SUMMARY

SOUTH –AFRICA NETHERLANDS RESEARCH PROGRAMME FOR ALTERNATIVES IN DEVELOPMENT (SANPAD)

SANPAD is a unique collaborative research programme that has been financed by the Netherlands Ministry of Foreign Affairs since 1997. SANPAD funds high quality, collaborative research by South African researchers in association with Dutch researchers. In Phase 2 SANPAD will fund research projects related to the following themes:

1. New approaches to Economic Development
2. Social Development and Quality of Life
3. Natural Resources and their Governance
4. Poverty Reduction
5. Democracy, Government and Civil Society,
6. Culture, Identity and Society

SANPAD will finance Research Projects that have a social development and policy related content that may be multi-disciplinary and cross thematic and with a special focus on poverty reduction. Details of the sub-themes are explained in the Programme document.

The general SANPAD objectives are
1. to stimulate and promote quality research;
2. to produce research outputs intended and useful for development purposes;
3. to promote co-operation between Netherlands (NL) and South African (SA) researchers, and between institutions within South Africa (SA); and
4. to develop research capacity and a culture conducive to research, aimed particularly at researchers from historically disadvantaged communities.

TO REALISE THE ABOVE OBJECTIVES, SANPAD FOCUSES ON THE FOLLOWING:

1. Funding and Supporting Research Projects.

Through an annual call for proposals, SANPAD makes an annual call for the submission of research proposals, reviews those received, and selects some of them for support. The programme funds the approved research projects, monitors the projects, enables co-operation amongst South African Higher Education Institutions and South African and Dutch researchers within the respective projects, and reports on finances and progress.

SANPAD has the discretion to provide assistance for (re)formulating research project proposals. The decision to support reformulation is made by the Joint Committee of SANPAD. Reformulation usually entails the assistance of senior researchers in South Africa and the Netherlands and other relevant bodies that may add value to the reformulation of the proposal for resubmission for funding. The reformulation process generally takes the form of workshops.

SANPAD may also provide discretionary assistance for pre-proposal workshops. Funding for pre-proposal workshops is generally granted to first time project leaders from the ‘designated groups’ of South African Employment Equity legislation, and to researchers who require further exploration of ideas that they believe may evolve into a full proposal. The application for a pre-proposal workshop must be accompanied by a letter of motivation identifying the reasons why a full proposal cannot be submitted, a proposed list of participants in accordance with the SANPAD policy on collaboration, and a proposed budget for such a workshop in keeping with the SANPAD policy on funding such workshops. The relevant policies may be found on the SANPAD website.

2. Developing Research Capacity

• through the participation of historically disadvantaged and/or inexperienced researchers within the projects;
• through the Research Capacity Initiative (RCI), which is an intensive research methodology course offered over seven weeks during the vacation periods of the year. The RCI is aimed at developing research capacity particularly amongst historically disadvantaged and/or inexperienced researchers within a SANPAD funded project; and
• through the stimulation of research co-operation between SA and NL researchers, and South African researchers across institutions.

For the management of these activities SANPAD has an organizational structure consisting of a National Board (SA NB) and a secretariat in South Africa and a National Committee (NL NC) and a secretariat in the Netherlands. The SANPAD Joint Committee (JC), consists of members of the SA NB and NL NC, and meets twice annually to take policy related decisions. The SANPAD NL also has an Advisory Council (AC). The committees and council are composed of people from different stakeholder and non- stakeholder groups, representing perspectives and capacities needed both in SA and NL.

The Programme Document sets out the policy, funding strategy and administrative operations for the Second Phase (2003-2007)

Acronyms & Abbreviations

AC Advisory Council
ACCORD African Centre for the Constructive Resolution of Conflict
CHE Council on Higher Education
CTP Committee of Technikon Principals
DACST Department of Arts, Culture, Science and Technology
DGIS Directorate-General for International (Development) Cooperation, Ministry of Foreign Affairs (Netherlands)
DoE Department of Education
EDS Economic Development Strategy
esATI eastern seaboard Association of Tertiary Institutions
EZ Department of Economic Affairs (Netherlands)
GEAR Growth, Employment and Redistribution Programme
GDS Growth and Development Strategy
HAI Historically Advantaged Institution
HAU Historically Advantaged University
HDI Historically Disadvantaged Institution
HDT Historically Disadvantaged Technikon
HDU Historically Disadvantaged University
HSRC Human Sciences Research Council
IDPAD Indo-Dutch Programme on Alternatives in Development
ISS Institute of Social Studies (Netherlands)
JC Joint Committee
NACI National Advisory Council on Innovation
NB National Board
N.B. Note well
NC National Committee
NGO non-governmental organisation
NiZA Netherlands Institute for Southern Africa
NL (the) Netherlands
no. number
NRF National Research Foundation
R&D Research and Development
RCI Research Capacity Building Initiative
RDP Reconstruction and Development Programme
SA South Africa(n)
SADC Southern Africa Development Community
SANPAD South Africa Netherlands Research Programme on Alternatives in Development
SAUVCA South African University Vice Chancellors’ Association
TIPS Trade and Industrial Policy Secretariat (Department of Trade and Industry, South Africa)
viz. namely
ZAR South African Rand

I. INTRODUCTION

I.1 Background to SANPAD

Programme Document
This document describes the programme for the Second Phase (2003-2007) of the South Africa Netherlands Research Programme on Alternatives in Development (SANPAD).

SANPAD
The name 'South Africa Netherlands Research Programme on Alternatives in Development' indicates that the Programme seeks to stimulate and promote research in South Africa in the field of social and economic development. The word ‘alternatives’ refers to the different policy options that might result from the research. The research methodology and the approach towards research might also be termed alternative. It envisages research outcomes that are relevant for the policies of SA government agencies and/or SA non-governmental organisations (NGOs) in the field of economic and social development.

History
In March 1996 a mission from the Netherlands Ministry of Foreign Affairs visited South Africa. It acknowledged the expediency of a long-term research programme combining the aims of stimulating development-oriented and policy-relevant research collaboration, building research capacity and furthering the culture of research in South Africa. One of the existing joint research programmes that served as an example was the Indo-Dutch Programme on Alternatives in Development (IDPAD). Research collaboration within IDPAD and SANPAD is based on partnership and mutual benefit, in accordance with the NL government’s policy on development co-operation.

SANPAD started in 1996 with a conference, ultimately leading to a Programme Document for a First Phase (1997-2002), and to the establishment of secretariats, committees and councils on both sides. Thereafter followed calls for proposals, review and decision-making procedures, supporting workshops for reformulation and resubmission, monitoring approved projects, and the implementation of an initiative focusing on research capacity building (the Research Capacity Building Initiative, or RCI).

In the First Phase up to 2001 SANPAD supported a total of 67 research projects and 37 workshops. The annual figures are presented in the following table. In three cases the workshop money was used for a visit to relevant researchers in NL. For 2002 a further 8 projects and 5 workshops are envisaged in the budget.

Capacity building
The characteristics of SA society and its apartheid legacy mean that any research collaboration that has, as its ultimate aim, contribution to the socio-economic development of South Africa, must put particular emphasis on capacity building. SANPAD acknowledges the differences that exist between historically disadvantaged and historically advantaged people regarding the extent of research capacity and a research culture. In developing activities designed to build research capacity, SANPAD aims to facilitate the further development of personal research skills and the institutional research culture, thus enhancing research capacity of people with diverse historical backgrounds.

Results of the First Phase of SANPAD show that to a large extent project leaders (42%) come from historically disadvantaged backgrounds and 24% of the project leaders work at historically disadvantaged institutions. Of the students involved, 92% come from disadvantaged backgrounds. Further figures are presented in Chapter VI on research capacity building.

RCI
During the First Phase of SANPAD an important initiative was taken, the RCI-1. The RCI was introduced as a 15-month pilot programme in May 1999, with the aim of developing individual researchers with the knowledge and skills to conduct good research and to transfer their expertise to others. Two parallel courses on research methodology and management were held, with the 40 students being selected from 200 applicants.

A process of Evaluation and Consultation (see Chapter VI for more information) led to RCI-2, a 7 week residential course carried out during 2002. This time the 27 students were drawn mainly from the existing SANPAD projects, while the lecturers were drawn from SA and NL universities. This should also enhance research co-operation between SA and the NL.

For the future, SANPAD aims to have one RCI course annually for 30 students. Evaluation of each series of workshops will take place on an annual basis.

Agenda set in South Africa The aspiration to support development-related and policy-relevant research entails that the agenda for research is largely set in South Africa. Through a continuous and interactive process between researchers and society in South Africa, the demands of society are articulated and formulated into research questions.

I.2 Evaluations of SANPAD

Internal evaluation of SANPAD, April 2000
In April 2000, SANPAD completed its first internal evaluation (of the period from September 1997 to March 2000). This mid-term, formative evaluation found that SANPAD is a unique funding Programme built on a sound concept, and appropriate to SA needs at this time. Its implementation and execution have been good – even excellent in some instances – but were initially hampered by minor weaknesses.

In some instances SANPAD has experienced problems related to the general situation pertaining to research in SA. Here SANPAD forms part of long-term solutions to issues of capacity development and quality. Care should be taken not to expect too much in terms of the difference SANPAD can make in the wider research arena. Yet, the report recommends that, within the limited resources managed by SANPAD, it is important to ensure that the utmost is done to enhance its contribution to the SA development and policy-oriented research arena.

The report notes that the cost-effectiveness and impact of research support programmes are often more difficult to determine than those of other types of funding and aid programmes. It is, therefore, at this early stage of SANPAD almost impossible to carry out accurate calculations as is desired. However, all indications are that funding allocated to this – and to the next – phase of SANPAD will be a sound investment. The NL government should, therefore, be commended for supporting an effective programme that develops capacity and creates new knowledge among the current and future SA leaders within government and the academic arena.

Evaluation of RCI (Programme 1) September 2000
See VI.3 for a detailed discussion of the evaluation of the RCI-1 (the pilot programme) initiated in September 2000.

External evaluation of SANPAD, August-December 2001
A general review of the First Phase of the SANPAD Programme took place between August and December 2001. The evaluation was commissioned by the NL government and executed by two external evaluators, one from South Africa and one from NL. In their final report, issued in September 2001, they concluded that the SANPAD formula is working well, in both the research and capacity building areas. The Programme can be congratulated for a job well done over the past five years. After an initial period of serious problems of co-ordination between the SA and NL participants, the Programme has been able to establish a respected position among development-oriented researchers and policy-makers in South Africa. It is too early to review scientific results or concrete development alternatives, because few projects have published results.

Conclusions and recommendations of External Review Phase 1
The External Review of Phase I of SANPAD presented the following main conclusions:
• The future implementation of research findings by policy-makers and other users will need to be carefully monitored. Just as the Programme has established a respected RCI, it might wish to consider an Implementation Capacity Building Initiative. If this is not done, the original implementation aims of the Programme are not likely to be realised. Currently, researchers are not sufficiently equipped to engage in the translation of research results into policy recommendations.
• The number of aims and themes of the Programme has been too ambitious and needs culling. The present multiplicity of aims (quality research, research capacity building, a focus on historically disadvantaged categories of researchers, need for development alternatives and their implementation) is too great and a more limited focus on Social Science research appears to be warranted. The Programme could focus on a more limited number of themes, to both promote more scientific collaboration and facilitate programme governance and quality maintenance.
• Special attention needs to be given to the ‘match making’ function between SA and NL researchers. Particularly if the number of researchers from historically disadvantaged groups is to increase, attention to selection of NL researchers and to the monitoring of research projects needs to be improved. A special budget item is proposed for junior researchers or students from Southern Africa, to allow a gradual geographic expansion of the Programme into this region.
• Programme governance could be simplified in the Second Phase by concentrating governance and administration in South Africa, albeit with NL membership of the respective organs. This would be in line with general NL development policy and with the results achieved in the First Phase. If need be, a small transition team could be created which would oversee the adaptation of the current structure.

I.3 Research in South Africa

SANPAD and South African initiatives
SANPAD is funded by the Netherlands Ministry of Foreign Affairs. In South Africa the Programme has the full support of the Department of Arts, Culture, Science and Technology (DACST) and the Department of Education (DoE).

Inequalities in research infrastructure
To a large extent, South Africa’s research infrastructure still reflects the inequalities of the past. The context is unstable, with the Higher Education and research system currently being restructured, due both to sweeping changes in government policy, and to market forces and natural movement of academics and students.

Government policy in motion
Government policy with regard to the transformation of the SA research system and objectives is summarised in the National Plan for Higher Education (February 2001) as follows:

The White Paper on Higher Education (1997) recognises that research plays a key role in the production, advancement and dissemination of knowledge and the development of high-level human resources. It argues that “research is the principal tool for creating new knowledge” and that the “dissemination of knowledge through teaching and collaboration in research tasks is the principal tools for developing academic and research staff through postgraduate study and training” (White Paper: 2.82). The emphasis on research in the White Paper is based on the recognition that national growth and competitiveness in the context of the emergence of a knowledge society is “dependent on continuous technological improvement and innovation, driven by a well organised, vibrant research and development system which integrates the research and training capacity of Higher Education with the needs of industry and of social reconstruction” (White Paper: 1.12).

The development and sustainability of the national research system is also dependent on its ability to respond to the opportunities and challenges provided by the global transformation in knowledge production and dissemination. This transformation has been driven by vastly increased (and increasing) global information and communication technologies, by the changing ways in which knowledge is produced, mediated and used, and by the development of multiple sites of research and knowledge production which are partly or wholly separate from Higher Education. In this context, the role of the national research system is not simply to respond to local imperatives, but also to develop the capacity to take advantage of the new opportunities that globalisation has engendered.

Science and Technology
A National Advisory Council on Innovation (NACI) has been created and South Africa's Science Councils are being restructured. The DACST has also initiated the Research and Technology Foresight exercise. This process involves detailed consultations concerning potential technological trends and trajectories of significance to the social and economic development of South Africa.

Changes in the Higher Education system
In order to effect a complete break with the racial divide between Historically Advantaged Institutions (HAIs) and Historically Disadvantaged Institutions (HDIs), a number of key policy initiatives determine the establishment of a unified Higher Education system (an ongoing process). The following instruments are of key importance:
• Report of the National Commission on Higher Education (1996);
• White Paper on Higher Education (1997);
• The National Plan on Higher Education (February 2001); and
• The New Academic Policy (2002).

Within this context the Higher Education Act of 1997 has played an important role in the co-ordination and implementation of the transformation policies and principles by means of the establishment of new types and forms of institutions such as the Council on Higher Education (CHE), as well as the internal transformation of Higher Education institutions (e.g. the restructuring of governance structures – namely councils and senates, and the establishment of stakeholder representative institutional forums).

This process of transformation has been characterised by issues of redress, restructuring, access, equity, quality assurance and redesign. The process calls for the research community to reflect on and contribute to quality research output and capacity building as key measurable performance indicators. The implementation of SANPAD’s objectives has played a major role in promoting and supporting the policy initiatives from the SA government. It can thus be safely assumed that if SANPAD is continued, it will continue to be an integral part of the new SA research philosophy and system.

I.4 Research co-operation between South Africa and the Netherlands

Existing linkages
There are a number of linkages between SA and NL institutions, in some cases formalised by a contract or a Memorandum of Understanding. The SANPAD Programme tries, wherever possible, to make use of existing linkages. However, in many cases the SA researchers, sometimes isolated, need assistance in finding their NL counterparts. This is a role of the NL and SA co-ordinators, supported by the formal and informal networks around them.

The 2001 evaluation report of the SANPAD External Review clearly indicated that the collaboration between SA and NL researchers has an added value and is highly regarded in South Africa. Since SANPAD is a co-operative SA-NL programme, it is imperative that researchers in the two countries, though separated geographically, be encouraged to work together and learn from each other. Since historically existing co-operation diminished during the apartheid period, particular effort is required to foster such a process. Internet technology allows for regular contact, while personal contact at least once annually is also essential.

Funding programmes in the Netherlands
There are very few funding programmes aiming at Research & Development (R&D) co-operation between SA and NL. Since the political changes of 1994, South Africa has been the focus of attention from a variety of NL ministries, cities, businesses, universities and so on. South Africa is on the Ministry of Economic Affairs’ (EZ) list of emerging markets. Further, EZ launched a technological co-operation scheme for South Africa (although this is confined to NL companies applying for the support, thus excluding R&D institutes or universities). Apart from the SANPAD Programme originating from the Ministry of Foreign Affairs, other ministries have not yet followed with R&D funding programmes.

Involvement of NL collaborators with SANPAD
The following table presents the NL universities that are involved with SANPAD projects and the number of projects involved at HAUs, HDUs and Technikons. Major collaborating universities are: University of Utrecht, Free University at Amsterdam, University of Leiden (Africa Studies Centre), the University of Wageningen, and the University of Amsterdam.

• Three projects work with 2 NL universities.

II.MAIN OBJECTIVES AND SPECIFIC GOALS

SANPAD’s general objectives are to:
1. stimulate and promote quality research;
2. produce research outputs intended and useful for development purposes;
3. promote co-operation between NL and SA researchers, and between institutions within South Africa; and
4. develop research capacity and a culture conducive to research, aimed particularly at researchers from historically disadvantaged communities.

These objectives are all equally important. They are also related, in that good research builds research capacity, while the development of South Africa is connected to the creation of an intellectually sound, quality academic research environment.

II.1 Stimulate and promote quality research

High quality
Research must always be of high quality, and this is particularly so when it is planned to be policy-relevant. Research results must be valid and reliable. To assure quality, proposals have to be well designed, with clear central research questions and adequate methodology. SANPAD uses selection procedures with external referees to select research proposals on the basis of quality and uses other instruments (such as workshops) to increase quality.

II.2 Produce development-related outputs

Policy-relevant research
In defining the research themes, SANPAD takes note of SA policy priority areas, national imperatives, and so on. Thus, the research themes put forward by the Programme assist in flagging relevant areas of research. In its Second Phase, SANPAD will continue to emphasise development-related and policy-relevant research that has the potential to help solve SA development problems. By definition, such research is multi-disciplinary.

II.3 Promote co-operation between researchers

Linking researchers and research groups
The linking of research groups, not only with NL researchers but also with other researchers in SA, is considered of the utmost importance in the development of a research culture. Universities and technikons are encouraged to establish linkages with each other and with NGOs, government, business and other relevant sectors

II.4 Develop research capacity

Integral element
SANPAD considers the building of research capacity to be an integral element of all the research carried out within the Programme. It aims, in the first instance, to develop research competence in people, which in turn enhances the research capacity of institutions. SANPAD does not, in general, fund the development of physical infrastructure or the acquisition of equipment, although this might occasionally be possible within the context of a specific project. In principle, SANPAD does not fund projects by individuals, but by research teams. Where possible it co-ordinates with other initiatives designed to build research capacity. Research capacity building is particularly aimed at underprepared researchers from disadvantaged learning environments.

In addition to building research capacity through the SANPAD projects, the RCI (focusing on education in research methodology), will continue to play a core role. The RCI course is particularly aimed at inexperienced researchers from disadvantaged backgrounds, who are involved in SANPAD projects.

II.5 Specific goals

Specific goals for the SANPAD Second Phase (2003-2007) are to:
1. finance in total approximately 100 research projects (First Phase: 75 projects);
2. finance and assist in approximately 50 workshops to adjust and reformulate the research proposal, the so-called ‘pre-project workshops’ (First Phase: 47 workshops);
3. finance and assist in approximately 36 workshops to identify the research objective(s) and formulate this into a research proposal, the so-called ‘pre-proposal workshops’ (this is a new instrument);
4. further build research capacity by annually organising the research capacity training course of approximately 7 weeks, aiming to train 25-30 scholars per year (in total 135) from historically disadvantaged backgrounds (First Phase: 67);
5. stimulate the dissemination of policy-relevant research outcomes by organising seminars and conferences and by stimulating publication of relevant material (this is a new instrument);
6. stimulate co-operation between SA universities/technikons to promote and extend capacity building within and among the SANPAD projects;
7. stimulate co-operation between the SANPAD research groups and institutions (governmental and non-governmental) which are considered to be the users of the research results; and
8. realise co-operation with NL researchers in such a way that every project will have effective NL collaboration aimed at SANPAD’s objectives.

The figures mentioned in points 1, 2, 3, and 4 above are based on the experiences in SANPAD’s First Phase and are related to the SANPAD management capacities that were built during that phase.

Some of the other activities which are planned to help SANPAD achieve its objectives are to:
• foster teamwork between young researchers from SA and NL within the SANPAD projects;
• stimulate exchange of research methods and outputs between SANPAD research groups working in related fields;
• publish (at least once annually) a SANPAD newsletter that will inform the public on SANPAD’s projects and policy;
• further promote the name and reputation of SANPAD by publishing on the results of SANPAD projects and SANPAD’s research capacity training course through the website, and other communication media;
• further develop SANPAD’s database on the research projects;
• establish a useful database on the co-operating NL researchers in SANPAD projects, at the NL secretariat; and
• organise one mid-term internal evaluation.

III. POLICY-ORIENTED RESEARCH

III.1 The rationale for policy-oriented research

Policy-oriented research
South Africa, as mentioned above, currently suffers from a lack of articulation between research effort and the national needs for social, economic, intellectual and cultural reconstruction. Worldwide, the tendency in research is to emphasise that research directly inspired by the demands of society can lead to findings of a high academic standard. As SANPAD is funded by the Netherlands Ministry of Foreign Affairs (Directorate General for International Co-operation, or DGIS) it will support research that is relevant to the socio-economic development of South Africa.

The current policy of DGIS as regards research support has three objectives, namely to:
• support research that is relevant to development problems in the South (in this case South Africa);
• strengthen research capacity in the South/South Africa; and
• stimulate the dissemination and application of research findings.

Policy paradigm
SANPAD research will not remain within the policy paradigms defined by the SA government; of equal interest are initiatives from the research community addressing policy issues from alternative perspectives. Co-operation with stakeholders in government, business, education and training institutions, NGOs and society in general is important in this respect.

In addition to the Higher Education policy documentation referred to above, other key government policy programmes (such as the Reconstruction and Development Programme, or RDP; the GDS, or Growth Development Strategy; and the Growth, Employment and Redistribution Programme, or GEAR) have assisted and will continue to assist in determining priorities as regards policy-oriented research.

Evidence from SANPAD’s First Phase points to the impact that SANPAD-funded research has had on the transformation of government policies both at national and local level. (Examples of completed projects on Youth, Women, Health and the Manufacturing Sector are shown in Annexures B1-4.)

III.2 A programme responsive to the needs of society

Continuous interaction
SANPAD is a programme responsive to the needs of society. Through a continuous and interactive process between scientists and society the demands of society are identified.

Agenda set in South Africa
The aspiration to support development-oriented and policy-relevant research entails that the agenda for research is largely set in South Africa. In preparation for the Second Phase, it calls for consultations with stakeholders as part of the process of formulating research questions. The existence of internationally recognised scientific expertise and research capacity in NL will also be taken into account in the formulation of the research agenda.

Structural involvement of interested parties
The approach taken also calls for the structural involvement of stakeholders; those parties that can assist in enlarging the policy-relevance of research projects. This entails, for instance, inviting policy-makers and representatives of NGOs to sit on the SA NB and NL AC. NGOs may also participate in SANPAD projects in performing research.

III.3 Participation and interactive dissemination of research results

Implementation through participation
The explicit emphasis on assisting in the socio-economic development of South Africa, and the formulation of policy on themes relevant to this development, necessitate attention to the dissemination of research results. Researchers should regularly interact with policy-makers and stakeholders and, finally, present their findings to the scientific community and policymakers through conferences, informal meetings and publications. It is also important that communities within which research is conducted benefit from this research, and that results are disseminated amongst the community members. Project proposals are thus closely screened for such activities.

Activities in the Second Phase
The following activities are planned for the Second Phase to stimulate policy-oriented research:
1. SANPAD will organise at least two conferences on research dissemination, for instance on the following topics:
• the role of policy-relevant research in SA society; and
• the dissemination of policy-relevant research outcomes: strategies in the 21st century.
2. SANPAD will foster publications that present policy-related results of research projects; and
3. to enhance the policy relevance of research proposals, SANPAD will emphasise the importance both of projects being located within the context of existing linkages and contacts within society and of sound strategies for disseminating research findings, and proposals will be judged accordingly.

IV. RESEARCH THEMES

IV.1 Research themes in the First Phase

The rationale for research themes
SANPAD emphasises research on development and development policy. The identification of research themes is very important in this respect. The SANPAD research themes are meant to reflect important issues within SA society, thus helping to flag key areas in which research is needed. Further, they are invaluable in guiding less experienced researchers in the choice of research subjects.

Research themes in the First Phase
The fields of interest were defined through an intensive process of consultation with stakeholders during the first year of SANPAD’s existence. The five current SANPAD research themes were selected from information obtained from various sources: SA policy documents; visits by the NL Ministry of Foreign Affairs delegation to various institutions; visits by the SA Interim Committee to the HDIs; submissions after a call for research ideas; submissions to a conference held during the SANPAD consultation process; and an overview of existing linkages between SA and NL researchers. These themes are:
1. New approaches to economic development;
2. Social development for empowerment;
3. Natural resources and their management;
4. Governance for democracy; and
5. Culture, identity and society.

In addition to the themes, several cross-cutting issues were identified that SANPAD wished researchers explicitly to consider. These are: global trends, gender issues, legal issues, youth management, transformation, and poverty.

The following table indicates the distribution of the projects among the 5 themes of the First Phase.

N.B. From the projects of 1997, 1998 and 1999, 7 projects are classified in 2 themes (5 times) or 3 themes (once) or 4 themes (once).

IV.2 Research themes in the Second Phase

Research themes in the Second Phase
Since the agreement on the themes, there have been two evaluations of SANPAD and both have called for the streamlining of themes in order to allow them “to play a significant role in improving the capacity and quality of Social Science research in South Africa” (Ofir, 2000; Box and Mohamed, 2001).

The 2001 External Review of SANPAD’s First Phase, commissioned by the NL government, notes that the number of aims and themes of the Programme has been too ambitious and needs culling. The current multiplicity of aims (quality research, research capacity building, a focus on historically disadvantaged categories of researchers, need for development alternatives and their implementation) is too great and a more limited focus on Social Science research appears to be warranted. The Programme could focus on a more limited number of themes, to both promote more scientific collaboration and facilitate programme governance and quality maintenance.

Since the development of the themes for the first funding cycle, there have been a number of new policy developments within the SA research and development arena, of which SANPAD will have to take cognisance, as it plans its themes for the next funding cycle.

In addition, the restructuring of the Research Science Councils and the Higher Education system has implications for the manner in which research planning will take place in SA, and the new planning mechanisms established in the restructuring process will need to be considered.

The SANPAD JC has commissioned a review of the themes for the next funding cycle. In 2002 a review and consultation/discussion process will take place in SA to define a limited number of fields of interest. These should be in line with current developments with regard to needs, priorities and policies in SA; they should also be in line with the general policy guidelines of the Netherlands Ministry of Foreign Affairs for research programmes to concentrate on societal relevance rather than being limited by discipline boundaries. These measures will influence the criteria for the SANPAD Call for Proposals and the acceptance of proposals as SANPAD projects as from 2003.

Furthermore, the review will provide recommendations on:
1. whether the theme-based approach should be continued by SANPAD and, if so;
2. the desirable number of themes;
3. which of the current themes, if any, should be continued; and
4. the identification and description of any new themes.

The themes for the Second Phase will be finalised at a conference on 9 October 2002 to be held in SA. The recommendations to be contained in the review will be considered at this conference.

The primary methodology for the review of the research themes will include:
? an analysis of relevant documentation; and
? interviews with key stakeholders (DACST; DoE; National Advisory Council on Innovation; National Research Foundation, or NRF; and the Human Sciences Research Council, or HSRC).

Key legislation and policy reports will also be analysed.

Interviews will be conducted with key people involved in policy-making on research and development. These interviews will be conducted in Pretoria and will take place over two days. An interview will also be conducted with the chair of the Portfolio Committee on Arts, Culture, Science and Technology in Parliament.

V. INTEGRATING AIMS INTO RESEARCH PROPOSALS

V.1 Criteria for assessment
Criteria
The main objectives of SANPAD (see Chapter II) should be met in each research project funded by the Programme. Based on these objectives a clear set of criteria is developed in terms of which project proposals are assessed. The project proposal forms the basis for deciding whether a research project fits within SANPAD. SANPAD has established a proposal format, a project assessment (peer review) form, and approval procedures. This system of procedures seems to be satisfactory and should be retained.

In order to assess whether project proposals qualify for funding, SANPAD follows the following guidelines. Proposals should:
• be coherent, balanced and practically feasible;
• fall under the proposed research themes;
• be scientifically sound and sufficiently innovative;
• be directly or long term policy-relevant;
• aim to contribute to the socio-economic development of SA;
• contribute to the building of research capacity in SA, particularly with regard to previous situations of disadvantage; and
• entail a co-operative effort between SA scientists and institutions and NL researchers.

Assessment procedures
The criteria are operationalised in a system for the assessment of proposals, by means of expert reviews, using an assessment form, and subsequent decision-making meetings of SANPAD management. The assessment procedure is currently as follows: so-called ‘pre-evaluation’ takes place in SA by a team of researchers, who comment on the project proposals. These comments are taken into account by the SA National Committee (NC) that meets to assess the proposals. In this meeting, a selection is made of proposals that go forward for peer review in SA and NL. In both countries external reviewers are asked to evaluate the proposal by using a review form. This form contains the following criteria:
1. relevance and significance
• reflecting a relevance to developments in SA society;
• potentially contributing to policy options;
• contributing to the advancement of knowledge and understanding; and
• exploring new lines of inquiry, being an innovative approach.
2. project approach, design and scientific quality
• clearly identifying the problem or proposed line of inquiry;
• adequately illustrating the need for this investigation;
• proper development of conceptual framework, theoretical assumptions, project design, methods and analyses, being integrated and appropriate to the aims and objectives of the research project; and
• soundness of proposed work plan and research methodology.

3. feasibility
• the proposed time frames and available human resources being such that the research has a good chance of being accomplished as stated; and
• the budget being justified in relation to the proposed research activities and in accordance with sound financial principles.

The reviewer scores each category and write down his/her justifications and comments, provides a total score for all categories including the recommendation for dealing with the proposal, and indicates a justification for his/her recommendation. Eventually, the proposals are assessed by the JC meeting and for each project a decision is taken. The following range of decisions occurs:
• approval, giving the go-ahead to the project;
• approval, but with strong recommendations to adapt particular aspects (e.g. collaboration with NL researchers, the budget, etc.);
• approval, with a strong recommendation to start with a workshop with all research partners involved;
• rejection; and
• proposal to reformulate and resubmit, usually by means of a workshop.

More explicit criteria can be (re-)formulated by SANPAD from time to time. Recently, a set of criteria was developed for dealing with requests from project leaders of existing projects for additional funds and extensions.

V.2 Modalities for projects
Research co-operation
SANPAD prioritises the funding of research co-operation. Since SANPAD is an SA-NL programme, co-operation between researchers from these countries is emphasised. At the same time, SANPAD encourages co-operation between institutions. Given the SANPAD aim of redressing inequalities, the Programme fosters linkages between (different types of) institutions in SA with different historical backgrounds.

Participating institutions
For the most part, SANPAD research is conducted at universities and technikons. Nevertheless, other types of institutions (such as NGOs, government departments (including hospitals) and Research Councils (e.g. the Agricultural Research Council, the SA Federal Council for Disability, and the Educational Opportunities Council), and the Department of Trade and Industry are not excluded from participation in the Programme.

Composition of research teams
SANPAD aims both to strengthen existing research competence and build new research competence, and thus research teams are sought which consist of both experienced and junior researchers. Junior researchers are linked with senior researchers, who are required to demonstrate their competence on the basis of past performance. Race, gender and institutional affiliation of the researchers are also considerations in composing research teams. There is strong emphasis on a multi-disciplinary team composition as well as linking SA participants with relevant NL researchers and other NL partners.

Demonstrate orientation on development
SANPAD wishes to stimulate development-related and policy-oriented research. Subjects of proposed research should fit into the themes defined by SANPAD and should demonstrate that a demand for research exists in a particular area of society. Continuous interaction between scientists and (stakeholders in) society is important in this regard. As mentioned above, proposals are assessed partly in terms of their proposed strategies for making the research results available to society in general and policy-makers in particular.

High scientific quality
SANPAD aims simultaneously to stimulate capacity building and support high quality scientific research. Project proposals reflecting innovative research and new research methodologies are welcomed. While the research design should be scientifically sound and practically feasible, there should also be sufficient expertise available in the project team, and sufficient experience in project management in research. A multi-disciplinary approach is highly recommended. Pre-formulation workshops (36) as well as pre-project workshops (50) will be awarded in the Second Phase to improve the quality of research planning and proposals. During the First Phase (1997-2001), 42 workshops were held to increase the quality of research proposals.

Duration and size of projects
SANPAD does not apply stringent guidelines for duration and size of research projects. The SANPAD Programme is managed in phases of five years each, the Second Phase of which will begin in 2003. The JC has the mandate to decide on the funding of projects within this period and within the limits of the budget available. To ensure flexibility and continuity, the appraisal of projects takes place annually. In principle, the projects are monitored by the SA secretariat and may last beyond the end of the five year phase. This makes it possible for the JC to approve projects in the fourth or fifth year of a phase.

Ceilings have been set for the amounts of the granted funds. During the First Phase this maximum changed from ZAR 250,000 to ZAR 350,000 (approximately Euro 38,500 with present currency rate, May 2002). For the Second Phase ceilings are envisaged ranging from ZAR 400,000 in 2003; to ZAR 440,000 in 2004; ZAR 484,000 in 2005; ZAR 532,000 in 2006; and ZAR 585,000 in 2007. The range is based on a 10% annual inflation rate.

‘Seed money’/Pre-proposal workshops
During the First Phase, it was customary in certain instances for SANPAD to provide funding for the preparation of a research proposal. The allocation of this 'seed money' was subject to strict rules; it had to be proven that, without funds, the formulation of a research proposal would not be possible, and a short draft proposal had to be submitted. The First Phase proved that less experienced researchers often find it difficult to set up a project proposal. For this reason, in the SANPAD Second Phase it is planned to increase the number of pre-formulation workshops. Such workshops are aimed at lowering entrance ceilings, by stimulating researchers from historically disadvantaged groups to elaborate research proposals. To apply for the ‘seed money’ for the pre-proposal workshop, the submission of a short draft formulation of the intended research object is required. The finalised proposal should be submitted within three months of the workshop. As part of the capacity building process, SANPAD can fund senior researchers from SA or NL to assist in the preparation of proposals by less experienced research leaders.

VI. RESEARCH CAPACITY BUILDING

VI.1 Research capacity building in SANPAD

Research capacity building
Research capacity building, as one of the main aims of SANPAD, entails the strengthening of existing research competence and the training of new researchers. In pursuing this aim, SANPAD seeks to redress inequalities of race and gender and takes account of the historical situation of SA, thus emphasising support for researchers from communities with a history of disadvantage.

Focus on human resources
A research programme such as SANPAD cannot and should not aspire to fund the building of physical infrastructure at research institutions. By supporting collaborative research projects, SANPAD focuses on human resources development in the field of research.

Results of the First Phase of SANPAD show that to a large extent project leaders (42%) come from historically disadvantaged backgrounds and 22% of the project leaders work at HDIs. Figures are presented in Tables 4 and 5 below. (Currently, there is database information on 67 SANPAD research projects.) In Table 4, project leaders are defined as two groups, one historically advantaged, and the other historically disadvantaged (notably black and/or female scholars).

Table 5 gives breakdowns of SANPAD project leaders for the two different types of universities (HAUs and HDUs), and Technikons. While 42% of project leaders represents historically disadvantaged groups, it would appear that 70% of project leaders work at HAUs.

VI.2 Research capacity building within projects
Research capacity building and strengthening research competence in people have always been core aspects of the SANPAD projects. Capacity building is mainly aimed at researchers from historically disadvantaged backgrounds.

One of the most successful results of the First Phase is the high number of students involved in the projects who come from historically disadvantaged backgrounds. Tables 6 and 7 below give breakdowns of students for disadvantaged and advantaged backgrounds (Table 6) and for race and gender (Table 7). It would appear that white male students, considered to form the advantaged group, are in the minority (8%). Of the disadvantaged group (92%) the majority is black male (44%), followed by black females (34%).

Every research project carried out within SANPAD should contain elements of research capacity building and contribute to the building of research competence of those scholars who are historically disadvantaged.

Elements of research capacity building within projects would include, for instance:
• project workshops, e.g to start up the project, midway meetings, etc.;
• linking with NL colleagues;
• linking with other institutions, and co-operation within and outside SA;
• short and long-term exchanges of scholars;
• training in, for instance, research methodology and writing articles for journals;
• stimulation of PhD research and publications by young, less experienced academics;
• involvement of members of communities where research is conducted; and
• in exceptional circumstances, financing necessary investments in research infrastructure.

VI.3 Research Capacity Building Initiative (RCI)

RCI pilot phase
One of the instruments developed by SANPAD is the RCI-1, an intensive research methodology training course. The RCI was introduced in May 1999 as a 15 month pilot programme, aiming to develop individual researchers with the knowledge and skills to conduct good research and to transfer their expertise to others. RCI-I (pilot programme) consisted of five modules: Project Management and Research Design in Social Research; the Politics and Ethics of Knowledge Production; Qualitative Research Methodology; Quantitative Research Methodology; and Programme Evaluation. These modules were taught from July 1999 to mid 2000.

In response to candidates’ requests, a number of additional specialist workshops were run: on MS Powerpoint and on the Internet as a resource in Social Science research. Proposal Writing Workshops were organised at the University of the North West, the University of Fort Hare, and the University of the North. Three proposals submitted subsequent to the Fourth Call for Proposals (2001) can be traced back to this workshop.

RCI pilot candidates
For SANPAD’s RCI-1, 262 applications for participation were received. From across SA, 40 candidates who had just embarked or were about to embark on a PhD project were selected. The majority of the candidates selected were female, black and from HDIs, representing 18 disciplines mainly in the Social Sciences and Humanities. Their ages varied from 26-58 years and they were at various stages of their research careers after completion of their Masters degrees. All worked in areas related to the five SANPAD themes, but none was from the SANPAD-supported project teams. These candidates received stipendia to enable them to attend the modules and workshops, which were each repeated in the north of the country.

Reflection on the RCI pilot programme
An evaluation was commissioned immediately after completion of RCI’s pilot phase in September 2000. The evaluation indicated that there is a definite need for research capacity building in SA, where currently no centrally driven RCI Programme exists for Social Sciences. The evaluation also revealed a number of problems, such as: the absence of a link between RCI candidates and SANPAD-funded projects; fluidity in the management of the RCI; and under-representation of NL experts within the course. It was, however, strongly recommended that the RCI Programme continue, very much based on the enthusiasm and support of the candidates (i.e. the students).

In March 2001, a Round Table Workshop was held at the ISS in The Hague, NL, resulting in a proposal for a second programme of the RCI. The new model aims to integrate capacity building activities more closely within ongoing research activities and broader thematic research communities.

A steering committee, consisting of both SA and NL members, was established in August 2001, in order to draft a curriculum design for the intended RCI second programme. The core theme is the notion of scholarship. Emphasis is placed on the development of critical thinking and a process that assures a rigorous selection process of candidates in terms of their scholarly potential and interests. The decision was taken to admit mostly participants from SANPAD projects, but a few places should be kept for underprepared female black researchers who are the most disadvantaged.

RCI second programme

The RCI second programme began in January 2002. It is built on 7 modules:
1. Thematic Seminar I, and Introduction;
2. The Philosophy and Design of Social Research;
3. Quantitative Research;
4. Qualitative Research;
5. Participatory Research;
6. Evaluation Research; and
7. Thematic Seminar II, and Conclusion.

Each module is presented by both SA and NL researchers in mutual co-operation. The NL Research School, CERES, which is represented on the Steering Committee, is contracted to deliver suitable NL researchers for teaching.
Additional courses are given on practical skills, such as Academic Writing, Access Software Use, Internet Use, and Power Point.

Candidates for RCI, second programme
The requirements for candidates are that they:
• be working on SANPAD-funded projects;
• be from a historically disadvantaged group;
• have completed a Masters degree;
• be registered or about to register for a PhD; and
• be committed to a career in academia.

Letters were sent to 64 project leaders, inviting them to nominate collaborators who met the requirements for candidates for the RCI. Twenty-seven applications have been received, three of them unsuitable, resulting in 24 participants from SANPAD projects. Three more candidates were recruited from the target group of black female project leaders who had submitted proposals to SANPAD in the past but had been unsuccessful. Of the 27 candidates, the demographics (race, gender, and their institutions) are provided in Tables 8 and 9 below.

Table 8. Race and gender of RCI candidates
Race and gender Number %
Black female 13 48
White female 3 11
Black male 11 41
Total 27 100

It is fitting that black females form the largest group (48%) of the RCI intake. If these translate into more black female-led projects funded by SANPAD then one of the goals of the RCI will have been achieved. Sixteen (59%) of the candidates work at HDIs (Table 9), indicating that the research enhancement gained on the RCI will benefit these institutions as well.

Table 9. Candidates' institutions
Type of institution Number of candidates
HDU 15
HDT (Historically Disadvantaged Technikon) 1
HAU 10
Research NGO 1
Total 27

RCI in SANPAD’s Second Phase
For the Second Phase of SANPAD, an annual RCI course is envisaged as a 7 week course throughout the year, for 25-30 students, mostly originating from the SANPAD projects and, to a lesser extent, from the category of underprepared black female scholars. The RCI will be evaluated annually by an independent SA institution, commissioned by the JC. The type of collaboration with NL researchers will depend on the results of such evaluation.

VII. ORGANISATIONAL STRUCTURE

VII.1 The structure of SANPAD

Motivation for the change
Experience gained during the First Phase of SANPAD (1997-2002) has indicated that the SA SANPAD structures (the SA NC and the SA Advisory Council, or SA AC) should be collapsed into a new body, the SA National Board (SA NB), consisting of highly regarded researchers and stakeholder representatives from government and the NGO sector. In this way, the key shortcoming as identified by the old SA AC – viz. lack of clarity with regard to its role and functions – will be addressed.

SANPAD organogram

JC: 3 SA, 3 NL
SA NB: 13 members
NL NC: 6 members NL AC: no of members to be determined by NL NC
Programme director/secretariat SA/intermediary institution
Co-ordinator/secretariat NL/intermediary institution (sub-contractor)

VII.2 South African National Board (SA NB)

Membership
The SA NB is to comprise representatives of appropriate national organisations and bodies with research-related objectives and highly regarded researchers. The overall composition should be 13 members.

The following 6 stakeholder organisations will be invited to nominate representatives:
• SA University Vice Chancellors’ Association (SAUVCA) – 1 member;
• Committee of Technikon Principals (CTP) – 1 member;
• Ministry of Education – 1 member;
• Ministry of Arts, Culture, Science and Technology – 1 member;
• SA Academy of Science – 1 member; and
• SA NGO sector – 1 member.

In addition, 7 highly regarded researchers from Higher Education institutions will be invited to become members.

The composition of the SA NB should be equitable in terms of race, gender, discipline and regional background. The members should elect a chairperson and deputy chairperson. The Director of the intermediary institution (see VII.7) may be invited from time to time to attend and participate on a non-voting basis in SA NB meetings. The SANPAD Programme director would be in attendance at all meetings.

The members shall select a five-person Executive Committee comprising the chairperson, deputy chairperson and three other members.

The chairperson should not be a representative of one of the stakeholder bodies. In total, at least three members should not be from the stakeholder group. At least one member should not be from the researcher group.

Appointment procedures
The stakeholder group will be invited to nominate representatives. For all non-stakeholder members, a call for nominations will be sent to all SA Higher Educational institutions.

Non-stakeholder members will be elected by an electoral college. An independent agency such as ACCORD or an auditing company may be appointed as the electoral body. In the event of the resignation of any member from the non-stakeholder group, the SA NB may co-opt a replacement member.

To maintain continuity, 3 of the 7 non-stakeholder members (researchers) should be members of the outgoing SA NC.

Members would be appointed for the duration of the Second Phase. The SA NB may decide to implement a rotation scheme in terms of which 3 researchers (who have been members of the SA NC) will be replaced at the end of the third year of SANPAD’s Second Phase.

Tasks
• management of the Programme including:
- preparation of budgets for submission to the JC;
- financial oversight of income and expenditure;
- consideration of audited statements provided by the intermediary institution for submission to the JC; and
- staffing of the SA office.
• liaison with the intermediary institution;
• pre-project selection, proposal review and prioritisation;
• project monitoring and evaluation;
• monitoring and evaluation of non-project activities such as conferences, workshops and programme communication;
• planning, implementation, monitoring and evaluation of the RCI;
• representation of the Programme at the JC;
• liaison with SA stakeholders, including the SA government; and
• liaison with NL government.

For the execution of its management tasks the SA NB may appoint committees.

Meetings
The SA NB should meet at least twice annually, once every six months. The Executive Committee should meet at least quarterly. The members receive an attendance fee and travel costs per meeting.

VII.3 Netherlands National Committee (NL NC)

The NL NC consists of 6 members and is responsible for national matters such as supervising the co-ordinator/secretariat, contacts with the hosting institution, relations with NL researchers, and contacts with the ministries involved.

Composition and membership of the NL NC
The composition of the NL NC reflects the variety of influences and contacts needed. Each vacancy will be used to adjust the composition according to prevailing circumstances at the time. The period of membership is three years, with the possibility of extension once, for a further three years.

Any changes in the composition of the NL NC are to be reported to the Ministry of Foreign Affairs. The chairperson of the NL NC is chosen from among the members. She/he is appointed for three years with the possibility of extension once within her/his maximum period as a committee member. The NL NC appoints two of its members to accompany the NL chairperson to the JC.

Tasks
• representation of SANPAD and the JC in NL;
• support and advice to the JC;
• appointment and supervision of the SANPAD staff at the NL secretariat, in concordance with the NL intermediary organisation;
• liaison with the NL collaborative research institutions; and
• liaison with NL government.

Meetings
The NL NC should meet at least four times annually, and members receive an attendance fee and travel costs per meeting.

VII.4 Joint Committee (JC)

Membership
The JC will consist of:
• the chairperson, deputy chairperson and one additional member of the Executive Committee of the SA NB; and
• the chairperson of and 2 additional members nominated by the NL NC.

The SA NB or NL NC, as the case may be, may delegate another member where a JC member is unable to attend a JC meeting.

Tasks
• decision-making on policy and other governance matters;
• approval and submission of the workplan and budget for each phase of the Programme;
• approval of the annual report and the audited financial statement;
• liaison with NL government;
• reporting to and advising the NL government;
• evaluation of the Programme;
• final assessment and selection of research proposals; and
• determination of and, if necessary, amendments to project contracts.

Meetings
The JC should meet at least twice annually. The members receive an attendance fee and travel costs per meeting. A meeting of the JC is legally valid when each national delegation comprises at least two members of the SA NB and of the NL NC. Decisions are made by consensus among the members present or, in the case of interim decisions, by the chairpersons of the SA NB and NL NC. The SA Programme director and office manager, as well as the NL SANPAD co-ordinator attend all JC meetings.

VII.5 Netherlands Advisory Council (NL AC)

The NL AC is best described as the inner circle of SANPAD NL; ‘friends of SANPAD’ in NL. The members advise on general policy matters and on projects, and provide access to relevant organisations, universities etc.

Composition and membership
The composition of the NL AC will reflect the variety of influences and contacts needed. Each vacancy will be used to adjust the composition according to prevailing circumstances at the time. The period of membership is three years, with the possibility of extension once, for a further three years. The chairperson is elected by the NL AC. She/he is appointed for three years with the possibility of extension only once for a further period of three years.

Tasks
• recommendations on the nomination of the members of the NL NC;
• advice on general policy matters, such as the SANPAD annual reports, the budget and workplan, and the evaluations of SANPAD; and
• advice on matters concerning the NL collaboration on SANPAD research projects.

Meetings
The NL AC meets twice annually, and the members receive an attendance fee and travel costs per meeting.

VII.6 Secretariats

SA secretariat The SANPAD secretariat in SA plays a pro-active and interventionist role in promoting the Programme, identifying research potential, encouraging linkages between SA institutions, and facilitating the building of research capacity. It will, for instance, assist less experienced research leaders in the drafting of project proposals (pre-project workshops). The SA Programme director will take part in the preliminary adjudication of incoming project proposals. SANPAD in SA will strike a balance between connecting to existing initiatives (in, for example, capacity building) and maintaining the autonomy and flexibility envisaged. The SANPAD Programme director has an important role to play in this respect and should, therefore, be well informed of the existing SANPAD structures and programmes (projects, RCI, other programmes and activities).

The SA Programme director will report to the SA NB on a regular basis on all SANPAD programmes. She/he will implement any operational directives as determined by the SA NB from time to time, within the context of the broad policy framework as determined by the JC.

NL secretariat
The NL SANPAD secretariat plays an important role in identifying and liaising with NL expert referees for comment on proposals. The NL secretariat also facilitates the liaison between SA and NL researchers. The NL secretariat performs an important function in the link with the NL Ministry of Foreign Affairs.

Both secretariats prepare for and assist in the meetings of their respective structures (the SA NB, the NL NC and the NL AC) as well as the JC meetings.

VII.7 Contracts and financial management

Since SANPAD is not a legal entity, it does not contract staff or sign contracts. This means that the SANPAD staff in SA and NL are appointed by the SA NB or the NL NC, as the case may be, and the employment agreement is signed by the SA (or NL) intermediary institution (currently the eastern seaboard Association of Tertiary Institutions, or esATI, and the Netherlands Institute for Southern Africa, or NiZA, respectively). The SANPAD staff are responsible for secretarial, accounting and other implementation tasks within the Programme. In the First Phase, the NL Ministry of Foreign Affairs (DGIS) concluded a contract with NiZA, which had overall responsibility for accounts and contracts. Currently, NiZA accountants are responsible for control of bookkeeping and accounts. NIZA in turn has a contract with esATI, as a sub-contractor, for the implementation of the SA part of the Programme.

Transfer of management
For the SANPAD Second Phase, the intention is to transfer the major part of the operational management to SA. This means that for the Second Phase the contracting and financial management structure will be turned around. The overall contract will have to be signed between the DGIS and the SA intermediary institution, as the first contracting partner. This SA intermediary institution will then sign a contract with a NL intermediary institution (sub-contractor) for the implementation of the NL part of SANPAD. The NL secretariat will, in terms of this arrangement, retain its own financial means to cover costs on the NL side. At the request of the SA intermediary institution, payments will be directly made from the DGIS to the NL intermediary institution.

If, for any reason, a change of intermediary institution(s) is deemed necessary, the JC will take a decision in this regard.

VII.8 Communication

Financial reporting
The SA intermediary institution will receive, on a regular basis, audited reports from the NL intermediary institution, and will be responsible for submitting, on a regular basis, an integrated set of audited statements via the SA NB and the JC to the DGIS.

Internal communication
Communication within SANPAD, as a co-operative SA-NL programme, is crucial. The almost daily communication by e-mail or phone/fax between the secretariats in SA and NL is enhanced by a number of annual visits to each other. Communication between the secretariats and the JC, the SA NB and the NL NC, and the NL AC, is mainly conducted by e-mail and regular meetings.

Maintaining communication between the project participants in the SANPAD Programme and the SANPAD secretariats is a vital role for the secretariats. Main principles for regular reporting have been determined. Both secretariats communicate directly only to the participants in their own country and leave the direct communication within the other country to their respective colleagues. In the exceptional cases that cross-communication is needed, communication is copied to the other secretariat.

Publicity
All those connected with SANPAD will receive a SANPAD newsletter at least once annually. Outsiders and insiders may access information on SANPAD through the SANPAD website – www.sanpad.org.za. The website warrants further development and regular updating.

VIII. DESIGNATED FUNDS

VIII.1 Division of funds
SANPAD’s total budget consists of programme funds (First Phase 70%) and management funds (First Phase 30%).

Programme funds (70% of total budget)
For the First Phase the budget for the programme funds was largely divided into three categories:
• 70% for research projects;
• 20% for research capacity building; and
• 10% funds for other activities, mainly research dissemination and implementation.

The actual outcome of the First Phase is provisionally estimated as follows (the expenses of 2002 have not yet been determined):
• 78% for funding of research projects and workshops;
• 20% funds for research capacity building, particularly the RCI; and
• 2% funds for other activities.

For the Second Phase the following division of funds is envisaged:
• 65% for funding of research projects and workshops (pre-proposal and pre-project workshops);
• 30% funds for research capacity building, mainly the RCI; and
• 5% funds for other activities (non-project funding), which will be focused on research dissemination and implementation in the context of development-relevance and policy-orientation.

Management funds (30% of total budget)
The management funds are divided in terms of:
• management (secretariats, the SA NB, the NL NC and NL AC, and the JC);
• overhead costs; and
• contingencies.

For the Second Phase the division as regards management funds between SA and NL will change, since financial management will mainly be transferred to SA.

See Chapter IX for information on the budget.

VIII.2 Project funding

General principle
The modalities of the research projects that will qualify for SANPAD funding have been referred to in Chapter V. All projects carried out under the Programme will have to be based on the following principles, viz. to:
• be of a high scientific standard;
• be development-related and policy-oriented;
• foster institutional co-operation (SA-NL and SA-SA); and
• build individual research competence.

The following table sets out the targets for the Second Phase of SANPAD concerning the number of research projects, the number of expected extensions, the number of workshops (pre-proposal as well as pre-project). Provision has been made for an annual inflation (costs increase) rate of 10%.

Table 10. Targets for project funding from 2003-2007 (yearly increase of 10%)
2003 2004 2005 2006 2007 Total
No. of supported projects 14 16 20 23 27 100
(average 20 per year)
Ceilings of project funds in ZAR 400,000 440,000 484,000 532,400 585,640
No. of extensions 5 5 7 7 9 33
Ceilings of extensions in ZAR 60,000 66,000 72,600
79,860 87,846

No. of pre-proposal workshops
5
6
7
8
10
36
No. of pre-project workshops
5
7
10
13
15
50
Total no. of supported workshops
10
13
17
21
25 86
(average 17 per year)
Ceilings of workshop funds in ZAR 35,000 38,500 42,350 46,585 51,244

VIII.3 Research Capacity Building

30% of the SANPAD Programme funds will be earmarked for research capacity building, mainly related to research projects approved by SANPAD.

The current (2002) RCI is budgeted for ZAR 2,76 million (Euro 276,058). 80 % of the students are directly connected to SANPAD projects. The main expenses are: accommodation and travel, presenters from SA and NL, lecture materials, and web-based support.

For the Second Phase the results of the annual evaluations by the independent SA institution commissioned by the JC will be used to decide on the actual content of the NL contribution.

For purposes of calculating the RCI budget for the period 2003-2007, the 2002 budget (Euro 276,058) has been taken as a starting point. This figure is equal to 40 % of the project funds (Euro 687,500). From 2004 onwards, this ratio of 40 % of the project funds is maintained, due to the expectation that the increase of projects result in an increase of RCI candidates (and possibly into parallel courses).
The total RCI budget for 5 years adds up to 26% of the Programme funds.

The remaining capacity building funds (4%) will be used for capacity building connected to the research projects, such as specific research seminars, working groups or conferences to elaborate existing research projects and to transfer research-related knowledge. This is a new instrument in SANPAD policy.

VIII.4 Non-project funding

Apart from the projects and RCI, 5% of the SANPAD Programme funds is earmarked for special activities. These include:
• seminars and conferences to stimulate the dissemination of policy relevant research outcomes;
• publications of relevant material;
• a North-South conference on co-operation in general; and
• other activities.
Although this item was budgeted in the first phase, it was not fully exploited as it will be in the second phase. In that sense it can be considered as a new instrument in SANPAD policy as explained in Chapter III.

VIII.5 SANPAD policy on salaries

As a general rule SANPAD neither pays salaries to researchers nor pays for research collaboration. SANPAD accepts projects only from research leaders who are already attached to established institutions. Compensation for salaries for SA PhD or Masters students can be included in project budgets.

IX. BUDGET

As mentioned, the financial resources for the SANPAD Programme come from the NL Ministry of Foreign Affairs. For the First Phase the budget was Hfl 12,5 million (= Euro 5,7 million). For the next 5 year phase a budget of approximately Euro 10,6 million is envisaged.

There will be a SA budget covering SA research project costs and the financial, operational and organisational management costs, and a separate NL budget covering all NL costs concerning NL collaborators of projects and the NL part of the operational and organisational management. (See VII.6 as regards the financial management of the SANPAD Programme.)

The provisional budget consists of two tables:
TABLE I: Provisional Budget Projects and Workshops SANPAD Second Phase (2003-2007); and
TABLE II: Provisional Overall Budget SANPAD Second Phase (2003-2007)

The figures in the second table result from those in the first table.

The following provisions have been made:

TABLE I (PROJECTS AND WORKSHOPS):
1. A yearly increase of projects and workshops according to table 10 in Chapter VIII.
2. A yearly costs increase (inflation) of 10 % for the projects and workshops (see table 10).
3. The actual currency rate of ZAR : Euro (0,11) is taken as starting point for 2003.
4. A correction of possible devaluation for the years 2004 up to 2007 (currency rates respectively 0,10, 0,09, 0,08, and 0,07).

TABLE II. (OVERALL BUDGET)
1. Ratio Programme Funds : Management Funds = 70 % - 30 %.
2. Within Programme Funds (70 % of Total Budget):
Ratio Project Funds : Capacity building: Non-project activities = 65 % - 30 % - 5 %.
3. For RCI, the budget of 2002 is taken as starting point, being 40 % of the project funds which percentage is maintained up to 2007 (see VIII.3).
4. Within Management Funds (30 % of Total Budget):
Ratio Management : Contingencies : Overhead = 21 % - 2 % - 7 %.

REFERENCE LIST

Annual Reports of the Research Science Councils. (2001).

Box, L & N Mohamed (2001). SANPAD-1 Review Report (Executive Summary).

Comparative Study of the impacts of donor-initiated Programmes on Research Capacity in the South, Ministry of Foreign Affairs, NL (September 2001)

Department of Education. (2001). Guidelines for Institutional Submissions of Proposed Teaching/Research Niche Areas and Programme Mix for 2002-2006. Pretoria.

Department of Education. Research Outputs in Higher Education. (2000).

Education White Paper 3 (1997). A Framework for the transformation of Higher Education. Pretoria.

Foresight Reports.

Human Resource Development Strategy. (2000).

Ministry of Economic Affairs (NL), Zuid-Afrika, Economisch Perspectief. (2000)

Ministry of Foreign Affairs (NL), Directorate-General for International (Development) Cooperation (DGIS), website and brochure information, Division for Research and Communication (2002)

Ofir, ZM (2000). SANPAD Formative Evaluation Report for the period September 1997-March 2000.

Presidential Development Imperatives. (2001).

Report of the National Council on Innovation (NACI).

Report of the National Working Group on Higher Education. (2002).

SANPAD documentation.

SANPAD Projects Nos. 97/70, 98/37, 98/96, 98/99.

Strategic Plan for the Department of Arts, Culture, Science and Technology. (2002-2005).

Teaching/Research Niche Areas and Programme Mix for 2002-2006. Pretoria.

The National Plan for Higher Education. (2001).

White Paper on Science and Technology. (1996). Department of Arts, Culture, Science and Technology. Pretoria.

ANNEXURE A

What follows are excerpts from the National Plan for Higher Education (February 2001:71-77) of information relevant to the SA research agenda.

SUSTAINING AND PROMOTING RESEARCH

GOAL FOUR:
“ To secure and advance high-level research capacity which can ensure both the continuation of self-initiated, open-ended intellectual inquiry, and the sustained application of research activities to technological improvement and social development” (White Paper: 1.27).

STRATEGIC OBJECTIVE:
• To sustain current research strengths and to promote the kinds of research and other knowledge outputs required to meet national development needs, and which will enable the country to become competitive in a new global context.

PRIORITIES:
• To increase outputs of postgraduates, particularly masters and doctoral graduates.
• To increase research outputs.
• To sustain existing research capacity and strengths, and to create new centres of excellence and niche areas in institutions where there is demonstrable research capacity or potential.
• To facilitate collaboration and partnerships, especially at the regional level, in research and postgraduate training.
• To promote articulation between the different elements of the research system with a view to developing a national research strategy linked to the national system of innovation.

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CONTEXT: RESEARCH OUTPUTS AND PRODUCTIVITY:
The White Paper recognises that research plays a key role in the production, advancement and dissemination of knowledge and the development of high-level human resources. It argues that “research is the principal tool for creating new knowledge” and that the “dissemination of knowledge through teaching and collaboration in research tasks are the principal tools for developing academic and research staff through postgraduate study and training” (White Paper: 2.82). The emphasis on research in the White Paper is based on the recognition that national growth and competitiveness in the context of the emergence of a knowledge society is “dependent on continuous technological improvement and innovation, driven by a well organised, vibrant research and development system which integrates the research and training capacity of Higher Education with the needs of industry and of social reconstruction” (White Paper: 1.12).

The development and sustainability of the national research system is also dependent on its ability to respond to the opportunities and challenges provided by the global transformation in knowledge production and dissemination. This transformation has been driven by vastly increased (and increasing) global information and communication technologies, by the changing ways in which knowledge is produced, mediated and used, and by the development of multiple sites of research and knowledge production which are partly or wholly separate from Higher Education. In this context, the role of the national research system is not simply to respond to local imperatives, but also to develop the capacity to take advantage of the new opportunities that globalisation has engendered.

The value and importance of research cannot be over-emphasised. Research, in all its forms and functions, is perhaps the most powerful vehicle that we have to deepen our democracy. Research engenders the values of inquiry, critical thinking, creativity and open-mindedness, which are fundemental to building a strong, democratic ethos in society. It creates communities of scholars, who build collegiality and networks across geographic and disciplinary boundaries. It makes possible the growth of an innovation culture in which new ideas, approaches and applications increase the adaptive and responsive capacity of our society, thereby enhancing both our industrial competitiveness and our ability to solve our most pressing social challenges. It contributes to the global accumulation of knowledge and places SA amongst those nations who have active programmes of knowledge generation.

The challenge that faces the Higher Education system is to ensure that the national research system generates benefits of the kind identified above. However, despite the strong emphasis the White Paper places on the need to develop research capacity and output, the current capacity, distribution and outcomes of the Higher Education research system remain a cause for concern.

First, with regard to research outputs, the available data suggest a decline in total published outputs in recent years. The average output for 1999 was around 10% less than that for 1997. Similarly, it is estimated that our share of world output has declined from approximately 0.7% in 1994 to approximately 0.51% in 1998 (as measured by the Institute for Scientific Information). The reasons for the decline in research outputs are not clear and require investigation. However, one likely explanation is the shift in research focus towards strategic and applied research, with the emphasis on socio-economic and industry-related issues, and a concomitant decline in basic research. This is confirmed by data from the SA Knowledgebase, which indicate a shift over the past ten years towards more health and applied natural science research and a shift from general humanities research to more applied social science research.

The shift in focus to strategic and applied research has clearly been influenced by the increased availability of resources for contract research both from Government and the private sector. This research is often not published in accredited journals or in other formally recognised output measures.

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The concentration of research outputs in a few institutions, leaving aside historical inequities and the fact that technikons were until recently precluded from undertaking research and offering postgraduate programmes, is not surprising. The reason for this is simple: Research requires a critical mass of human and other resources, in particular, appropriately qualified staff (the doctorate serves as an indicator of the capacity to undertake and to supervise research), availability of postgraduate students who form an integral component of institutional research activities, and the appropriate research infrastructure iin terms of library holdings and laboratories.

The building of research capacity and infrastructure is cumulative and occurs in a long timeframe. It is dependent not only on the availability of resources, but also, and more critically, on the development of an academic environment and culture that is conducive to, and actively promotes, research. This goes a long way to explain the continuing low research capacity in the historically black institutions, despite concerted efforts since 1994 by the Government to develop such capacity. The redress measures to build research capacity, which have largely been driven through the science councils, have included : special block grants to the historically black universities, special initiatives for women in research, and increasing grant allocations to black postgraduate students. In 2001, R79 million has been allocated for research capacity-building by the National Research Foundation.

However, despite these initiatives, less than 10% of all research outputs are produced by the historically black institutions, with just two institutions – the University of Durban-Westville and the University of the Western Cape – accounting for most. Furthermore, the involvement of the historically black institutions in Government’s competitiveness improvement research project THRIP (Technology and Human Resource for Industry Programme), which has almost doubled its budget from R40 million in 1997/1998 to R76 million in 1998/1999, remains disappointingly low.

A third area of concern is the low enrolments in masters and doctoral programmes. Between 1995 and 1999, masters and doctoral enrolments as a proportion of total head count enrolments increased from 5% to 5.7%, i.e. from 28 700 to 32 600. There was an increase from 4.7% to 5.5%, i.e. from 27 000 to 31 300 in the universities and a marginal decrease in the technikons from 0.3% to 0.2%, i.e. from 1700 to 1 300.

Although the reasons for the decline in the technikons is not clear, the overall difference between the universities and technikons is due to the fact that until 1993 technikons were legally barred from offering masters and doctoral programmes.

In terms of equity, black students constitute about 30% of all masters and doctoral enrolments in Higher Education. However, they only constitute about 20% of the postgraduate enrolments of the historically white universities. In the case of women, they constitute about 40% of all postgraduates.

Masters and doctoral graduates accounted for approximately only 6% of all university and technikon graduates in 1998. This amounted to 5 200 from universities (7.7% of the total number of graduates from universities) and 100 from technikons (0.5% of the total number of graduates from technikons).

According to Higher Education institutions, there are two reasons for the low overall enrolments in postgraduate programmes; first, the lack of postgraduate scholarships and declining financial support from other sources; second, the lack of incentives for postgraduate study, given labour market competition and the fact that academic salaries have not kept pace with salaries in the public and private sectors.

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The low enrolments in postgraduate programmes need to be addressed urgently. It is clear that unless strategies are developed at system-wide and institutional levels to make postgraduate study and academic careers more attractive options, the future sustainability of the national research system and of the Higher Education system is under threat. Both are dependent on the production of postgraduates for the replenishment of academic and research ranks.

The decline in research outputs and capacity and the low postgraduate enrolments are a symptom of a broader problem that plagues the national research system, that is, its continued fragmentation and lack of co-ordination. This is evident, for example, in the fact that there is no nationally integrated information database for research. Furthermore, research funding is fragmented with little or no attempt to co-ordinate funding to ensure that it adds value to research priorities. Indeed, it could be argued that in the absence of a national research plan, there are no clearly defined research priorities.

The need to develop a national research plan linked to the national system of innovation, which is at the centre of Government’s Science and Technology Strategy, is urgent. This requires the development of appropriate co-ordination mechanisms involving the different actors in the research system, including the relevent State departments and the science councils, in particular the National Research Foundation.

OUTCOME 13: RESEARCH CONCENTRATION AND FUNDING LINKED TO OUTPUTS

The Council on Higher Education makes two recommendations in relation to research and postgraduate training. First, that research resources cannot be dispersed across the full range of institutions if the research and postgraduate training needs of the country are to be successfully addressed. As the CHE argues :
“ No country can institutionalise postgraduate teaching and high-level research in a comprehensive way in every one of its Higher Education institutions. The contraints of available human and financial resources preclude this and permit the development of only a limited number of institutions with such a mandate.”
(CHE: 41)

Second, that “there should no longer be a ‘blind’ research funding component but that research should be funded through earmarked funding” (CHE: 56). The ‘blind’ component refers to the 15% allocated in the current funding formula for research infrastructure, which is only available to the universities and not to the technikons.

The Ministry accepts the case made by the Council on Higher Education for concentrating research resources. This in consistent with the policy framework for research advocated in the White Paper, which states:
“ In view of the national strategic importance of research, and in order to ensure that the relatively scarce funds available for the development of research capability are well targeted, public funds for participation iin research, whether basic or applied, should not be spread across all faculties or schools in all institutions, but should rather be concentrated in those areas where there is demonstrable research capacity or potential, in both HDI’s and HWI’s (White Paper: 4.54).

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The Ministry does not, however, support, as indicated in Section 4.2.1, the Council on Higher Education’s proposal to concentrate research resources in the comprehensive research and post-graduate training institutions. The Ministry does not support the CHE’s approach as it would legitimise and institutionalise the inherited apartheid legacy in which the historically white institutions continue to dominate and monopolise the production and dissemination of knowledge. And more crucially, it would destroy the pockets of research excellence, limited as this may be, in the historically black universities and the technikons more generally.

At the same time the Ministry does not favour a “blanket” approach to the allocation of research resources, regardless of the research profile and capacity, including potential, of institutions. The Ministry therefore proposes, in line with the mission and programme differentiation approach outlined in Section 4.3, to concentrate research resources in institutions where there is demonstrated capacity or potential based on approved mission and programme files.

The Ministry also agrees with the recommendation of the Council on Higher Education that the “blind” component for research funding should be separated in the funding formula as institutions are not required to account for the “blind” component. It therefore results in the inefficient utilisation of resources as not all institutions use the allocated funds to support research.

The Ministry does not however, agree that the “blind” component should be replaced with the funding of research on the basis of earmarked funds. This would require the production and evaluation of competitive bids linked to business plans, which would be onerous both for institutions and for the Department of Education.

The Ministry is therefore of the view that, given both systemic and institutional capacity constraints, research funds should be disbursed as a separate component of the new funding formula based, at a minimum, on research and graduate outputs. The Ministry recognises that research and graduate outputs may have to be complemented by other indicators for measuring research. The Ministry will seek advise on the appropriate additional indicators as part of its consultations on the introduction of a new funding framework.

The separation of the “blind” component would have to be phased-in over a period of time to ensure that it does not negatively impact on the financial sustainability of institutions whose research profile is limited and which may therefore receive allocations for research that are below the normal 15% of the existing subsidy.

The Ministry recognises that focusing on research and graduate outputs would in the short-term benefit the small number of historically white universities, which have the current capacity to undertake research and offer postgraduate training. The Ministry is committed to maintaining this capacity as it is critical to meeting the research needs of the country. However, it is important to ensure that this capacity is responsive to the national research agenda and, in particular, to addressing the race and gender inequities in postgraduate training. In this regard, the Ministry is especially keen to encourage inter-institutional collaboration both regionally and nationally, with specific emphasis on collaboration that enhances research capacity in historically black institutions and technikons.

The maintaining of current capacity should not, however, be at the expense of building new capacity and centres of excellence in research and postgraduate training. The Ministry will therefore allocate earmarked funds to build capacity and to develop potential centres of excellence in research and postgraduate training at the historically black universities and the technikons in general.

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In addition, the Ministry will request the Higher Education Quality Committee to prioritise quality audits of postgraduate programmes to enable the targeting of resources to current and potential centres of excellence in research and postgraduate training. This is in line with the programme-based approach and is important as it cannot be assumed, as the Council on Higher Education argues, that “postgraduate teaching and research capabilities… (exist) in every field and discipline at every institution” (CHE: 41).

The Ministry will also consider allocating funds to provide postgraduate scholarships in order to increase the pool of masters and doctoral students. These scholarships would, in particular, be targeted at addressing the race and gender inbalances in research and postgraduate training.

The provision of earmarked funds for building research capacity and postgraduate scholarships will be done in collaboration with the National Research Foundation (NRF) to promote greate co-ordination and efficiency in the allocation of State resources, thus ensuring better value for money.

OUTCOME 14: INCREASED GRADUATE ENROLMENTS AND OUTPUTS AT THE MASTERS AND DOCTORAL LEVELS

The Ministry is committed to increasing postgraduate enrolments in the long-term. However, further analysis is necessary to determine the appropriate enrolment targets. The Ministry is convinced that in the short to medium-term, i.e. over the next five to ten years, the priority must be to increase graduate outputs at the masters and doctoral level. Even with the current small enrolments, drop-out rates are high and completion rates are slow. This is unacceptable, especially given that postgraduate students are a highly qualified group.

An analysis of graduate patterns indicates that the Higher Education system is currently producing approximately 4600 masters graduates (or 5% of total enrolments) and 750 doctoral graduates (or 0.8%) annually.

The Ministry proposes that over the next five years the system as a whole should improve the efficiency of its postgraduate output in line with the benchmarks outlined in 2.3.1. At a minimum:
• At least 6% of the annual output of graduates, i.e. 6 000 of the minimum target of 100 000 graduates per annum, as indicated in Section 2.3.4, must be masters graduates.
• At least 1% of the annual output of graduates, i.e. 1 000 of the minimum target of 100 000 graduates per annum, must be doctoral graduates.

The Ministry would also like to encourage Higher Education institutions to develop strategies to recruit postgraduate students from the rest of Africa, in particular, the Southern African Development Community, as well as other developing countries. This would contribute to building research capacity both locally and in the rest of the Continent, especially as SA has a more developed research infrastructure than many other African countries. In this regard, the Ministry would like to indicate that postgraduate students, irrespective of their country or origin, would be treated as SA students for subsidy purposes.

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STRATEGIES

RESEARCH FUNDING

The Ministry will introduce the following mechanisms to fund research:

• A separate research component within the new funding formula, which will be based on research outputs, including at a minimum, masters and doctoral graduates and research publications.
• Earmarked funds to build research capacity, which will be awarded on the basis of a research development plan that is approved as part of an institution’s three-year “rolling” plan. The plan should demonstrate the institution’s capacity and potential in terms of qualified staff and appropriate infrastructure, as well as staff development and infrastructure development plans.
• Earmarked funds to facilitate research collaboration, i.e. inter-institutional collaboration both regionally and nationally, with specific emphasis on collaboration that enhances research capacity in historically black institutions and technikons.

ENHANCED RESEARCH OUTPUT AND QUALITY

The Ministry will attempt to enchance research output and quality through :
• Revising the current policies and procedures on the measurement of research outputs at universities and technikons. This will be finalised in July 2001.
• Requesting the Higher Education Quality Committee to review the quality of postgraduate programmes as a priority.
• Facilitating the establishment of processes and mechanisms to ensure greater co-ordination in the determination of national research priorities and funding between different State departments, the science councils, in particular, the National Research Foundation, and other key role players, including the establishment of a national and integrated information database for research.

INCREASED GRADUATE ENROLMENTS AND OUTPUTS AT THE MASTERS AND DOCTORAL LEVELS

The Ministry will use various funding and planning levers to increase postgraduate enrolments and outputs at the masters and doctoral levels. It will:
• Fund student places on the proposed planning grid (outlined in section 4.3.1) taking into account past institutional performance in enrolling and graduating masters and doctoral students, in particular, black and women students.

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ANNEXURE B.1

99/39
Youth for Development: A sample survey of Grahamstown East youth
Project leader: Prof Valerie Møller (Rhodes University)
Collaborating institutions: Rhodes University, SA; University of Utrecht, NL

Project aims:
The project aimed to inquire into the development opportunities for young people aged 15-24 years in the Eastern Cape university city of Grahamstown. The setting might be considered unique in that the small university town is a centre of learning which offers many educational opportunities including the national arts and science festivals, museums and libraries. Many community organisations and the local university are involved in extension work to uplift the local community. Importantly, unlike other SA cities, the township where the bulk of the population resides, estimates – including our own – vary from 46 000 to 53 000 to some 100 000, is still an integral part of the city. Therefore, all these facilities and opportunities are theoretically within reach of the local youth. The question that drove the research was to find out whether youth made use of these opportunities on their doorstep. In short, are the youth of Grahamstown better off than elsewhere in the Eastern Cape, one of the poorest provinces with the highest youth unemployment?

Impact of the research:
The research was conceived as a community service project. Some twenty local youth, mainly volunteers with community projects, were trained as interviewers to conduct the fieldwork for the surveys. The Rhodes University journalism students used materials from the youth project to produce a tabloid. The Political Science students used the report on the profile of the Grahamstown East/Rini households for their class assignment.

All research reports emerging from the project were designed to serve as reference works for local organisations. The reports were workshopped and circulated among local community organisations with a covering letter highlighting key findings. Positive feedback was encouraging. At a workshop to discuss the report on the linkages between organisations serving the youth, participants felt free to frankly discuss their concerns about inadequate sex education in schools to protect youth as the AIDS epidemic sweeps through SA. Such a topic is often taboo among practitioners.

Having heard of the youth project, concerned religious leaders asked the researchers to provide a platform for an open seminar on globalisation and local employment opportunities. This was used as an opportunity to present select findings from the youth survey. Following the event, the dean of the cathedral initiated an income-generating project for local women.

Two of the research reports from the youth project were ‘sold’ out soon after distribution and had to be reprinted to meet community demand. In particular, organisations such as St Johns Ambulance, the local matric school, and an established training and development NGO, have all told the researchers how useful the report has been for their work and expressed their appreciation. The project has been able to respond to the many requests from university students and researchers for population figures and unemployment statistics. More importantly, local organisations have used the findings for the purpose intended, namely to produce business plans for new community projects to benefit particular categories of the youth, such as young women. The researchers were delighted when the municipal manager of Makana Municipality requested six additional copies of the social indicators report on Grahamstown East/Rini to inform policy and planning. The researchers have since been informed informally that the project might have prompted the municipality to consider undertaking an update of the research survey to inform future development planning.

An unanticipated outcome of the project was putting Grahamstown East/Rini on the local map – literally. When the researchers were planning the youth survey there were no overview maps or up-to-date aerial photographs. Like other towns in the Eastern Cape the municipality is cash-strapped and lacks capacity. The researchers were forced to adopt a sampling plan which used information on the ground to get around the problem of poor geographic information. However, by the time the researchers were ready to report on survey findings the city engineers were equipped with new computers and software. The researchers’ need to locate the 27 neighbourhoods in Grahamstown East covered in the survey for readers prompted the city engineers to update their maps and to produce the first comprehensive map of Grahamstown East.

In year two of the project the researchers co-hosted an international workshop which brought together youth researchers, planners and policy-makers. This event provided an excellent opportunity to present a key finding from the survey among youth to the provincial Youth Commission. The NL partner told the commissioners that only one in two Grahamstown East youth even knew of the existence of the National Youth Commission, although it had been launched just after the first democratic elections in 1994. However, the majority of the 862 youth respondents in the survey were eager to participate in a community service programme under the auspices of the Youth Commission if only to learn life skills. That year, the Eastern Cape Youth Commission held its official Youth Day celebrations in Grahamstown East. (The national holiday is a commemoration of the uprising of schoolchildren against apartheid in Soweto on June 16, 1976.) More importantly, the official launch of the first community service project led by the Youth Commission took place in Grahamstown East. A number of local youth were trained for this joint project with the Department of Public Works to build access ramps to public buildings for disabled people. The researchers would like to think that in both instances Grahamstown East youth were targeted as a result of the SANPAD project.

The response from one of the most highly respected community development leaders was heartening. Rhodes University recently awarded this community activist an honorary doctorate in recognition for her service to the community. A prolific fund-raiser, she had collected over ZAR 20 million over the years to further local community development projects, including early learning and matric projects. She told the researchers she believed the research was some twenty years overdue; it would have saved her organisation so much futile work trying to arrive at population figures etc. for their fundraising efforts.

The researchers looked forward to launching the fourth and last report from the SANPAD project and presenting it to the community and colleagues at the university engaged in youth education and development work. Several findings from the research point out how pessimistic, disappointed and desperate the youth are to find local employment although they are remarkably positive about their life circumstances on the whole. The researchers are recommending that local youth who wish to develop ‘in place’ where there are very limited employment opportunities might engage in volunteer work to bridge the gap between leaving school and becoming adults. The researchers hope to work with an experienced local development organisation to launch a community project with the aim of mobilising young people to find self-worth in community service initiated by their youth groups and clubs.

ANNEXURE B.2

98/99
Women at Risk: a study of sex work in Hillbrow, Johannesburg
Joint project leaders: Prof Helen Rees (Reproductive Health Research Unit, or RHRU), & Prof Eddie Webster (Sociology of Work Unit, or SWOP) (University of Witwatersrand)
Collaborating institutions: University of Witwatersrand, SA & Vrije University, Amsterdam, NL

The research was conducted as a close collaboration between the Wits SWOP, and Chris Hani Baragwanath Hospital’s RHRU, which was the key driver of the project.

Project aims:
The project aimed to generate new knowledge as an influence on social policy formulation with regard to the status of sex work in SA, where sex work is not legal, and sex workers are regarded as criminals. Given the magnitude and growing significance of the sex sector and the urgency of related concerns – including the identified problems of children and HIV/Aids – it is imperative that policy-makers, government officials, advocates and programmers work together to develop a clear stance on sex work for SA.

The project also aimed to generate new knowledge as an influence on social practice.

Impact of the research:
The project researchers hosted a conference on sex work as a public health priority, the proceedings of which are to be distributed widely, both to those who attended and to other interested parties. The Vrije University collaborators in this project research were instrumental in suggesting possible speakers for a February 2001 meeting in SA, where representatives from both Thailand and Cambodia were invited to share their knowledge with South Africans.

New knowledge about SA’s sex industry, gained as a result of this project, has directly and strongly informed the national debate on such issues prior to social policy formulation.

The project researchers’ findings lead them to argue for sex work to be decriminalised (rather than legalised) in order that SA’s sex industry be better regulated and to afford improved protection for sex workers.

As a result of this and another SANPAD-funded project, it was possible to write an expert report as a Friends of the Court application in the Jordaan case, a constitutional court case regarding decriminalisation of the sex work industry. That report was also sent to a Parliamentary Committee dealing with Women and Violence.

The new knowledge generated by this project has also informed the designing of a public health intervention for sex workers in Hillbrow’s hotels. This intervention was launched in June of 2000. Data collected in the course of the research raised further questions and highlighted areas for ongoing investigation.

The research arising from this project has also provided guidance for the training of health workers with an emphasis on sex worker friendly services, and the importance of informing and sensitising care providers to the context and needs of sex workers. Research also points to the need for an organisation for sex workers, and this initiative will be pursued by related organisations rather than by the RHRU.

With pride the research team has witnessed three field workers move from part time casual work to full time community health work (HIV related), using their experiences and insight gained in the course of research. Also, five former Women at Risk field workers are now employed full time with the RHRU, and are all working on the sex worker intervention.

ANNEXURE B.3

97/70
Women’s sexual and reproductive practices and health care in the greater Cape Town area
Project leader: Prof David Sanders, University of the Western Cape
Collaborating institutions: University of the Western Cape, SA; Planned Parenthood, SA; University of Amsterdam, NL

Project aims:
Women's empowerment in relation to sexual and reproductive health has been identified as one of the most important health and development issues facing SA and other developing countries. A variety of policy documents and health bills emphasise the importance of enabling women to make informed choices in relation to their own sexuality, procreation and other related health aspects. Since there is a considerable variation in gender roles between cultures, there is a need for a development strategy which addresses the specific needs of women in a particular area. This three year project focused particularly on policy implementation at grass roots level, in health care facilities and an NGO in three areas in Cape Town. An important aspect of the project was that it also gave attention to the role men play in women's sexual and reproductive decisions.

Impact of the research:
During the course of the project, postgraduate students did research on a variety of topics such as masculinity, teenage pregnancy, condom use, constructions of menopause, women’s experiences of the termination of pregnancy, and cultural constructions of women’s roles and how it impacts on reproductive choices and on sexual assault.

Research findings were workshopped with the social service practitioners concerned and have proven to be very useful for service providers at local level in adjusting their policy and practices to the particular issues identified and recommendations made. At provincial level the research has contributed to a wide body of studies and recommendations made in relation to reproductive health policy. Members of the project also participated in a study with the Women’s Reproductive Health Unit at UCT on reproductive health indicators. The project has been particularly successful in the area of capacity building with four completed Masters degrees, two finalised Masters degrees, and seven completed Honours degrees. Staff and students contributed to six published articles and 18 conference papers. The project served as an important training experience for staff and disadvantaged students who have since been successful in putting up or participating in other research projects. The project resulted in cross-disciplinary work and the building up of close inter-institutional relations between SA and NL partners.

Implementation:
i) Workshops on the prevalence of domestic violence in Lavender Hill and Vrygrond to the New World Foundation and to the Western Cape Network on Violence against Women were presented.
ii) A training workshop for vicarious traumatisation with service providers was presented to staff of the New World Foundation.
iii) Mr Sakhumzi Mfecane’s Masters thesis has been put on short loan as a resource for postgraduate and undergraduate students for courses on HIV/Aids at UWC.
iv) A Postgraduate Reproductive Health course adapted for South African circumstances will be the result of the collaboration with the Medical Anthropology Unit of the University of Amsterdam.

ANNEXURE B.4

98/37
Development of the manufacturing sector in South Africa’s North West province: an approach based on firm-level surveys
Project leader: Prof Wim Naudé, University of Potchefstroom
Collaborating institutions: University of Potchefstroom, SA; University of North West, SA; Vrije Universiteit, NL

Project aims:
• obtain detailed statistical information on manufacturing firms in North West Province;
• build local capacity in the conduct of surveys and the econometric analysis of panel data; and
• strengthen relations between Higher Education institutions and policy-makers in SA and NL.

Impact of the research:
The project was fully supported by the North West Provincial government. The results/findings of the report were referred to in one of the province’s budget speeches as well as in the policy speech of an MEC for Economic Development and Tourism.

The provincial government is currently in the final stages of formulating an Economic Development Strategy (EDS) for the North West Province. The 1999 and 2000 SANPAD reports of this project are quoted in that strategy document and the analysis of the North West manufacturing sector in this EDS document is largely derived from the SANPAD-funded project.

The results from the project were also shared with the Trade and Industrial Policy Secretariat (TIPS) of the South African Department of Trade and Industry (see www.tips.org.za) during a workshop in 2001. Furthermore the results were highlighted at the North West Launch of the World Bank/DTI’s ‘Competitiveness Fund’, as well as at a training session on exporting organised by Ntsika in conjunction with the European Union in Potchefstroom in October 2000.

The academic value of the project was illustrated through the participation in major international academic conferences, namely at a special conference on manufacturing in Africa hosted by the Centre for the Study of African Economies at the University of Oxford in April 2000; two papers at the 46th World Conference of the International Council for Small Business in Taipei, Taiwan; and a paper at the International Jubilee Conference of the South African Economic Society in South Africa in September 2001.

In terms of capacity building, a number of students were supported by, or benefited from, the project. In addition, the SA partners received training in survey methodology and use of STATA in panel data econometrics from the Vrije Universiteit.