1. Human Sciences Research Council Strategic Plan 2016/17 – 2020/21 & Annual Performance Plan 2016/17 14 April 2016

2. Strategic Overview Vision: The HSRC intends to serve as a knowledge hub for research-based solutions to inform human and social development in South Africa, the African continent and the rest of the world. Mission: The mission of the HSRC is to be a research organisation that advances social sciences and humanities to help address pressing social issues such inequality and poverty and enhance human welfare and development, for public use. 1

3. Values Professional and academic excellence Non-partisanship and independence Non-discrimination Equity Honesty and integrity Respect Fairness that builds trust, and Collaboration 2

4. Initiate, undertake and foster strategic basic and applied research in human sciences; Address developmental challenges by means of projects linked to public sector-oriented collaborative programmes; Inform the effective formulation and monitoring of policy, as well as to evaluate the implementation thereof; Stimulate public debate through the effective dissemination of fact-based research results; Help build research capacity and infrastructure for the human sciences; Foster research collaboration, networks and institutional linkages; Respond to the needs of vulnerable and marginalised groups in society; Develop and make available data sets underpinning research, policy development and public discussion of developmental issues, and to Develop new and improved methodologies for use in the development of such data sets. Mandate of the HSRC (cf. Section 3, Act 17 of 2008) 3

5. Specific Policy Mandates National innovation plan that is aligned with the NDP’s Vision 2030 Perspectives on social innovation Medium-Term Strategic Framework outcomes for 2014 -2019 Outcome 1 (Quality basic education) Outcome 2 (A long and healthy life for all South Africans) Outcome 5 (A skilled and capable workforce to support an inclusive growth path) 4

6. Strategic outcome oriented goals The strategic intent of the HSRC over the five-year period from 2016/17 to 2020/21: Address through research, key priorities, notably poverty and inequality Generate new knowledge to inform further analysis and help decision makers Focus on the kinds of social innovations that will need to be foregrounded in shifting and reversing the persistence of poverty and the deepening of inequality: emphasise (social) innovation for inclusive development. 5

7. Strategic outcome oriented goals A – Advancing knowledge and scientific excellence D – Developing collaborative networks and applied research on poverty and inequality E- Enhancing research skills and public awareness P - Preserving and sharing data for further analysis T- Institutional transformation S- Financial sustainability 6

8. Contribution to issues of poverty, inequality and unemployment 7 InequalityPovertyUnemployment  HSRC research agenda has a focus on inequality and addressing the needs of marginalised communities.  Examples of recent contributions: Co-hosting of September 2015 World Social Science Forum (WSSF) which focused on global inequality and the quest for social justice; on-going and completed research work around rural innovation and urban development; national survey research data (addressing, amongst others, aspects of health, education, social protection) providing trends over time to allow detailed comparative analysis around perceived and actual levels of inequality in the country, including possible priority areas for interventions to improve and monitor these.  Research dealing with poverty and inequality, helping to inform and monitor policy on issues such as social grants, health and nutrition, national health insurance, early child development interventions, and diseases of poverty and lifestyle notably HIV/AIDS but also TB and diabetes.  In the context of Operation Phakisa, HSRC provides support for planning around improved health provision. It is also centrally involved in in work around the Blue Economy: The emphasis rests on sustainable development of the oceans, food security, renewable energy and safety.  Research to support employment creation and growth including work around quality education (for instance, long-term work around language in education as well as Mathematics and Science education), skills development planning (to support national planning),the role of universities in innovation, tourism and township development, expanded public works programmes and aspects of social justice.

9. Insights from the HSRC researchers’ lekgotla 8 Possible focus areas Nexus between poverty, inequality & unemployment – can we develop relevant indicators using existing data to help with analysis and providing policy options – flagship indicators; critique of Presidential indicators Well-being of families & households w.r.t. poverty and inequality Pathways between school and work

10. Critical contribution as part of the HSRC’s desire to present itself, within the National System of Innovation, as the agency which will help the country understand how key and critical social innovation (as a process in which new and creative approaches to inclusive social development can be explored), alongside of building our knowledge capacity in science and technology, is for addressing poverty and inequality. CeSTII 9

11. Revised Terms of Reference (TOR) Undertake statistical surveys that support measurement and analysis of the NSI Undertake related analytical activities Contribute to knowledge sharing and exchange with the national, regional and global community Broaden CeSTII’s Operational Base 10

12. Contextual Background (1) CeSTII produces policy relevant research and statistical analysis of data on STI on behalf of the DST The data may be used for evaluating and monitoring the South African National System of Innovation (NSI) The MoU signed in 2002 between the DST and the HSRC formalises this arrangement 11

13. Contextual Background (2) CeSTII has a vision to be a thought and practice leader, an acknowledged site of excellence in its field The revised TOR for the centre underlines its core function as a producer of STI indicators and promotes its vision of performing focussed analysis, research and knowledge exchange 12

14. CeSTII workplan in light of the revised TOR (1) Undertake statistical surveys that support measurement and analysis of the NSI CeSTII will continue to do the R&D Survey and Business Innovation Surveys 13

15. CeSTII workplan in light of the revised TOR (2) Undertake related analytical activities (1) CeSTII will increase the number of scientific publications on STI and is improving existing data-sharing systems to facilitate efficient data-sharing CeSTII has in the current financial year submitted a proposal for the development of indicators and measurement of STI indicators in the area of bio- economy in South Africa 14

16. CeSTII workplan in light of the revised TOR (3) Undertake related analytical activities (2) CeSTII has also collaborated with the Technology Innovation Agency (TIA) Health STA in developing Terms of Reference for a project aimed at measuring the impact of TIA seed funding CeSTII will develop a proposal to undertake this work 15

17. CeSTII workplan in light of the revised TOR (4) Undertake related analytical activities (3) Furthermore, CeSTII has collaborated with the Research Impact Assessment (RIA) programme of the HSRC to, on behalf of the DST, organise and run seminars on Innovation for Inclusive Development (IID) in South Africa The centre has also held discussions with the DST towards the development of Terms of Reference for the development of a Framework and indicators for the measurement of IID in South Africa 16

18. CeSTII workplan in light of the revised TOR (5) Undertake related analytical activities (4) CeSTII is currently in the final stages of production of the South African Baseline Survey of Intellectual Property (IP) and Technology Transfer (TT) in Publicly-funded Institutions CeSTII will engage with the DST on whether the IP and TT Survey will become a regular survey, commencing in the 2016/17 financial year 17

19. CeSTII workplan in light of the revised TOR (6) Undertake related analytical activities (5) CeSTII will undertake projects in line with its mandate of STI indicator development, dependent on viability as they arise 18

20. CeSTII workplan in light of the revised TOR (7) Statistical Quality Assurance, Performance Monitoring and Project Management (1) CeSTII will continue to engage with Stats SA, NACI and DST in the clearance process for the R&D survey CeSTII will further improve coverage by creating sustainable access to additional data sources 19

21. CeSTII workplan in light of the revised TOR (8) Statistical Quality Assurance, Performance Monitoring and Project Management (2) CeSTII will continue to share and exchange data locally and internationally CeSTII will engage with international standards bodies such as the OECD to keep current with improved survey methodologies 20

22. CeSTII workplan in light of the revised TOR (9) Statistical Quality Assurance, Performance Monitoring and Project Management (3) The Centre is creating a project management component, to facilitate the growth and efficiency of the conduct of projects 21

23. CeSTII workplan in light of the revised TOR (10) Contribute to knowledge sharing and exchange with the national, regional and global community (1) CeSTII has engaged with the National Advisory Council on Innovation (NACI) on the national innovation portal CeSTII is drafting an MoU with NEPAD to formalise and expand the knowledge exchange, data sharing and other forms of collaboration on STI, e.g., training of partner countries 22

24. CeSTII workplan in light of the revised TOR (11) Contribute to knowledge sharing and exchange with the national, regional and global community (2) The Centre will continue to engage with local and international fora on STI, such the OECD-NESTI CeSTII has planned to reconstitute the CeSTII Advisory Committee, with local and international experts on STI 23

25. CeSTII workplan in light of the revised TOR (12) Contribute to knowledge sharing and exchange with the national, regional and global community (3) CeSTII has & continues to hold talks with the Centre of Excellence in Scientometrics and STI Policy and the Tshwane University of Technology (TUT) to facilitate collaborations and knowledge exchange CeSTII started seminars series on STI in 2014, which will continue 24

26. CeSTII workplan in light of the revised TOR (13) Contribute to knowledge sharing and exchange with the national, regional and global community (4) CeSTII will continue to produce scholarly works in the form of research papers, peer-reviewed policy briefs and conference activities 25

27. CeSTII workplan in light of the revised TOR (14) Broaden CeSTII’s Operational Base CeSTII continues to seek to employ the necessary talent to enable it to perform to its mandate The Centre is in the process of establishing the viability of a staff profile resident in the Pretoria office of the HSRC 26

28. Strategic Performance Targets 2016-17 A – “Knowledge Advancement” 1Peer-reviewed journal articles (ISI/IBSS) per senior researcher1.4 2Scholarly books published.22 3Scholarly book chapters published.63 4 State of the Nation book volumes published1 5HSRC research seminars convened50 6HSRC Review publications.4 7New publishing imprint5 8Policy briefs20 9Public dialogues on poverty and inequality hosted2 10 Government services or functions where research results provided decision support 3 11Peer-reviewed journal articles (acknowledged journals) per researcher0.7 12Peer-reviewed journal articles with at least 10 citations listedIndicator and target defined 27

29. Strategic Performance Targets 2016-17 D – Developing collaborative networks and applied research 1 Active MoUs 41 2 Structured collaborative research projects completed 18 3African research fellows14 4 Peer-reviewed journal articles co-published with researchers outside South Africa, on the African continent 4 5Research projects completed23 6Research reports produced35 28

30. Strategic Performance Targets 2016-17 E – Enhancing research skills and public awareness 1 Master’s level interns:42 2 PhD level interns:49 3 Post-Doctoral Fellows:25 4 Completed Master’s level research internship5 5 Completed PhD level research internship7 6 Students reached in the Research Seminars/Campus Lecture series550 7 Schools engaged in Outreach Programme190 8 Social science research conferences1 9 Platforms for engaging policy makers1 29

31. Strategic Performance Targets 2016-17 P - Preserving and sharing data for further analysis 1Preserved datasets23 2Preserved library holdings158 3 Secondary analysis and recognition of preserved data Preserved HSRC data sets linked to digital object identifiers (doi), Means to monitor citation of datasets and future performance targets agreed to. 30

32. Strategic Performance Targets 2016-17 T- Institutional transformation 1Percentage senior researchers who are African56% 2Percentage senior researchers who are female49% 3Annual Employment Equity reports produced and submitted100% 4Quarterly Employment Equity reports produced4 5Diversity awareness events hosted.1 6Gender awareness events hosted1 7Ratio of senior researchers (SRS/SRM or higher) in relation to all HSRC staff Indicator and target defined 31

33. Strategic Performance Targets 2016-17 S- Financial sustainability 1Extra-parliamentary income as percentage of total income48% 2Multi-year grants:56% 3Officials attending the anti-corruption campaign80% 4Eligible officials who have declared their interests100% 5Compliance reports produced4 6Unqualified external audit report:1 7BBBEE Status.2 8PPPFA compliance:100% 32

34. HSRC 2014/15 Financial Performance (based on Audited Financial Statements for 2014/15) NarrationActual 31 March 2015 Actual 31 March 2014 Parliamentary Grant received and recognized 246 M197 M External Income Target achieved127 M125 M Other Income Target achieved35 M28 M Actual Total Expenditure390 M348 M Actual Total Revenue408 M351 M 33

35. Budget Summary 2016/17 2016/17 R’000 Income510 524 Parliamentary Grant 290 149 Research Income 182 051 Other income38 324 Expenses510 524 Salaries 268 292 Administration and other Costs101 160 Project related expenses141 072 Surplus / deficit- 34

36. Approved Parliamentary Grant (PG) vs. Salaries NarrationHSRC (Inc. AISA) 2015/16 R’M HSRC (Inc. AISA) 2016/17 R’M HSRC (Inc. AISA) 2017/18 R’M Total Budgeted Revenue 481 874 510 524 540 115 % Increase5.6%4.6% Salaries Approved Budget 253 535268 292284 390 % Increase5.5%5.7% % of salaries to total budget 53% 35

37. Budget Analysis – 2016/17 Budgeted income : R 510 524 000 Parliamentary Grant: R 290 149 000 External research income target: R 182 051 000 Other external income target: R 38 324 000 Staff costs: R 268 292 000 Ratio between Parliamentary grant and (total) external income: 57:43 36

38. Institutional Risks Research Funding Liquidity Donor-driven research agenda Limited pool of senior researchers Misalignment between Research Demands and IT Capabilities/Capacity Non-compliance with OHS regulations 37

39. Appreciation Minister, Deputy Minister and Department of Science and Technology Funding agencies Board chair, members, committees Staff of the HSRC 38