1

5.6 Gender awareness events hosted

1 1 1 1 1 1 1

Objective 5C Supporting ongoing organisational development and transformation

5.7 Ratio of senior researchers (SRS/SRM or higher) in relation to all HSRC staff

New New New New Indicator and target defined


Tbd


Objective 6B Promoting and implementing good corporate governance principles

6.3 Officials attending the anti-corruption campaign:

39% 62% 72.83% 80% 80% 80% 80%


Pg 24



2012/13 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19

6.4 Eligible officials who have declared their interests:

74% 100%% 99.77% 100% 100% 100% 100%

6.5 Compliance reports produced:

2 4 4 4 4 4 4

Objective 6C Upholding effective and efficient systems of financial management and internal control

6.6 Unqualified external audit report:

New 1 1 1 1 1 1

6.7 BBBEE Status: New 3 4 3 2 2 2

6.8 PPPFA compliance: New 100% 100% 100% 100% 100% 100%



Table 9: Expenditure estimates - Administration

Sub-Programme Actual/Audited outcomesAdjusted a p p r o -priation

Medium-term expenditure esti-mate

R thousand 2012/13 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19

Administration 148 725 145 168 152 314 177 249 187 612 198 274 209 977

Subtotal 148 725 145 168 152 314 177 249 187 612 198 274 209 977


- - - - - -

- - - - - -

Total 148 725 145 168 152 314 177 249 187 612 198 274 209 977

Change to 2013/14 budget esti-mate

- - - - - - -





Of which:

Agency and sup-port/outsourced services

- 6 509 8 081 7 730 8 209 8 685 9 189

Computer Services - -


Pg 25

Communication 4 827 7 843 7 486 9 327 9 935 10 546 11 158

Contractors & out-sourced services

14 484 9 231 11 936 12 598 13 379 14 155 14 976

Inventory - 3 926 4 937 5 233 5 557 5 880 6 221


11 411 9 501 14 692 16 350 17 366 18 376 19 442

Operating leases 6 791 6 825 5 986 6 613 7 026 7 437 7 868


3 747 1 403 1 135 1 751 1 847 1 940 2 053

Travel and subsis-tence

4 673 4 420 4 137 4 847 5 153 5 457 5 774

Research Costs - - - - - - -


11 144 - 4 100 1 306 1 342 1 082 1 145

Other costs 8 310 8 074 6 094 7 082

7 765 8 221 8 698

Depreciation 6 593 7 041 4 824 5 930 6 542 6 945 7 348

Interest and rent on land

1 717 1 033 1 270 1 152 1 223 1 276 1 350

Financial transactions in assets and liabilities

- - - - - - -

Transfers and subsidies to:

- - - 13 454 14 073 14 777 15 634

Universities and tech-nikons

- - - - - - -

Non-profit institutions

- - - 13 454 14 073 14 777 15 634

Payment for capital assets

- - - - - - -

Total 148 725 145 168 152 314 177 249 187 613 198 274 209 977

Performance and expenditure trends

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

Measures to be put in place to ensure that the strategic objectives continue to be realised include large-scale longitudinal and cross-sectional studies aimed to support government’s monitoring and evaluation mandate.


Pg 26

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lly d

epre

ciat

ed u

n-in

terr

uptib

le p

ower

sup

ply

clea

n po

wer

to

net

wor

k co

mpu

ter

equi

pmen

t an

d ot

her

esse

ntia

l equ

ipm

ent

in t

he H

SR

C

Bui

ldin

g. M

ost

spar

e pa

rts

obso

lete

for

so

me

time.

If

it br

eaks

dow

n th

e la

ck o

f un

inte

rrup

tible

sup

ply

to n

etw

orks

and

ot

her

esse

ntia

l equ

ipm

ent

coul

d se

rious

ly

disr

upt

the

busi

ness

of

both

the

HS

RC

an

d th

e D

epar

tmen

t of

Soc

ial D

evel

op-

men

t.

A f

unct

iona

l and

rel

iabl

e U

PS

sy

stem

.1

200

000

-

Apr

il 20

16M

arch

20

17

Rep

lace

fire

eva

cuat

ion

syst

emFi

re e

vacu

atio

n pu

blic

ann

ounc

emen

t sy

stem

25

year

s ol

d an

d un

relia

ble

and

som

e co

mpo

nent

s ob

sole

te. A

nnou

nce-

men

ts d

urin

g bu

ildin

g em

erge

ncie

s un

-cl

ear

and

occu

pant

s at

ris

k if

evac

uatio

n in

stru

ctio

ns n

ot f

ollo

wed

.

Occ

upat

iona

l hea

lth a

nd s

afet

y co

mpl

ianc

e &

Impr

ovem

ent

in

build

ing

func

tiona

lity

1 10

0 00

0

-A

pril

2016

Mar

ch

2017

Upg

rade

of

pneu

mat

ic a

ir co

nditi

onin

g fa

n co

il un

its.

25 y

ear

old

pneu

mat

ic c

ontr

olle

rs o

n fa

n co

il un

its h

as b

ecom

e ob

sole

te a

nd

need

s to

be

repl

aced

with

FX

3 e

lect

ron-

ic c

ontr

ol u

nits

.(P

HA

SE

1)

Func

tiona

l pne

umat

ic c

ontr

olle

rs94

5 00

0

-A

pril

2016

Mar

ch

2017


Pg 28

No.

Pro

ject

Nam

eP

roje

ct d

escr

ipti

on/

Type

of

stru

ctur

eO

utpu

tsE

stim

ated

pr

ojec

t E

xpen

-di

ture

to

Pro

ject

dur

atio

n

Sta

rtFi

nish

Ele

ctric

al in

spec

tion

and

is-

sue

of c

ompl

ianc

e ce

rtifi

cate

Lega

l req

uire

men

ts. C

ompl

ianc

e w

ith

OH

S A

ct N

o. 8

5 of

199

3, S

AB

S C

ode

of p

ract

ice

for

Wiri

ng o

f P

rem

ises

No.

S

AN

S 1

0142

-1 a

nd 1

0142

-2 a

s w

ell a

s N

atio

nal B

uild

ing

Reg

ulat

ions

Occ

upat

iona

l hea

lth a

nd s

afet

y co

mpl

ianc

e &

Impr

ovem

ent

in

build

ing

func

tiona

lity

675

000

-

Apr

il 20

16M

arch

20

17

Inst

alla

tion

of s

peed

driv

es

on e

lect

ric m

otor

sIn

stal

latio

n of

spe

ed d

rives

on

larg

e 3-

phas

e el

ectr

ic m

otor

s dr

astic

ally

re

duce

pow

er c

onsu

mpt

ion

and

impr

ove

effic

ienc

y of

mot

ors

Func

tiona

l ele

ctric

mot

ors

able

to

save

pow

er60

6 70

0

-A

pril

2016

Mar

ch

2017

Cre

ate

faci

litie

s fo

r di

ffer

ent-

ly a

bled

Con

vert

a n

umbe

r of

exi

stin

g ab

lutio

n fa

cilit

ies

to f

ully

com

ply

with

rel

evan

t st

anda

rds

for

thes

e fa

cilit

ies.

Inst

alla

tion

of w

heel

chai

r ra

mps

in c

onfe

renc

e au

di-

toriu

ms

and

othe

r ar

eas

to c

ompl

y w

ith

rele

vant

sta

ndar

ds.

Occ

upat

iona

l hea

lth a

nd s

afet

y co

mpl

ianc

e &

Impr

ovem

ent

in

build

ing

func

tiona

lity

561

000

-

Apr

il 20

16M

arch

20

17

Ref

urbi

shm

ent

of P

iete

r-m

aritz

burg

off

ice

Res

earc

h fr

om t

his

offic

e to

con

tinue

for

at

leas

t fo

ur m

ore

year

s. H

SR

C r

espo

n-si

ble

for

mai

nten

ance

of

build

ing

inte

rior

and

occu

patio

nal h

ealth

and

saf

ety.

Occ

upat

iona

l hea

lth a

nd s

afet

y co

mpl

ianc

e &

Impr

ovem

ent

in

build

ing

func

tiona

lity

350

000

-

Apr

il 20

16M

arch

20

17

NA

E n

etw

ork

cont

rolle

r fo

r B

uild

ing

Man

agem

ent

Sys

-te

m (

BM

S)

BM

S is

15

year

s ol

d an

d un

relia

ble.

B

MS

cap

acity

and

no

mor

e po

wer

sav

ing

devi

ces

able

to

conn

ect.

Una

ble

to m

eet

our

ener

gy s

avin

gs t

arge

ts if

we

can’

t co

nnec

t eq

uipm

ent

and

cont

rol w

ith

BM

S.

Func

tiona

l BM

S t

hat

is r

elia

ble

511

000

-A

pril

2016

Mar

ch

2017

Rep

lace

men

t of

bas

emen

t ex

trac

tor

fans

Equ

ipm

ent

25 y

ears

old

and

sho

uld

it fa

il, d

ange

rous

CO

2 an

d ca

rbon

mon

-ox

ide

fum

es n

ot e

xtra

cted

fro

m p

arki

ng

base

men

t ca

n le

ad t

o an

occ

upat

iona

l sa

fety

haz

ard.

Equ

ipm

ent

unre

liabl

e w

ith

freq

uent

bre

ak d

owns

.

Func

tiona

l ext

ract

or f

ans

270

000

-

Apr

il 20

16M

arch

20

17


Pg 29

No.

Pro

ject

Nam

eP

roje

ct d

escr

ipti

on/

Type

of

stru

ctur

eO

utpu

tsE

stim

ated

pr

ojec

t E

xpen

-di

ture

to

Pro

ject

dur

atio

n

Sta

rtFi

nish

Rep

lace

men

t of

cat

erin

g ki

tche

n eq

uipm

ent

Equ

ipm

ent

25 y

ears

old

and

cer

tain

co

mpo

nent

s on

dee

p fr

yers

, tilt

ing

pans

, di

shw

ashe

r an

d fr

eeze

rs o

bsol

ete.

Func

tiona

l and

rel

iabl

e fr

idge

s an

d fr

eeze

rs.

235

000

-

Apr

il 20

16M

arch

20

17

Rep

lace

men

t of

mot

or v

ehic

leR

epla

ce e

xist

ing

nine

yea

r ol

d fu

lly

depr

ecia

ted

mai

nten

ance

bak

kie

and

two

deliv

ery

vehi

cles

.

Func

tiona

l mot

or v

ehic

le t

o fa

cili-

tate

res

earc

h ac

tiviti

es80

0 00

0

-A

pril

2016

Mar

ch

2017

Rep

lace

men

t se

wer

age

sum

p pu

mps

and

pip

esO

ld p

umps

unr

elia

ble

and

whe

n pu

mps

fa

il, s

afet

y an

d he

alth

ris

k w

hen

base

-m

ent

flood

s

Func

tiona

l, sa

fe a

nd e

cono

mic

al

Gal

vani

sed

stor

m w

ater

& S

ew-

erag

e pi

t pi

pes

and

Chi

lled

wat

er

shut

-off

val

ves.

157

300

-

Apr

il 20

16M

arch

20

17

Rep

lace

men

t of

sto

rm w

ater

su

mp

pum

psO

ld p

umps

unr

elia

ble

and

whe

n pu

mps

fa

il, s

afet

y ris

k du

e to

bas

emen

t flo

odin

gFu

nctio

nal,

safe

and

eco

nom

ical

G

alva

nise

d st

orm

wat

er &

Sew

-er

age

pit

pipe

s an

d C

hille

d w

ater

sh

ut-o

ff v

alve

s.

120

000

-A

pril

2016

Mar

ch

2017

Upg

rade

of

curr

ent

PAB

X in

al

l fiv

e H

SR

C o

ffic

esPA

BX

10

year

s ol

d an

d so

ftw

are

and

cost

tab

les

outd

ated

and

som

e co

mpo

-ne

nts

and

mod

ules

obs

olet

e

Func

tiona

l PA

BX

sys

tem

2 50

0 00

0A

pril

2016

Mar

ch

2017

Upg

rade

of

CC

TV s

urve

il-la

nce

and

elec

tron

ic a

cces

s co

ntro

l sys

tem

s in

all

five

H

SR

C o

ffic

es

Poo

r pi

ctur

e qu

ality

fro

m a

gein

g C

CTV

ca

mer

as a

ffec

ting

qual

ity r

ecor

ding

and

ha

mpe

ring

thef

t in

vest

igat

ions

. Acc

ess

cont

rol e

quip

men

t an

d so

ftw

are

up-

grad

es r

equi

red

to r

un o

n la

ter

gene

ra-

tion

com

pute

rs.

Func

tiona

l CC

TV c

amer

as a

nd

soft

war

e2

200

000

Apr

il 20

16M

arch

20

17

Com

plet

e re

furb

ishm

ent

of

build

ing

to a

ccom

mod

ate

new

ly in

corp

orat

ed o

r ad

ded

staf

f an

d re

sour

ces.

In A

pril

2014

the

Afr

ica

Inst

itute

of

Sou

th

Afr

ica

(AIS

A)

was

inco

rpor

ated

into

the

H

SR

C. I

nitia

l ref

urbi

shm

ents

to

acco

m-

mod

ate

staf

f an

d re

sour

ces,

incl

udin

g a

valu

able

libr

ary

reso

urce

ope

n to

the

pu

blic

and

GIS

equ

ipm

ent

mus

t no

w b

e fo

llow

ed b

y fu

rthe

r re

finem

ents

. New

st

aff

and

func

tions

ass

ocia

ted

with

dat

a ca

ptur

ing,

dat

a an

alys

is a

nd s

torin

g of

cr

itica

l sur

vey

data

als

o pl

ace

chal

leng

es

on t

he c

urre

nt b

uild

ing

conf

igur

atio

n.

Ade

quat

e of

fice

spac

e fo

r al

l st

aff

and

stor

age

faci

litie

s fo

r th

e H

RS

C a

fter

Inco

rpor

atio

n

3 00

0 00

0A

pril

2016

Mar

ch

2017

Tota

l upg

rade

s an

d ad

ditio

ns67

303

000

-


Pg 30

AN

NE

XU

RE

S

Ann

exur

e A

: M

ater

ialit

y an

d si

gnif

ican

ce f

ram

ewor

k

Mat

eria

lity

Fram

ewor

k in

ter

ms

of T

reas

ury

Reg

ulat

ions

28.

1.5

1.

Intr

oduc

tion

In t

erm

s of

Tre

asur

y R

egul

atio

n 28

.1.5

, the

acc

ount

ing

auth

ority

mus

t de

velo

p an

d ag

ree

a fr

amew

ork

of a

ccep

tabl

e le

vels

of

mat

eria

lity

and

sign

ifica

nce

with

th

e re

leva

nt e

xecu

tive

auth

ority

in c

onsu

ltatio

n w

ith t

he e

xter

nal a

udito

rs. (

Mat

eria

l & s

igni

fican

ce a

re d

efin

ed in

the

PFM

A in

sec

tions

50(

1), 5

5(2)

, 66(

1) a

nd

54(2

) re

spec

tivel

y.)

2.

Fram

ewor

k

3.1

F

iduc

iary

dut

ies

of t

he a

ccou

ntin

g au

thor

ity

(P

FMA

sec

tion

50)

Qua

ntit

ativ

e (A

mou

nt)

Qua

litat

ive

(Nat

ure)

(1)

The

acco

untin

g au

thor

ity m

ust

-

(c)

on re

ques

t, d

iscl

ose

to t

he e

xecu

tive

auth

ority

resp

onsi

ble

for

that

pub

-lic

ent

ity o

r th

e le

gisl

atur

e to

whi

ch t

he p

ublic

ent

ity is

acc

ount

able

, all

mat

eria

l fa

cts,

incl

udin

g th

ose

reas

onab

ly d

isco

vera

ble,

whi

ch in

any

w

ay in

fluen

ce t

he d

ecis

ions

or

actio

ns o

f the

exe

cutiv

e au

thor

ity o

r th

at

legi

slat

ure.

Any

fact

dis

cove

red

of w

hich

the

am

ount

ex-

ceed

s th

e de

term

ined

mat

eria

lity

figur

e as

ca

lcul

ated

in A

nnex

ure

A.

1.

Any

item

or

even

t of

whi

ch s

peci

fic d

is-

clos

ure

is r

equi

red

by la

w

2.

Any

fact

dis

cove

red

of w

hich

its

omis

sion

or

mis

stat

emen

t, in

the

Boa

rd’s

opi

nion

, cou

ld in

-flu

ence

the

dec

isio

ns o

r ac

tions

of

the

exec

utiv

e au

thor

ity o

r le

gisl

atur

e.

3.2

Ann

ual r

epor

t an

d fi

nanc

ial s

tate

men

ts

(P

FMA

sec

tion

55)

Qua

ntit

ativ

e (A

mou

nt)

Qua

litat

ive

(Nat

ure)

(2)

The

annu

al r

epor

t an

d fin

anci

al s

tate

men

ts r

efer

red

to i

n su

bsec

tion

(1)

(d)

mus

t

(a)

fairl

y pr

esen

t the

sta

te o

f aff

airs

of t

he p

ublic

ent

ity, i

ts b

usin

ess,

its

fi-na

ncia

l res

ults

, its

per

form

ance

aga

inst

pre

dete

rmin

ed o

bjec

tives

and

its

fin

anci

al p

ositi

on a

s at

the

end

of

the

finan

cial

yea

r co

ncer

ned.

(b)

incl

ude

part

icul

ars

of


Pg 31

•

any

mat

eria

l los

ses

thro

ugh

crim

inal

con

duct

and

any

irre

gula

r ex

pen-

ditu

re a

nd fr

uitle

ss a

nd w

aste

ful e

xpen

ditu

re t

hat

occu

rred

dur

ing

the

finan

cial

yea

r;

•

any

crim

inal

or

disc

iplin

ary

step

s ta

ken

as a

co

nseq

uenc

e of

suc

h lo

sses

or

irreg

ular

exp

endi

ture

or

frui

tless

and

was

tefu

l exp

endi

ture

;

•

any

loss

es r

ecov

ered

or

writ

ten

off;

•

any

finan

cial

ass

ista

nce

rece

ived

fro

m t

he s

tate

and

com

mitm

ents

m

ade

by t

he s

tate

on

its b

ehal

f; a

nd

•

any

othe

r m

atte

rs t

hat

may

be

pres

crib

ed

1.

Loss

es

thro

ugh

crim

inal

co

nduc

t –

any

loss

iden

tifie

d.

2.

Loss

es

thro

ugh

irreg

ular

, fr

uitle

ss

or

was

tefu

l exp

endi

ture

Any

iden

tifie

d lo

ss t

hrou

gh c

rimin

al c

ondu

ct.

3.3

Info

rmat

ion

to b

e su

bmit

ted

by t

he a

ccou

ntin

g au

thor

ity

(P

FMA

sec

tion

54)

Qua

ntit

ativ

e (A

mou

nt)

Qua

litat

ive

(Nat

ure)

(2)

Bef

ore

a pu

blic

ent

ity c

oncl

udes

any

of

the

follo

win

g tr

ansa

ctio

ns, t

he

acco

untin

g au

thor

ity f

or t

he p

ublic

ent

ity m

ust

prom

ptly

and

in w

ritin

g in

form

the

rele

vant

tre

asur

y of

the

tra

nsac

tion

and

subm

it re

leva

nt p

ar-

ticul

ars

of t

he t

rans

actio

n to

its

exec

utiv

e au

thor

ity f

or a

ppro

val o

f th

e tr

ansa

ctio

n:

(a)

est

ablis

hmen

t or

par

ticip

atio

n in

the

est

ablis

hmen

t of

a c

ompa

ny;

Not

app

licab

le

(b)

part

icip

atio

n in

a s

igni

fican

t pa

rtne

rshi

p, t

rust

, un

inco

rpor

ated

joi

nt

vent

ure

or s

imila

r ar

rang

emen

t;A

bove

the

mat

eria

lity

figur

e as

def

ined

in

the

fram

ewor

kA

ny p

artic

ipat

ion,

out

side

of

the

appr

oved

str

ate-

gic

plan

and

bud

get.

(c)

acqu

isiti

on o

r di

spos

al o

f a

sign

ifica

nt s

hare

hold

ing

in a

com

pany

; N

ot a

pplic

able

Any

acq

uisi

tion

or d

ispo

sal,

outs

ide

of t

he a

p-pr

oved

str

ateg

ic p

lan

and

budg

et.

(d)

acqu

isiti

on o

r di

spos

al o

f a

sign

ifica

nt a

sset

;A

bove

the

mat

eria

lity

figur

e as

def

ined

in

the

fram

ewor

k1.

A

ny a

sset

tha

t w

ould

incr

ease

or

decr

ease

the

ov

eral

l ope

ratio

nal f

unct

ions

of t

he e

ntity

, out

-si

de o

f th

e ap

prov

ed s

trat

egic

pla

n an

d bu

d-ge

t.

2.

Dis

posa

l of t

he m

ajor

par

t of

the

ass

ets

of t

he

entit

y.


Pg 32

(e)

com

men

cem

ent

or c

essa

tion

of a

sig

nific

ant

busi

ness

act

ivity

;

(f)

a s

igni

fican

t cha

nge

in th

e na

ture

or e

xten

t of i

ts in

tere

st in

a s

igni

fican

t pa

rtne

rshi

p, t

rust

, uni

ncor

pora

ted

join

t ve

ntur

e or

sim

ilar

arra

ngem

ent.

Not

app

licab

leA

ny b

usin

ess

activ

ity t

hat

wou

ld i

ncre

ase

or d

e-cr

ease

the

ove

rall

oper

atio

nal

func

tions

of

the

entit

y, o

utsi

de o

f th

e ap

prov

ed s

trat

egic

pla

n an

d bu

dget

.

3.

Det

erm

inat

ion

of M

ater

ialit

y

2015

/16

Bud

get

2016

/17

Bud

get

2017

/18

Bud

get

Mat

eria

lity

base

s%

of

reve

nue

(1%

)R

’000

Mat

eria

lity

(R’0

00)

R’0

00M

ater

ialit

y (R

’000

)R

’000

Mat

eria

lity

(R’0

00)

Tota

l rev

enue

& m

ater

ialit

y am

ount

s48

1 87

44

819

510

525

5 10

554

0 11

55

401

Due

to

the

busi

ness

nat

ure

of t

he H

SR

C, i

t is

not

a c

apita

l int

ensi

ve b

usin

ess

and

the

best

indi

cato

r w

ith r

egar

d to

bus

ines

s ac

tivity

is r

even

ue.

For

this

rea

son,

m

ater

ialit

y ha

s be

en li

nked

to

reve

nue

and

1% is

an

appr

opria

te le

vel f

or t

he a

tten

tion

of t

he A

ccou

ntin

g A

utho

rity,

giv

en t

he le

vel o

f the

HS

RC

’s o

vera

ll re

venu

e.

4.

App

rova

l

……

……

……

……

……

……

.

Ms

N. B

adsh

a

Cha

ir of

HSR

C B

oard

……

……

……

……

……

…

Min

iste

r Nal

edi P

ando

r

Dep

artm

ent o

f Sci

ence

& T

echn

olog

y


Pg 33

AN

NE

XU

RE

B: S

TRA

TEG

IC P

ER

FOR

MA

NC

E IN

DIC

ATO

RS

AN

D

TAR

GE

TS F

OR

201

6/17

TO

202

0/21

No

Per

form

ance

In

dica

tor

Des

crip

tion

Aud

ited

Per

form

ance

Per

form

ance

tar

gets

Rem

arks

2012

/13

2013

/14

2014

/15

2015

/16

2016

/17

2017

/18

2018

/19

2019

/20

2020

/21

1A

- A

dvan

cing

kno

wle

dge

and

scie

ntif

ic e

xcel

lenc

e

Obj

ecti

ve 1

A D

isse

min

atin

g of

kno

wle

dge

thro

ugh

publ

icat

ions

and

pub

lic d

ialo

gue

1.1

Pee

r-re

view

ed jo

urna

l art

icle

s:

Num

ber

of p

eer-

revi

ewed

jo

urna

l art

icle

s pu

blis

hed

in

inte

rnat

iona

lly-r

ecog

nise

d (I

SI o

r IB

SS

-list

ed)

scie

ntifi

c jo

urna

ls,

per

seni

or r

esea

rche

r (S

RS

/S

RM

or

high

er)

durin

g th

e pe

riod

unde

r re

view

.

1.77

1.

75[1

14/6

5]1.

83

(121

/66)

1.9

1.4

1.4

1.4.

1.4

1.4

Non

-cu

mul

ativ

e

1.2

Sch

olar

ly b

ooks

pub

lishe

d:

Num

ber

of r

ecog

nise

d bo

oks

with

at

leas

t on

e H

SR

C

rese

arch

er li

sted

as

auth

or o

r co

-aut

hor,

publ

ishe

d du

ring

the

perio

d un

der

revi

ew.

813

1616

2222

2424

24N

on-

cum

ulat

ive

1.3

Sch

olar

ly b

ook

chap

ters

pu

blis

hed:

Num

ber

of r

ecog

nise

d bo

ok

chap

ters

with

at

leas

t on

e H

SR

C

rese

arch

er li

sted

as

auth

or o

r co

-aut

hor,

publ

ishe

d du

ring

the

perio

d un

der

revi

ew

3940

5454

6365

6870

70N

on-

cum

ulat

ive


Pg 34

No

Per

form

ance

In

dica

tor

Des

crip

tion

Aud

ited

Per

form

ance

Per

form

ance

tar

gets

Rem

arks

2012

/13

2013

/14

2014

/15

2015

/16

2016

/17

2017

/18

2018

/19

2019

/20

2020

/21

1.4

Pub

licat

ions

fro

m r

ing-

fenc

ed

fund

ing:

Num

ber

of S

tate

of t

he N

atio

n bo

ok v

olum

es p

ublis

hed

durin

g th

e pe

riod

unde

r re

view

.

New

In

dica

tor,

but

1 w

as

publ

ishe

d

New

Indi

cato

r, bu

t 1

was

pu

blis

hed

New

In

dica

tor,

but

1 w

as

publ

ishe

d

11

11

11

Non

-cu

mul

ativ

e

1.5

HS

RC

res

earc

h se

min

ars

conv

ened

:

Num

ber

of H

SR

C h

uman

ities

an

d so

cial

sci

ence

s re

sear

ch

sem

inar

s ho

sted

dur

ing

the

perio

d un

der

revi

ew.

4551

5850

5050

5050

50N

on-

cum

ulat

ive

1.6

HS

RC

Rev

iew

pub

licat

ion:

The

num

ber

of H

SR

C R

evie

w

publ

icat

ions

pro

duce

d du

ring

the

year

und

er r

evie

w.

45

66

44

44

4N

on-

cum

ulat

ive

1.7

New

pub

lishi

ng im

prin

t:

The

num

ber

of t

itles

pub

lishe

d un

der

the

new

“B

est

Red

” pu

blis

hing

impr

int.

New

33

55

55

55

Non

-cu

mul

ativ

e

Obj

ecti

ve 1

B I

nfor

min

g ef

fect

ive

form

ulat

ion

of g

over

nmen

t po

licy

1.8

Pol

icy

brie

fs:

The

num

ber

of p

olic

y br

iefs

pr

oduc

ed b

y H

SR

C r

esea

rche

rs

and

publ

ishe

d by

the

HS

RC

du

ring

the

perio

d un

der

revi

ew.

88

2322

2020

2121

22N

on-

cum

ulat

ive


Pg 35

No

Per

form

ance

In

dica

tor

Des

crip

tion

Aud

ited

Per

form

ance

Per

form

ance

tar

gets

Rem

arks

2012

/13

2013

/14

2014

/15

2015

/16

2016

/17

2017

/18

2018

/19

2019

/20

2020

/21

1.9

Targ

eted

pub

lic d

ialo

gues

:

Num

ber

of p

ublic

dia

logu

es o

n po

vert

y an

d in

equa

lity

host

ed

New

New

New

New

24

46

6N

on-

cum

ulat

ive

1.10

Dec

isio

n su

ppor

t:

Num

ber

of g

over

nmen

t se

rvic

es

or f

unct

ions

whe

re H

SR

C

rese

arch

res

ults

pro

vide

d de

cisi

on s

uppo

rt

New

New

New

New

33

33

3N

on-

cum

ulat

ive

Obj

ecti

ve 1

C P

rom

otin

g ex

celle

nce,

rea

ch a

nd im

pact

of

publ

icat

ions

1.11

Num

ber

of p

eer-

revi

ewed

jo

urna

l art

icle

s pu

blis

hed

in

ackn

owle

dged

sci

entif

ic jo

urna

ls,

per

HS

RC

res

earc

her.

New

New

New

New

0.7

0.8

0.9

11.

1N

on-

cum

ulat

ive

1.12

Num

ber

of p

eer-

revi

ewed

jour

nal

artic

les

by H

SR

C a

utho

r or

au

thor

s w

ith a

t le

ast

10 c

itatio

ns

liste

d w

ithin

5 y

ears

fro

m

publ

icat

ion.

New

New

New

New

Indi

cato

r an

d ta

rget

de

fined

To b

e de

term

ined

(T

bd)

Tbd

Tbd

Tbd

To b

e de

term

ined

2D

– D

evel

opin

g co

llabo

rati

ve n

etw

orks

and

app

lied

rese

arch

Obj

ecti

ve 2

A S

uppo

rtin

g co

llabo

rati

ve r

esea

rch

netw

orks

2.1

Act

ive

MoU

s:

The

num

ber

of a

ctiv

e M

emor

anda

of

Und

erst

andi

ng

(MoU

s) w

ith o

ther

res

earc

h in

stitu

tions

or

asso

ciat

ions

in

plac

e du

ring

the

perio

d un

der

revi

ew.

2741

4741

4141

4141

41N

on-

cum

ulat

ive


Pg 36

No

Per

form

ance

In

dica

tor

Des

crip

tion

Aud

ited

Per

form

ance

Per

form

ance

tar

gets

Rem

arks

2012

/13

2013

/14

2014

/15

2015

/16

2016

/17

2017

/18

2018

/19

2019

/20

2020

/21

2.2

Str

uctu

red

colla

bora

tive

re

sear

ch p

roje

cts

com

plet

ed:

The

num

ber

of c

ompl

eted

HS

RC

re

sear

ch p

roje

cts

invo

lvin

g st

ruct

ured

col

labo

ratio

n be

twee

n re

sear

ch p

rogr

amm

es

durin

g th

e pe

riod

unde

r re

view

.

4227

4218

1820

2020

20N

on-

cum

ulat

ive

Obj

ecti

ve 2

B P

rom

otin

g an

Afr

ican

res

earc

h ag

enda

2.3

Afr

ican

res

earc

h fe

llow

s:

The

num

ber

of r

esea

rch

fello

ws

from

els

ewhe

re in

Afr

ica

at t

he

HS

RC

.

1011

1417

1414

1414

14C

umul

ativ

e

2.4

Num

ber

of p

eer-

revi

ewed

jour

nal

artic

les

co-p

ublis

hed

with

re

sear

cher

s re

sidi

ng o

utsi

de

Sou

th A

fric

a, o

n th

e A

fric

an

cont

inen

t

New

New

New

New

46

810

10N

on-

cum

ulat

ive

Obj

ecti

ve 2

C U

nder

taki

ng r

esea

rch

and

anal

ysis

to

addr

ess

prio

riti

sed

issu

es,

nota

bly

pove

rty,

ineq

ualit

y an

d in

clus

ive

deve

lopm

ent

2.5

Res

earc

h pr

ojec

ts c

ompl

eted

:

The

num

ber

of r

esea

rch

proj

ects

co

mpl

eted

dur

ing

the

perio

d un

der

revi

ew.

1127

3519

2324

2525

25N

on-

cum

ulat

ive

2.6

Res

earc

h re

port

s pr

oduc

ed:

The

num

ber

of r

esea

rch

repo

rts

prod

uced

dur

ing

the

perio

d un

der

revi

ew.

1945

4929

3535

3636

36N

on-

cum

ulat

ive


Pg 37

No

Per

form

ance

In

dica

tor

Des

crip

tion

Aud

ited

Per

form

ance

Per

form

ance

tar

gets

Rem

arks

2012

/13

2013

/14

2014

/15

2015

/16

2016

/17

2017

/18

2018

/19

2019

/20

2020

/21

3E

– E

nhan

cing

res

earc

h sk

ills

and

publ

ic a

war

enes

s

Obj

ecti

ve 3

A A

ttra

ctin

g sk

ills

for

the

deve

lopm

ent

of a

ski

lled

& c

apab

le w

orkf

orce

3.1

Mas

ter’

s le

vel i

nter

ns:

The

num

ber

of in

tern

s (r

esea

rch

trai

nees

) en

rolle

d in

a M

aste

r’s

prog

ram

me,

app

oint

ed a

t th

e H

SR

C.

4137

4242

4242

4242

42C

umul

ativ

e

3.2

PhD

leve

l int

erns

:

The

num

ber

of in

tern

s (r

esea

rch

trai

nees

) en

rolle

d in

a P

hD

prog

ram

me,

app

oint

ed a

t th

e H

SR

C.

4243

4549

4949

4949

49C

umul

ativ

e

3.3

Pos

t-D

octo

ral F

ello

ws:

The

num

ber

of p

ost-

doct

oral

fe

llow

s ap

poin

ted

at t

he H

SR

C.

2223

2129

2525

2525

25C

umul

ativ

e

Obj

ecti

ve 3

B B

uild

ing

rese

arch

cap

acit

y fo

r th

e hu

man

sci

ence

s

3.4

Com

plet

ed M

aste

r’s

leve

l re

sear

ch in

tern

ship

:

The

num

ber

of in

tern

s (r

esea

rch

trai

nees

) en

rolle

d in

a M

aste

r’s

prog

ram

me

who

hav

e co

mpl

eted

th

e pr

ogra

mm

e du

ring

the

perio

d un

der

revi

ew.

New

86

95

56

7 7

Non

-cu

mul

ativ

e


Pg 38

No

Per

form

ance

In

dica

tor

Des

crip

tion

Aud

ited

Per

form

ance

Per

form

ance

tar

gets

Rem

arks

2012

/13

2013

/14

2014

/15

2015

/16

2016

/17

2017

/18

2018

/19

2019

/20

2020

/21

3.5

Com

plet

ed P

hD le

vel r

esea

rch

inte

rnsh

ip:

The

num

ber

of in

tern

s (r

esea

rch

trai

nees

) en

rolle

d in

a P

hD

prog

ram

me

who

hav

e co

mpl

eted

th

e pr

ogra

mm

e du

ring

the

perio

d un

der

revi

ew.

New

39

97

88

8 8

Non

-cu

mul

ativ

e

Obj

ecti

ve 3

C R

aisi

ng a

war

enes

s of

opp

ortu

niti

es a

nd c

ontr

ibut

ions

in s

ocia

l sci

ence

and

hum

anit

ies

rese

arch

3.6

Stu

dent

s re

ache

d in

the

R

esea

rch

Sem

inar

s/C

ampu

s Le

ctur

e se

ries

:

The

num

ber

of s

tude

nts

reac

hed

in t

he r

esea

rch

sem

inar

s/ca

mpu

s le

ctur

e se

ries

durin

g th

e pe

riod

unde

r re

view

.

New

New

579

550

550

600

600

650

700

Non

-cu

mul

ativ

e

3.7

Sch

ools

eng

aged

in O

utre

ach

Pro

gram

me:

The

num

ber

of s

choo

ls e

ngag

ed

in t

he O

utre

ach

Pro

gram

me

durin

g th

e pe

riod

unde

r re

view

.

New

New

191

180

190

190

195

195

195

Non

-cu

mul

ativ

e

3.8

Soc

ial s

cien

ce r

esea

rch

conf

eren

ces

The

num

ber

of A

nnua

l soc

ial

scie

nces

res

earc

h co

nfer

ence

ho

sted

dur

ing

the

perio

d un

der

revi

ew.

New

New

New

11

11

11

Non

-cu

mul

ativ

e


Pg 39

No

Per

form

ance

In

dica

tor

Des

crip

tion

Aud

ited

Per

form

ance

Per

form

ance

tar

gets

Rem

arks

2012

/13

2013

/14

2014

/15

2015

/16

2016

/17

2017

/18

2018

/19

2019

/20

2020

/21

3.9

Pla

tfor

ms

for

enga

ging

pol

icy

mak

ers

The

num

ber

of p

latf

orm

s fo

r en

gagi

ng p

olic

y m

aker

s es

tabl

ishe

d du

ring

the

perio

d un

der

revi

ew.

New

New

New

11

11

11

Cum

ulat

ive

4P

- P

rese

rvin

g an

d sh

arin

g da

ta f

or f

urth

er a

naly

sis

Obj

ecti

ve 4

A P

rese

rvin

g re

sear

ch d

ata

and

arte

fact

s

4.1

Pre

serv

ed d

atas

ets:

The

num

ber

of H

SR

C d

ata

sets

th

at w

ere

pres

erve

d (a

rchi

ved/

cura

ted)

dur

ing

the

perio

d un

der

revi

ew.

2223

2323

2323

2425

25N

on-

cum

ulat

ive

4.2

Pre

serv

ed li

brar

y ho

ldin

gs:

Dig

itise

d lib

rary

hol

ding

s; m

aps

and

phot

o co

llect

ion

durin

g th

e pe

riod

unde

r re

view

.

New

New

654

158

158

160

159

160

160

Non

-cu

mul

ativ

e

Obj

ecti

ve 4

B M

anag

ing

and

prom

otin

g se

cond

ary

use

of r

esea

rch

data

4.3

Sec

onda

ry a

naly

sis

and

reco

gnit

ion

of p

rese

rved

dat

a:

The

num

ber

of H

SR

C d

ata

sets

th

at a

re a

ppro

pria

tely

cite

d (u

sing

doi

ref

eren

ce)

in m

ore

than

5 p

ublic

atio

ns in

the

yea

r un

der

revi

ew. (

DO

I: D

igita

l ob

ject

iden

tifie

r)

New

New

New

New

Pre

serv

ed

HS

RC

dat

a se

ts li

nked

to

dig

ital

obje

ct

iden

tifie

rs

(doi

).

Mea

ns t

o m

onito

r ci

tatio

n of

da

tase

ts

and

futu

re

perf

or-

man

ce

targ

ets

agre

ed t

o.

To b

e de

term

ined

(T

bd)

Tbd

Tbd

Tbd

Non

-cu

mul

ativ

e


Pg 40

No

Per

form

ance

In

dica

tor

Des

crip

tion

Aud

ited

Per

form

ance

Per

form

ance

tar

gets

Rem

arks

2012

/13

2013

/14

2014

/15

2015

/16

2016

/17

2017

/18

2018

/19

2019

/20

2020

/21

5T-

Ins

titu

tion

al t

rans

form

atio

n

Obj

ecti

ve 5

A E

nsur

ing

ongo

ing

tran

sfor

mat

ion

at t

he le

vel o

f se

nior

res

earc

hers

5.1

Sen

ior

rese

arch

ers

who

are

A

fric

an:

The

perc

enta

ge o

f al

l res

earc

h-er

s at

sen

ior

leve

l (S

RS

/SR

M

and

abov

e) w

ho a

re A

fric

an.

35.3

8%

[23/

65]

45%

[29

/65]

42%

[28/

66]

56%

56%

56%

56%

56%

56%

Cum

ulat

ive

5.2

Sen

ior

rese

arch

ers

who

are

fe

mal

e:

The

perc

enta

ge o

f al

l res

earc

h-er

s at

sen

ior

leve

l (S

RS

/SR

M

and

abov

e) w

ho a

re f

emal

e.

New

48%

[3

1/65

]36

%

[24/

66]

49%

49%

49%

50%

50%

50%

Cum

ulat

ive

Obj

ecti

ve 5

B E

nsur

ing

awar

enes

s &

pro

per

repo

rtin

g on

tra

nsfo

rmat

ion

5.3

Ann

ual E

mpl

oym

ent

Equ

ity

repo

rts

prod

uced

:

Ann

ual e

mpl

oym

ent

equi

ty r

e-po

rt t

o D

epar

tmen

t of

Lab

our.

100%

100%

100%

100%

100%

100%

100%

100%

100%

Non

-cum

u-la

tive

5.4

Qua

rter

ly E

mpl

oym

ent

Equ

ity

repo

rts

prod

uced

:

Qua

rter

ly e

mpl

oym

ent

equi

ty

repo

rts

to t

he H

SR

C B

oard

.

44

44

44

44

4N

on-c

umu-

lativ

e

5.5

Div

ersi

ty a

war

enes

s ev

ents

ho

sted

:

The

num

ber

of d

iver

sity

aw

are-

ness

eve

nts

host

ed d

urin

g th

e pe

riod

unde

r re

view

.

10

11

11

11

1N

on-c

umu-

lativ

e


Pg 41

No

Per

form

ance

In

dica

tor

Des

crip

tion

Aud

ited

Per

form

ance

Per

form

ance

tar

gets

Rem

arks

2012

/13

2013

/14

2014

/15

2015

/16

2016

/17

2017

/18

2018

/19

2019

/20

2020

/21

5.6

Gen

der

awar

enes

s ev

ents

ho

sted

:

The

num

ber

of g

ende

r aw

are-

ness

eve

nts

host

ed d

urin

g th

e pe

riod

unde

r re

view

.

11

11

11

11

1N

on-c

umu-

lativ

e

Obj

ecti

ve 5

C S

uppo

rtin

g on

goin

g or

gani

sati

onal

dev

elop

men

t an

d tr

ansf

orm

atio

n

5.7

Rat

io o

f se

nior

res

earc

hers

(S

RS

/SR

M o

r hi

gher

) in

rel

atio

n to

all

HS

RC

sta

ff

New

New

New

New

Indi

cato

r an

d ta

rget

de

fined

To b

e de

term

ined

(T

bd)

Tbd

Tbd

Tbd

To b

e de

-te

rmin

ed

6S

- Fi

nanc

ial s

usta

inab

ility

Obj

ecti

ve 6

A E

nsur

ing

fina

ncia

l sus

tain

abili

ty b

y se

curi

ng e

xtra

-par

liam

enta

ry in

com

e

6.1

Ext

ra-P

arlia

men

tary

Inc

ome:

The

perc

enta

ge o

f to

tal i

ncom

e th

at is

ext

ra-P

arlia

men

tary

.

52.0

2%

[R20

3.7m

/ R

391.

6m]

43.6

8%

[R15

3.1m

/R

350.

6m]

39.7

3%

(R 1

62m

./

R 4

08m

)

48%

48%

48%

48%

48%

48%

Cum

ulat

ive

6.2

Mul

ti-y

ear

gran

ts:

The

perc

enta

ge o

f re

sear

ch

gran

ts t

hat

are

mul

ti-ye

ar (

at

leas

t th

ree

year

s).

51.5

6%

[33/

64]

44.7

4%

[34/

76]

52.1

3%

(49

/ 94

)

54%

56%

56%

56%

56%

56%

Cum

ulat

ive

Obj

ecti

ve 6

B P

rom

otin

g an

d im

plem

enti

ng g

ood

corp

orat

e go

vern

ance

pri

ncip

les

6.3

Off

icia

ls a

tten

ding

the

an-

ti-c

orru

ptio

n ca

mpa

ign:

The

perc

enta

ge o

f of

ficia

ls

atte

ndin

g th

e an

ti-co

rrup

tion

cam

paig

n.

39%

62%

72.8

3%80

%80

%80

%80

%90

%90

%N

on-c

umu-

lativ

e


Pg 42

No

Per

form

ance

In

dica

tor

Des

crip

tion

Aud

ited

Per

form

ance

Per

form

ance

tar

gets

Rem

arks

2012

/13

2013

/14

2014

/15

2015

/16

2016

/17

2017

/18

2018

/19

2019

/20

2020

/21

6.4

Elig

ible

off

icia

ls w

ho h

ave

decl

ared

the

ir in

tere

sts:

The

perc

enta

ge o

f el

igib

le

offic

ials

who

hav

e de

clar

ed t

heir

inte

rest

s.

74%

100%

%99

.77%

100%

100%

100%

100%

100%

100%

Non

-cum

u-la

tive

6.5

Com

plia

nce

repo

rts

prod

uced

:

The

num

ber

of c

ompl

ianc

e re

-po

rts

pres

ente

d an

d ap

prov

ed.

24

44

44

44

4N

on-c

umu-

lativ

e

Obj

ecti

ve 6

C U

phol

ding

eff

ecti

ve a

nd e

ffic

ient

sys

tem

s of

fin

anci

al m

anag

emen

t an

d in

tern

al c

ontr

ol

6.6

Unq

ualif

ied

exte

rnal

aud

it

repo

rt:

100%

unq

ualif

ied

resu

lts o

f th

e an

nual

sta

tuto

ry a

udits

ach

ieve

d fo

r th

e pe

riod

unde

r re

view

.

New

11

11

11

11

Non

-cum

u-la

tive

6.7

BB

BE

E S

tatu

s:

The

leve

l of

BB

BE

E s

tatu

s ac

hiev

ed f

or t

he p

erio

d un

der

revi

ew.

New

34

32

22

11

Non

-cum

u-la

tive

6.8

PP

PFA

com

plia

nce:

Perc

enta

ge c

ompl

ianc

e w

ith t

he

PP

PFA

req

uire

men

ts d

urin

g th

e pe

riod

unde

r re

view

.

New

100%

100%

100%

100%

100%

100%

100%

100%

Non

-cum

u-la

tive


Pg 43

AN

NE

XU

RE

C: H

SR

C P

RE

TOR

IA B

UIL

DIN

G IN

FRA

STR

UC

TUR

E

UP

GR

AD

E R

EQ

UIR

EM

EN

TS

The

list b

elow

con

tain

s a

sum

mar

y of

urg

ent a

nd e

ssen

tial u

pgra

des

requ

ired

to e

nsur

e bu

sine

ss c

ontin

uatio

n an

d to

com

ply

with

legi

slat

ion

such

as

the

Occ

upat

iona

l H

ealth

and

Saf

ety

Act

, Nat

iona

l Bui

ldin

g R

egul

atio

ns, E

lect

rical

Reg

ulat

ions

and

Loc

al A

utho

rity

Reg

ulat

ions

.

EQ

UIP

ME

NT/

SY

STE

M/

BU

ILD

ING

RE

AS

ON

S F

OR

RE

PL

AC

EM

EN

T/U

PG

RA

DE

CO

NS

EQ

UE

NC

ES

IF

NO

T U

PG

RA

DE

D

Uni

nter

rupt

able

Pow

er

Sup

ply

(UP

S)

24 y

ear

old

tech

nolo

gy

Unr

elia

ble

Spa

re p

arts

obs

olet

e

A b

reak

dow

n w

ould

for

ce H

SR

C t

o co

nnec

t se

nsiti

ve e

quip

men

t di

rect

ly t

o m

unic

ipal

pow

er s

uppl

y.

Bre

akdo

wn

in m

unic

ipal

sup

ply

or s

urge

s in

thi

s su

pply

cou

ld c

ause

m

ajor

dam

age

to c

ompu

ter

netw

ork

serv

ers,

fire

det

ectio

n an

d ot

her

secu

rity

equi

pmen

t.

Hea

ting,

Ven

tilat

ion,

Air

cond

ition

ing

(HV

AC

)24

yr

old

pneu

mat

ic c

ontr

ol s

yste

m o

utda

ted

and

unre

liabl

e

Pne

umat

ic s

yste

m s

pare

s ob

sole

te

Una

ble

to a

chie

ve o

ptim

um e

nerg

y sa

ving

s du

e to

out

date

d an

d in

effic

ient

equ

ipm

ent.

Ene

rgy

and

wat

er

cont

rol

No

wat

er u

sage

mon

itorin

g re

sult

in w

ater

was

tage

Mor

e eq

uipm

ent

to b

e ad

ded

to e

xist

ing

Bui

ldin

g M

anag

emen

t S

yste

m (

BM

S),

for

ex

ampl

e, p

umps

, fan

mot

ors,

etc

. to

cont

rol e

nerg

y co

nsum

ptio

n

Spe

ed d

rives

to

be in

stal

led

on la

rge,

hig

h-co

nsum

ptio

n, e

lect

ric m

otor

s to

ach

ieve

up

to

50%

sav

ing

on e

lect

ricity

If w

e do

not

spe

nd C

apex

on

the

impr

ovem

ent

and

mod

erni

zatio

n of

exi

stin

g co

ntro

l sys

tem

s, w

e w

ill n

ever

be

able

to

furt

her

impr

ove

on e

nerg

y an

d w

ater

sav

ings

, the

reby

bei

ng u

nabl

e to

ach

ieve

ta

rget

s fo

r en

ergy

sav

ing

in p

ublic

bui

ldin

gs.

Fire

Eva

cuat

ion

Sys

tem

24-y

ear

old

publ

ic a

ddre

ss s

yste

m f

or e

mer

genc

y an

noun

cem

ents

Sys

tem

unr

elia

ble

due

to a

gein

g

Spa

re p

arts

obs

olet

e

The

syst

em f

aile

d us

on

a fe

w o

ccas

ions

dur

ing

evac

uatio

n dr

ills

resu

lting

in a

com

mun

icat

ion

brea

kdow

n an

d ch

aos.

A s

tam

pede

in e

vacu

atio

n st

airw

ells

can

lead

to

serio

us in

jurie

s.

Lift

sLi

ft c

ontr

ol g

ear

is o

utda

ted

and

unre

liabl

e

Som

e co

mpo

nent

s di

ffic

ult

to s

ourc

e

Ext

ende

d eq

uipm

ent

dow

ntim

e du

e to

sca

rce

com

pone

nts

caus

e co

nges

tions

in li

ft f

oyer

s an

d lo

ng li

ft w

aitin

g pe

riods

. Out

date

d an

d un

relia

ble

equi

pmen

t ca

n le

ad t

o oc

cupa

tiona

l saf

ety

haza

rd

due

to e

quip

men

t fa

ilure

dur

ing

lift

trav

el.


Pg 44

EQ

UIP

ME

NT/

SY

STE

M/

BU

ILD

ING

RE

AS

ON

S F

OR

RE

PL

AC

EM

EN

T/U

PG

RA

DE

CO

NS

EQ

UE

NC

ES

IF

NO

T U

PG

RA

DE

D

Wat

er R

etic

ulat

ion

Sys

tem

Gal

vani

zed

stor

m w

ater

pip

es f

rom

roo

fs t

o gr

ound

are

rus

ted

in a

reas

and

leak

ing

Chi

lled

wat

er s

hut-

off

valv

es o

n flo

ors

corr

oded

and

una

ble

to s

hut

fully

Pip

es in

sew

erag

e pi

t ru

sted

and

pitt

ed d

ue t

o hi

gh u

ric a

cid

conc

entr

atio

ns

Sho

uld

stor

m w

ater

pip

es n

ot b

e re

plac

ed, f

lood

dam

age

to o

ffic

e flo

ors

and

build

ing

coul

d oc

cur

durin

g he

avy

rain

.

Shu

t-of

f va

lves

nee

d to

be

clos

ed s

houl

d an

AC

pip

e bu

rst

on a

flo

or. I

f th

e va

lve

cann

ot b

e cl

osed

ser

ious

wat

er d

amag

e in

off

ices

w

ill o

ccur

.

Occ

upat

iona

l hea

lth a

nd s

afet

y ha

zard

.

Con

fere

nce

Aud

itoriu

ms

The

seat

ing

show

s w

ear

and

tear

in s

win

g m

echa

nism

s

Ligh

t di

mm

er c

ontr

ol s

yste

m is

obs

olet

e an

d no

long

er f

unct

ioni

ng c

orre

ctly

Con

fere

nce

dele

gate

fac

ilitie

s ob

sole

te a

nd s

cale

d do

wn

faci

lity

in u

se

Car

pets

nee

ds t

o be

rep

lace

d af

ter

24 y

ears

due

to

serio

us w

ear

and

tear

A f

ailu

re in

a c

hair

swin

g ar

m c

an r

esul

t in

ser

ious

inju

ry.

Poo

r lig

ht d

imm

er c

ontr

ol c

ause

flic

kerin

g w

hich

is in

conv

enie

nt a

nd

also

a h

ealth

haz

ard.

Diff

icul

ty in

com

mun

icat

ion

from

the

flo

or d

urin

g co

nfer

ence

s.

Vid

eoco

nfer

enci

ng

faci

litie

sA

gein

g vi

deoc

onfe

renc

e fa

cilit

ies

in P

reto

ria, C

ape

Tow

n an

d D

urba

n (n

o vi

deoc

on-

fere

nce

link

to P

ort

Eliz

abet

h)

Com

pone

nts

and

inte

rfac

ing

equi

pmen

t be

cam

e ob

sole

te a

nd e

quip

men

t t

hus

diff

i-cu

lt to

rep

air

Equ

ipm

ent

no lo

nger

com

patib

le w

ith t

hose

of

othe

r in

stitu

tions

usi

ng s

tate

-of-

the

art

faci

litie

s

Due

to

the

fact

tha

t eq

uipm

ent

beco

mes

unr

elia

ble

it br

eaks

dow

n m

ore

ofte

n ca

usin

g lo

ng d

elay

s in

link

-ups

res

ultin

g in

was

ting

of

prec

ious

tim

e du

ring

mee

tings

.

Faci

litie

s fo

r di

ffer

ently

ab

led

staf

f an

d vi

sito

rsB

uild

ing

does

not

ful

ly c

ompl

y w

ith r

equi

red

stan

dard

s, e

.g. r

ecep

tion

coun

ter,

abse

nce

of r

amps

in a

udito

rium

, onl

y a

few

abl

utio

n fa

cilit

ies

that

com

ply

with

new

in

dust

ry s

tand

ards

We

do n

ot f

ully

com

ply

with

indu

stry

sta

ndar

ds a

nd t

he r

elev

ant

legi

slat

ion

that

reg

ulat

e th

ese

faci

litie

s

Bui

ldin

g pa

int

coat

and

w

ater

proo

fing

Bui

ldin

g w

as p

aint

ed 1

3 ye

ars

ago

and

show

s se

rious

wea

r an

d te

ar in

som

e ar

eas

Wat

erpr

oofin

g of

roo

f an

d ho

rizon

tal s

urfa

ces

as w

ell a

s jo

int

seal

ing

of w

indo

w

fram

es d

eter

iora

ting

Reg

ular

pai

ntin

g pr

otec

ts t

he b

uild

ing

stru

ctur

e w

hile

wat

erpr

oofin

g an

d jo

int

seal

ing

prev

ent

wat

er p

enet

ratio

n in

to b

asem

ents

and

co

ncre

te s

truc

ture

Caf

eter

ia k

itche

n w

alk-

in f

ridge

s an

d fr

eeze

rs24

yr

old

cust

om b

uilt

refr

iger

atio

n ro

oms

(age

ing

and

unre

liabl

e)

Isol

atio

n in

wal

ls d

eter

iora

ting

resu

lting

in in

effic

ient

coo

ling/

free

zing

Floo

rs c

orro

ded

The

corr

osio

n of

wal

l and

flo

or p

anel

s to

geth

er w

ith is

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ANNEXURE D: TECHNICAL INDICATOR DESCRIPTIONS

indicator 1.1: pEEr-rEviEWEd Journal articlEsIndicator title Peer-reviewed journal articles

Short definition

Ratio:The number of articles with at least one senior HSRC researcher (SRS/SRM and above) listed as author or co-author, published during the period under review in internationally accredited peer-reviewed journals divided by the number of senior researchers (SRS/SRM and above) 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, internationally accredited journals) of HSRC work.Peer-review process ensures that HSRC work is subject to independent scrutiny and quality controlProof of research excellence is critical for research findings to be taken seriously, and to be able to attract research collabora-tors and research funding.Publication in internationally accredited journals ensure that research findings are made publicly available – aligned with HSRC mandated objectives

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 senior HSRC researcher (SRS/SRM and above) listed as 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 SRS/SRM and 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.1. The Sciences Citation Index of the Institute of Scientific Information (ISI)2. The Social Sciences Citation Index of the ISI3. The Arts and Humanities Citation Index of the ISI4. The International Bibliography of Social Sciences (IBSS)More detail on count of peer-reviewed articles:• The following types of contributions appearing in journals are not counted as articles: 1. Correspondence to the editors 2. Abstracts or extended abstracts 3. Obituaries 4. Book reviews 5. News articles 6. Advertorials7. EditorialsIn addition to peer-reviewed articles produced by authors appearing on the list of current staff members at the level of SRS/SRM or higher, 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 Information Services (IS).

• 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 excluded for purposes of calculating performance against this target, hence a publication by an African Research Fellow employed by the HSRC will count towards the numerator if co-published with another HSRC staff member or staff members, but African Research Fellows will not be counted in the denominator.


Pg 46

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

Non-cumulative

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: HRRatio: RMS (IT)

indicator 1.2: scholarlY BooKs puBlishEdIndicator title Scholarly books published

Short definition

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

Purpose/importance

Indicator for research excellence: Productivity of HSRC research staff (number of recognised 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.Publication 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 Management System (RMS), drawing information from • Research outputs database (IS) (book chapters or books captured in the database)


a. 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 IS for purposes of capturing.

• The DCEO: Research or designate will confirm recognition of the publication as a scholarly book chapter or book, prior to capturing.

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

• Excluded: 1. Dissertations and theses2. Text books, manuals and study guides3. Inaugural speeches 4. Works of fiction5. Translations6. Documentation of case studies7. Book reviews8. Dictionaries9. Encyclopaedia10. Autobiographies.

More detail on count of books:1. Count of books: Recognised for period under review.


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More detail on HSRC researchers:1. Researchers at all levels included, not only SRS/SRM or higher.2. 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

3. 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.

4. 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.

5. 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 proof of institutional affiliation is provided by the Executive Director concerned. .

6. A publication by an African Research Fellow employed by the HSRC will count towards the numerator if proof of institutional affiliation is provided by the Executive Director concerned.

• HSRC researcher: 1. 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 Associate, with proof of appointment letter as HRA), and should also state that the research leading to the publication was conducted whilst the said person was based at HSRC, or formally associated with HSRC.

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

Non-cumulative

Reporting cycle

Quarterly

New indicator No

Desired performance



Publications: LIS (quality control and capturing of data submitted by research programmes)Staff: HRNumber count: RMS (IT)


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indicator 1.3: scholarlY BooK chaptErs puBlishEdIndicator title Scholarly book chapters published

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

Purpose/importance

Indicator for research excellence: Productivity of HSRC research staff (number of recognised book chapters authored or co-authored) and quality of HSRC work (recognised / 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 Management System (RMS), drawing information from • Research outputs database (IS) (book chapters captured in the database)


a. 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.

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: 1. Chapters in text books, manuals and study guides2. Inaugural speeches 3. Works of fiction4. Translations5. Book reviews6. Dictionaries7. Encyclopaedia8. Autobiographies.

More detail on count of book chapters:1. Count of book chapters: Recognised for period under review.

More detail on HSRC researchers:1. Researchers at all levels included, not only SRS/SRM or higher.2. 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 IS

3. 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.

4. 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 Information Services (IS) for capturing.

5. 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 proof of institutional affiliation is provided by the Executive Director concerned. .

6. A publication by an African Research Fellow employed by the HSRC will count towards the numerator if proof of institutional affiliation is provided by the Executive Director concerned.

• HSRC researcher: 1. 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 Associate, with proof of appointment letter as HRA), and should also state that the research leading to the publication was conducted whilst the said person was based at HSRC, or formally associated with HSRC.


Pg 49

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 Non-cumulative

Reporting cycle Quarterly

New indicator No

Desired performance



Publications: LIS (quality control and capturing of data submitted by research programmes)Staff: HRNumber count: RMS (IT)

indicator 1.4: puBlications from ring fEncEd funding: statE of thE nation BooK volumEs puBlishEd

Indicator title Publications from ring fenced funding: State of the Nation book volumes published

Short definition Number:The number of book volumes of the State of the Nation book series published in the period under review.

Purpose/importance

Indicator for research excellence: Productivity of HSRC research staff (number of recognised book chapters or books authored or co-authored) 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.Publication of books that have strategic importance to the country to be utilised in analysing opinion and informing policy.


Research Management System (RMS), drawing information from • Research outputs database (IS)


a. Count the State of the Nation book published for the year under review.

Data limitations Recognised (scholarly) book volume forming part of the HSRC State of the Nation series:• The book volume must be published in the year under review.• At least two volume editors for the publication; at least 15 chapters produced by internal (HSRC) as well as external

(non-HSRC) contributors and independently peer-reviewed under the auspices of the HSRC Press Editorial Board. • The DCEO: Research or designate will confirm recognition of the publication prior to capturing.

Type of indicator Quality Indicator - Measures research output quality against international industry standards


Reporting cycle Annual

New indicator Yes

Desired performance



Publications: LIS Number count: RMS (IT)


New indicator Yes

Desired performance



Publications: LIS Number count: RMS (IT)


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indicator 1.5: hsrc humanitiEs and social sciEncEs rEsEarch sEminars convEnEd

Indicator title HSRC humanities and social sciences research seminars convened

Short definition Number: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 Management System (RMS), drawing information from • Research outputs database (LIS) (HSRC humanities and social sciences research seminars captured in the

database) – source document is the covering letter and draft report on the seminar issued by the DCEO: Research


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 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 subject-matter experts followed by plenary discussion aimed at identifying key issues, policy options and/or a research agenda building on the issues identified. After the seminar, a draft report will be produced for distribution to delegates and possibly other interested parties.

Type of indicator

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

Calculation type

Non-Cumulative


New indicator No

Desired performance



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

indicator1.6: hsrc rEviEW puBlicationsIndicator title HSRC Review publications produced.

Short definition Number: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.


a. 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 seminars), also measures effectiveness as it relates to achievement of HSRC mandate.



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New indicator No

Desired performance



Quality control and capturing of data submitted by RIA:Staff: RIANumber count: RMS (IT)

indicator 1.7: NEW PUBLISHING IMPRINTIndicator title New publishing imprint.

Short definition Number:The number of titles published under the BestRed publishing imprint of the HSRC Press during the period under review.

Purpose/importance

Proof of research 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 HSRC Press reports.


a. Count number of titles published during the period under review.

Data limitations Book published by the HSRC Press under the imprint BestRed during the period under review.

Type of indicator • Quantity Indicator - Output (measures number of titles)• Quality Indicator - Measures research output quality against international industry standards



New indicator Yes

Desired performance



Quality control and capturing of data submitted by RIA:Staff: RIA (HSRC Press) Number count: RMS (IT)

indicator 1.8: policY BriEfs Indicator title The number of policy briefs produced and published by the HSRC

Short definition Number: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.This is also an indicator of performance required by the DSTThe ED: RIA (or designate) will ensure that guidelines for the development and review of policy briefs are made avail-able to HSRC researchers, 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 publicationPolicy briefs are only published following a review process to ensure that they are relevant, timely and meet internal criteria of good research communication


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Research Management System (RMS), drawing information from • Research outputs database (LIS) (policy briefs captured in the database)


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, approved by the DCEO: Research or the ED

meeting• Coordination and quality control prior to publication of the policy brief and/or capturing in the RMS by Library and

Information Services (LIS) will be overseen by the Head: RIA.• Policy briefs published by institutions other than the HSRC will be reflected as recognised research outputs of

the HSRC, but will only contribute towards this indicator for “policy briefs produced and published by the HSRC if this is agreed to in writing by the ED: RIA.

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

Calculation type Non-Cumulative


New indicator No

Desired performance



Planning and preparation of policy briefs: Research programmesCoordination, including ensuring of review and approval processes: Head: RIA or designate.Capturing of publications: LIS (quality control prior to capturing of data: RIA)

indicator 1.9: targEtEd puBlic dialoguEs Indicator title The number of public dialogues on poverty and inequality hosted by the HSRC

Short definition Number: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.


Research Management System (RMS), drawing information from • Research outputs database (LIS) (report on public dialogue that had been hosted)


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


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Data limitations Targeted public dialogues will be planned and undertaken in consultation with the office of the CEO.• Public dialogues will involve various stakeholders who come together to focus on a predetermined issue which

presents various perspectives requiring focused dialogue intended to contribute to clarification, finding common ground or an agreed way forward.

Type of indicator • Quantity Indicator - output (measures number of dialogue reports produced)• Efficiency Indicator - measures research excellence i.e. number of policy briefs.• Effectiveness Indicator - Measures extent of achieving HSRC mandate.



New indicator Yes

Desired performance



Sign-off on draft report of public dialogue for capturing of performance information purposes: CEO or designatePublications: LIS

indicator 1.10: dEcision supportIndicator title The number of government services or functions where HSRC research provided decision support

Short definition Number:The number of examples of government services or functions where HSRC research provided decision support

Purpose/importance

Indicator for research relevance and impact: Number of examples where HSRC research provided decision support to improve government service deliveryThis is related to a proxy indicator of DST.


Research Management System (RMS), drawing information from • Quarterly reports to Board and DST


Count number of examples with supporting documentation submitted during the period under review, vetted by the Head: Corporate Communication and Stakeholder Relations.

Data limitations To be refined:Number of government services or functions where HSRC commissioned research or research results (e.g. research report, policy brief, survey results) provided decision support (e.g. to inform planning or monitoring) which led to improved service delivery (e.g. more beneficiaries reached, better planning, more cost-effective interventions) (examples provided by research programmes, verified by reference in a speech, document or letter by a Minister or senior government official)

Type of indicator • Impact Indicator – Captures examples of research providing decision support that helped to improve an aspect of service delivery.



New indicator Yes

Desired performance



To be determined (Proposed: Office of the CEO / Board Secretariat)


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indicator 1.11: 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 controlProof 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


Research Management System (RMS), drawing information from • Research outputs database (IS) (internationally accredited peer-reviewed publications captured in the database)• Staff database (HR)


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.

1. The Sciences Citation Index of the Institute of Scientific Information (ISI)2. The Social Sciences Citation Index of the ISI3. The Arts and Humanities Citation Index of the ISI4. The International Bibliography of Social Sciences (IBSS)5. 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:

1. Correspondence to the editors 2. Abstracts or extended abstracts 3. Obituaries 4. Book reviews 5. News articles 6. Advertorials7. 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 (IS).

• 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.


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Type of indicator Quantity Indicator - Output (measures number of publications)Efficiency Indicator - measures research excellence i.e. number of publications per senior researcherQuality Indicator - Measures research output quality against international industry standards



New indicator Yes

Desired performance



Publications: LIS (quality control and capturing of data submitted by research programmes)Staff: HRRatio: RMS (IT)

indicator 1.12: pEEr-rEviEWEd Journal articlEs With multiplE citations

Indicator title Peer-reviewed journal articles with multiple citations

Short definition Number:The number of peer-reviewed journal articles by HSRC author or authors with (at least 10 citations listed within 5 years from publication) – this definition will be refined and finalised during 2016/17

Purpose/impor-tance

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

Source/collec-tion of data

To be determined: ISI, SCOPUS?• Research outputs database (IS) (internationally accredited peer-reviewed publications captured in the data-

base)• Staff database (HR)

Method of calcu-lation

To be determined

Data limitations To be determined

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



New indicator Yes

Desired perfor-mance


Indicator respon-sibility

Publications: IS (quality control and capturing of data submitted by research programmes)Staff: HRRatio: RMS (IT)


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indicator 2.1: activE mousIndicator title The number of active Memoranda of Understanding (MoUs)with other research institutions or associations in place

Short definition Number:Number of active Memoranda of Understanding between the HSRC and other South African or international research institutions, higher education institutions, or research associations in place, with activities under the MoU taking place during the year under review.

Purpose/importance

The purpose is to reflect the number of active partnerships with counterpart institutions. 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. Counts the number of active MoUs with other research institutions, to get an understanding of the range of formalised inter-institutional collaboration that go beyond single collaborative research projects


Contracts database (Legal)MoU management database RMS (IT)


Count the total number of MoUs that meet the requirements

Data limitations Active Memoranda of Understanding:• Signed on behalf of the HSRC by the CEO or designate • Registered in the contracts repository as an MoU• Expiry date of the MoU not yet reached, or expiry date extended to a date beyond the reporting period• At least one verifiable activity conducted under the MoU during the year under review, captured in the MoU

reporting module by the MoU owner and confirmed by IL or CE.

Type of indicator Quantity Indicator - Output (measures number of MoUs).Effectiveness Indicator - Measures extent of achieving HSRC mandate.



New indicator No

Desired performance



MoUs: LegalActivity reporting: Owner of MoU, supporting documents to be lodged with IL (international MoUs) or CE (South African MoUs)

indicator 2.2: structurEd collaBorativE rEsEarch proJEcts complEtEd

Indicator title Structured collaboration research projects completed.

Short definition Number:The number of structured collaboration research projects completed during the period under review.

Purpose/importance

Indicator of nature of data collected: Counts the number of collaborative research projects completed within a specific period to get an understanding of nature of data available for analysis.


Research Management System (RMS), drawing information from reports of various units.


Count number of structured collaborative research projects completed during the period under review as evidenced by active inter-programme MoUs.For each completed project involving active inter-programme MoUs:• Each completed project involving active inter-programme MoU will be counted once at institutional level.• For each completed collaborative project, allocate one credit, to be divided equally between the parties to the

active MoU. Hence, if two programmes are party to an active MoU, each programme will receive 1/2 – 0.5 credit.


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Data limitations None.

Type of indicator • Quantity Indicator - Output (measures number of research projects)• Quality Indicator - Measures research output quality against industry standards• Effectiveness Indicator - Measures extent of achieving HSRC mandate.



New indicator No

Desired performance



Quality control and capturing of data submitted by business units: Research Project Managers or Primary Investigators & unit AdministratorsConfirmation of completed project: Research programme administratorsConfirmation of signed MoU in place: Research programme administratorsData validation & performance reporting: Finance Number count: RMS (IT)

indicator 2.3: african rEsEarch fElloWsIndicator title The number of research fellows from elsewhere in Africa at the HSRC

Short definition Number:Number of persons employed by the HSRC during the reporting period as research fellows from elsewhere in Africa

Purpose/impor-tance

Counts the number of persons from elsewhere in Africa serving as a research fellow at the HSRC, to strengthen re-search links and help contribute to Africa’s progress through research

Source/collec-tion of data

Staff database (HR) and short-term assignees


Count the total number of African research fellows employed by the HSRC during the period under review.

Data limitations Persons indicated as African research fellows in their appointment letters, and who had assumed duty in this capacity at the HSRCFurther clarification::• Recruitment and selection guidelines as stipulated in the relevant HR policy

Type of indicator • Quantity Indicator – Input (measures number of African Research Fellows)• Effectiveness Indicator - Measures extent of achieving HSRC mandate.

Calculation type Cumulative – for the year


New indicator No




Staff: HRTotal (cumulative) number: RMS (IT)


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indicator 2.4: pEEr-rEviEWEd Journal articlEs With afri-can (non-sa) co-author(s)

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

Short definition Number: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 collaborationRelated to proxy indicator appearing in DST strategic plan


To be determined: ISI, SCOPUS?• Research outputs database (IS) (internationally accredited 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


Number of articles so verified and captured


Type of indicator

• Output indicator - Measures number of publications meeting specific requirements

Calculation type

Non-cumulative


New indicator Yes

Desired performance



Publications: LIS (quality control and capturing of data submitted by research programmes)Staff: HR

indicator 2.5: rEsEarch proJEcts complEtEdIndicator title Research projects completed.

Short definition Number:The number of research projects completed during the period under review.

Purpose/importance

Indicator of nature of data collected: Counts the number of research projects completed within a specific period to get an understanding of nature of data available for analysis.




Count number of research projects completed (data collection phase completed) during the period under review as evidenced by completed questionnaires/ data sets/confirmation of project deliverables/ status report on project milestones or implementation plan.

Data limitations None

Type of indicator

• Quantity Indicator - Output (measures number of research projects)• Quality Indicator - Measures research output quality against industry standards• Effectiveness Indicator - Measures extent of achieving HSRC mandate.



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New indicator No

Desired performance



Quality control and capturing of data submitted by business units: Research Project Managers or Primary Investigators & unit AdministratorsData validation & performance reporting: ERMNumber count: RMS (IT)

indicator 2.6: rEsEarch rEports producEdIndicator title Research reports produced.

Short definition Number:The number of client reports produced during the period under review.

Purpose/importance

Indicator of project status: Counts the number of reports produced within a specific period to get an understanding of progress made in achieving project milestones.




Count number of client research reports produced and signed off by respective ED/DCEO or CEO.


Type of indicator • Quantity Indicator - Output (measures number of research reports)• Quality Indicator - Measures research output quality against industry standards• Effectiveness Indicator - Measures extent of achieving HSRC mandate.



New indicator No

Desired performance



Quality control and capturing of data submitted by business units: Research Project Managers or Primary Investigators & unit AdministratorsData validation & performance reporting: ERMNumber count: RMS (IT)

indicator 3.1: mastEr’s lEvEl intErnsIndicator title The number of interns (research trainees) enrolled in a Master’s programme, appointed at the HSRC

Short definition Number: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)


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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 Further clarification::• 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 on file at HR for auditing purposes

Type of indicator Quantity Indicator - Output (measures number of Master’s interns appointed)Effectiveness Indicator - Measures extent of achieving HSRC mandate.



New indicator No

Desired performance



Submission of supporting documents: Research programmes, coordinated by CEStaff: HRTotal (cumulative) number: RMS (IT)

indicator 3.2: phd lEvEl intErnsIndicator title The number of interns (research trainees) enrolled in a PhD programme, appointed at the HSRC

Short definition Number: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)


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 Further clarification:• 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 on file at HR for auditing purposes

Type of indicator • Quantity Indicator - Output (measures number of PhD interns appointed)• Effectiveness Indicator - Measures extent of achieving HSRC mandate.



New indicator No

Desired performance





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indicator 3.3: post-doctoral fElloWsIndicator title The number of post-doctoral fellows (research associates) appointed at the HSRC

Short definition Number: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)


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 Further clarification::• Appointment and period of appointment in accordance with Board-approved Researcher Training Policy• The necessary supporting documentation (e.g. proof of successful completion of doctoral studies; approved

development plan) must be available on file at HR for auditing purposes

Type of indicator

• Quantity Indicator - Input (measures number of Post-Doctoral Fellows appointed)• Effectiveness Indicator - Measures extent of achieving HSRC mandate.

Calculation type

Cumulative – for the year


New indicator No

Desired performance




indicator 3.4: complEtEd mastEr’s lEvEl rEsEarch intErnship

Indicator title Completed Master’s level research internship

Short definition Number: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)


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.


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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 Further clarification:• 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 and proof of completion) must be available on file at HR for auditing purposes

Type of indicator

• Quantity Indicator - Output (measures number of interns completed)• Effectiveness Indicator - Measures extent of achieving HSRC mandate.

Calculation type

Non-cumulative


New indicator Yes

Desired performance




indicator 3.5: complEtEd phd lEvEl rEsEarch intErnship

Indicator title Completed PhD level research internship

Short definition Number: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)


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 Further clarification:• 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 and proof of completion) must be available on file at HR for auditing purposes

Type of indicator • Quantity Indicator - Output (measures number of interns completed)• Effectiveness Indicator - Measures extent of achieving HSRC mandate.



New indicator Yes

Desired performance





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indicator 3.6: studEnts rEachEd in thE rEsEarch sEminars/campus lEcturE sEriEs

Indicator title Students reached in the research seminars/campus lecture series

Short definition Number:The number of students reached in the research seminars/campus lecture series during the period under review.

Purpose/importance

Counts the number of students reached as an indication of capacity development initiatives.


Attendance registers for the seminars obtained from AISA


Counts the number of students reached during the period under review as per attendance register.

Data limitations Only names accompanied by ID/student numbers shall be counted.

Type of indicator

• Quantity Indicator - Output (measures number of students reached)• Effectiveness Indicator - Measures extent of achieving HSRC mandate.



New indicator Yes

Desired performance



Submission of supporting documents: AISA, coordinated by ED Operations.Total (non-cumulative) number: RMS (IT)

indicator 3.7: schools EngagEd in outrEach programmE

Indicator title Schools engaged in outreach programme

Short definition Number:The number of schools engaged in the school outreach programme during the period under review.

Purpose/importance

Counts the number of schools engaged in the schools outreach programme as an indication of capacity development initiatives.


Confirmation of sessions by attendance registers or letters issued by the schools engaged obtained by AISA.


Counts the number of schools engaged in the schools outreach programme during the period under review as evidenced by a stamped letter from the school reached.

Data limitations Only registered schools will be counted.

Type of indicator

• Quantity Indicator - Output (measures number of schools reached)• Effectiveness Indicator - Measures extent of achieving HSRC mandate.

Calculation type

Non-cumulative


New indicator Yes


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Desired performance



Submission of supporting documents: AISA, coordinated by ED Operations.Total (non-cumulative) number: RMS (IT)

indicator 3.8: annual social sciEncEs rEsEarch confErEncEs hostEd

Indicator title Annual social sciences research conferences held

Short definition Number:The number of HSRC research conferences convened during the period under review.

Purpose/importance

Indicator for research relevance and potential use (application / impact): Type of output focused on knowledge sharing and dissemination.


Research Management System (RMS), drawing information from:• Research outputs database (IS) (conferences captured in the database) – source document is the registration

list and conference programme approved by the DCEO: Research. Additional supporting documentation can include sourcing and payment of venues, invitation letters, and attendance registers.


Count number of research conferences convened by the HSRC during the period under review.

Data limitations

Research conferences:The conferences will generally run a maximum of three working days. Attendees will vary based on the content of the conference, and is a mix of internal HSRC research staff and key external stakeholders. The conference is preceded by a concept note which details the theme to be covered.• Conferences counted for this indicator are hosted by the HSRC, convened around a predetermined conference

topic or theme, have a formal governance structure such as a conference organising or programme committee, and presenters are selected by the programme committee or equivalent on the basis of expertise in a particular area, or following submission and review of abstracts. Such conferences include:1. HSRC Researcher Conference 2. HSRC / AISA Africa Renaissance conference3. International conferences hosted by the HSRC, e.g. World Social Science Forum (WSSF) and the Africa

Gender Summit

Type of indicator

Quantity Indicator - Output (number of conferences), also measures effectiveness as it relates to achievement of HSRC mandate.

Calculation type

Non-Cumulative


New indicator Yes

Desired performance



Research outputs: RIA (capturing of data submitted by DCEO: Research)


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indicator 3.9: nEtWorKing platform for Engaging policY maKErs EstaBlishEd

Indicator title Networking platforms for engaging policy makers established

Short definition Number:The number of HSRC networking platforms for engaging policy makers established during the period under review.

Purpose/importance

Indicator for research relevance and potential use (application / impact): Type of output focused on knowledge sharing and dissemination.


Research Management System (RMS), drawing information from:• Research outputs database (IS) (networking platforms captured in the database) – source document is the

screen shot of the website and report (e.g. google analytics) of page visits during the period under review.


Count number of networking platforms established or maintained by the HSRC during the period under review.

Data limitations Networking platforms:Established around a policy-relevant topic (e.g. Children, BRICS) and hosted by the HSRC.• Networking platforms counted for this purpose are designed to be interactive in nature, and usually electronic

(web-based), with policy-relevant information usually shared by means of newsletters, web updates, or workshops, e.g. :1. Policy Action Network2. BRICS Think Tank

Type of indicator Quantity Indicator - Output (number of networks established or maintained), also measures effectiveness as it relates to achievement of HSRC mandate.



New indicator Yes

Desired performance



Research outputs: RIA (capturing of data submitted by DCEO: Research)

indicator 4.1: prEsErvEd datasEtsIndicator title Preserved datasets

Short definition Number:The number of HSRC research datasets that were preserved (archived/curated) during the period under review and recognised as such by the HSRC’s Data Reference Group.

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 during the period under review, as approved by the HSRC Data Reference Group


Count of the total number of unique datasets that were preserved for future use, for the first time during the period of review, from the list approved by the HSRC Data Reference Group


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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. The Data Reference Group will confirm that the dataset complies with the necessary criteria in terms of scope and complexity, and that it has been preserved according to the required procedures.

Type of indicator • Quantity Indicator - Output (measures number of publications)• Effectiveness Indicator - measures extent of achieving HSRC mandate



New indicator No

Desired performance



ED: Research Methodology CentreTotal number: RMS (IT)

indicator 4.2: prEsErvEd liBrarY holdingsIndicator title Preserved library holdings.

Short definition Number:Digitised library holdings; maps and photo collection during the period under review.

Purpose/importance

Counts the number of digitised library holdings (maps & photos) that were preserved for future use during the period of review. This serves as an indicator of the extent to which the HSRC responds to its mandate.


Data shall be collected from the Library by AISA on a quarterly basis.


Count the total number of digitised library holdings (maps & photos) that were preserved for future use during the period of review.


Type of indicator • Quantity Indicator - Output (measures number of library holdings)• Effectiveness Indicator - measures extent of achieving HSRC mandate



New indicator No

Desired performance



The head: Data CurationTotal number: RMS (IT)


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indicator 4.3: prEsErvEd hsrc datasEts appropriatElY citEd

Indicator title Preserved HSRC datasets appropriately cited

Short definition Number:The number of HSRC datasets that are appropriately cited (using doi reference) in a predetermined number of publications during the period under review

Purpose/importance

Indicator for research quality 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


To be determined:


To be determined


Type of indicator • Impact indicator - Measures number of publications citing data



New indicator Yes

Desired performance



RMDC

indicator 5.1: sEnior rEsEarchErs Who arE africanIndicator title Researchers at senior level (SRS/SRM and above) who are African

Short definition Percentage:The number of researchers at senior level (SRS/SRM and above) who are African, divided byThe total number of researchers at senior level (SRS/SRM and above) employed by the HSRCat the end of the reporting period, expressed as a percentage

Purpose/importance

Tracks the relative growth in senior 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)


a Number of African (“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


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Desired performance



Staff: Deputy Executive Director HR & CETotal number: RMS (IT)

indicator 5.2: sEnior rEsEarchErs Who arE fEmalEIndicator 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 byThe total number of researchers at senior level (SRS/SRM and above) employed by the HSRCat 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)


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 Equity indicator – Measures extent of achieving equity targets



New indicator No

Desired performance



Staff: Deputy Executive Director HR & CETotal number: RMS (IT)

indicator 5.3: annual EmploYmEnt EQuitY rEports producEd

Indicator title Annual Employment equity reports produced.

Short definition Number:The number of annual employment equity reports produced during the period under review.

Purpose/importance

Indicator of transformation status: Counts the number of reports produced within a specific period to get an understanding of progress made in achieving employment equity targets.


Research Management System (RMS), drawing information from human resource management systems.


Count number of reports produced during the period under review.


Type of indicator Quantity indicator - Output: Measures number of reports issued.Quality indicator - Measures outputs against legislative standards.


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Reporting cycle Annually

New indicator No

Desired performance



Quality control and capturing of data submitted by business units: Human Resource ManagementData validation & performance reporting: ERMNumber count: RMS (IT)

indicator 5.4: QuartErlY EmploYmEnt EQuitY rEports producEd

Indicator title Quarterly Employment equity reports produced.

Short definition Number:The number of quarterly employment equity reports produced during the period under review.

Purpose/importance

Indicator of transformation status: Counts the number of reports produced within a specific period to get an understanding of progress made in achieving employment equity targets.


Research Management System (RMS), drawing information from human resource management systems.




Type of indicator Quantity indicator - Output: Measures number of reports issued.Quality indicator - Measures outputs against legislative standards.



New indicator No

Desired performance



Quality control and capturing of data submitted by business units: Human Resource ManagementData validation & performance reporting: ERMNumber count: RMS (IT)

indicator 5.5: divErsitY aWarEnEss EvEnts hostEdIndicator title Diversity awareness events hosted

Short definition Number:The number of diversity awareness events hosted by the HSRC during the period under review.

Purpose/importance

Indicator for capacity building and transformation.


Research Management System (RMS), drawing information from Human Resources & Capacity Enhancement. Source document is a management report regarding the event including attendance, relevance and focus.


Count number of events hosted by the HSRC during the period under review.

Data limitations Diversity awareness events will generally run a maximum of one working day and exclude training on diversity.


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Type of indicator Quantity indicator - Output: Measures number of events hosted.



New indicator No

Desired performance



Research outputs: Human Resources & Capacity Enhancement(capturing of data submitted by DED: HR & CE)

indicator 5.6: gEndEr aWarEnEss EvEnts hostEdIndicator title Gender awareness events hosted

Short definition Number:The number of gender awareness events hosted by the HSRC during the period under review.

Purpose/importance

Indicator for capacity building and transformation.




Count number of events hosted by the HSRC during the period under review.

Data limitations Gender awareness events will generally run a maximum of one working day and exclude training on gender.

Type of indicator Quantity indicator - Output: Measures number of events hosted.



New indicator No

Desired performance



Research outputs: Human Resources & Learning and Development(capturing of data submitted by DED: HR)

indicator 5.7: ratio of sEnior rEsEarchErs (srs/srm or highEr) in rElation to all hsrc staff

Indicator title Ratio of senior researchers (SRS/SRM or higher) in relation to all HSRC staff.

Short definition Percentage:The number of researchers at senior level (SRS/SRM and above) divided byThe total number of staff employed by the HSRCat the end of the reporting period, expressed as a ratio

Purpose/importance

Tracks the relative growth or decline in senior researchers in relation to all categories of staff.


Staff database (HR)


a Number of senior researchers appointed at SRS/SRM level and above b Number of all HSRC staffRatio: a/b


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Type of indicator Input indicator – staff appointedEfficiency ratio – number of staff deemed to be highly productive, critical to ensuring income generation and delivery on projects and performance targets, in relation to other staff



New indicator No

Desired performance

To be determined


Staff: HRTotal number: RMS (IT)

indicator 6.1: Extra-parliamEntarY incomEIndicator 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


Identify the following sources of income:a Research revenueb Parliamentary grantsc Parliamentary grants ring-fencedd Other incomePercentage: [(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

Desired performance



Data: CFO

indicator 6.2: multi-YEar grantsIndicator 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.


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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


a. Select from the contracts repository, all approved current (open), income-generating contracts in the “research contracts” folder – a 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 – b 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 – cPercentage: 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).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 repositoryTo 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 Effectiveness Indicator – Measures extent to which outputs achieve the desired outcomes

Calculation type Cumulative: all research grants awarded by the end of the reporting period


New indicator No

Desired performance



Data: CFO & RMSContract information – Head Legal services


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indicator 6.3: officials attEnding thE anti-corruption campaign

Indicator title Officials attending the anti-corruption campaign

Short definition Percentage:The percentage of HSRC officials attending the anti-corruption campaign during the period under review.

Purpose/importance

Indicator of good governance, capacity building and transformation.




1. Count number of officials on the attendance register for the anti-corruption campaign2. Count number of HSRC officials listed on the Payroll system (no distinction on the length of service/

employment status or duration of employment contract) Calculate: a/b x100 expressed as a percentage

Data limitations Where the campaign runs for more than one day, officials attending both days are only counted once.

Type of indicator Quantity Indicator – Output (Measures number of officials attending)



New indicator No

Desired performance



Research outputs: Enterprise Risk Management (ERM)(capturing of data submitted by Director: ERM)

indicator 6.4: EligiBlE officials Who havE dEclarEd thEir intErEsts

Indicator title Eligible officials who have declared their interests

Short definition Percentage:The percentage of eligible HSRC officials who have declared their interests during the period under review.

Purpose/importance

Indicator of good governance, capacity building and transformation.


Research Management System (RMS), drawing information from the e-declarations system and reports captured for those employees who are not on the payroll system. Source document is a management report of the status of declaration by Board members and board committee members and the payroll report.


1. Count number of officials who have completed the declaration of interests forms during the reporting period.2. Count number of HSRC officials listed on the Payroll system who are at employment level Deputy Director

(DD) and above.3. Count number of HSRC officials listed on the Payroll system who are in Finance Department4. Calculate: [a/b+c] x100 expressed as a percentage

Data limitations Officials who have declared their interests manually but are not part of the eligible officials are not counted.

Type of indicator Quantity Indicator - Output (Measures number of officials who have declared)Effectiveness Indicator - Measures the extent to which outputs achieve the desired outcome

Calculation type Cumulative


New indicator No

Desired performance



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Research outputs: Enterprise Risk Management (ERM)(capturing of data submitted by Director: ERM)

indicator 6.5: compliancE rEports producEdIndicator title Compliance reports produced.

Short definition Number:The number of compliance reports produced during the period under review.

Purpose/importance

Indicator of progress in implementing good corporate governance principles.


Research Management System (RMS), drawing information from reports of the ERM Unit.




Type of indicator Quantity Indicator - Output (Measures number of reports)Effectiveness Indicator - Measures the extent to which outputs achieve the desired outcome



New indicator No

Desired performance



Quality control and capturing of data submitted by the ERM Unit.Data validation & performance reporting: ERMNumber count: RMS (IT)

indicator 6.6: unQualifiEd ExtErnal audit rEportIndicator title Unqualified External Audit Report

Short definition Number:Unqualified results of the annual statutory audits achieved for the period under review.

Purpose/importance Indicator of progress in implementing good corporate governance principles.

Source/collection of data Report issued by the Auditor-General

Method of calculation Count number of findings listed in the Management Letter


Type of indicator Effectiveness Indicator - Measures the extent to which outputs achieve the desired outcome



New indicator No

Desired performance Equal to or more than the agreed target.

Indicator responsibility Quality control and capturing of data submitted by the CFO.Data validation & performance reporting: ERMNumber count: RMS (IT)


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indicator 6.7: BBBEE statusIndicator title BBBEE Status

Short definition Number:The level of BBBEE status achieved for the period under review.

Purpose/impor-tance

Indicator of progress in implementing BBBEE principles.


Report issued by the BBBEE certification board.


Count number of gaps in the BBBEE certification letter.





New indicator No




Quality control and capturing of data submitted by the CFO.Data validation & performance reporting: ERMNumber count: RMS (IT)

indicator 6.8: pppfa compliancEIndicator title PPPFA Compliance

Short definition Number:Percentage compliance with the PPPFA requirements during the period under review.

Purpose/importance

Indicator of progress in implementing good corporate governance principles.


Quarterly compliance assessment by ERM


1. Count number of compliance areas achieved2. Count number of compliance requirements(1/2) X 100 expressed as a percentage





New indicator No

Desired performance



Quality control and capturing of data submitted by the CFO.Data validation & performance reporting: ERMNumber count: RMS (IT)


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