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STAFFING SOUTH AFRICA’S UNIVERSITIES A COMPREHENSIVE APPROACH TO BUILDING CAPACITY

AND DEVELOPING FUTURE GENERATIONS OF ACADEMICS

1. Purpose of this document

2 Context and background 2.1 Inequality of representation amongst existing staff 2.2 Staff: student ratios and planned growth in the sector 2.3 Qualifications and expertise of existing staff 2.4 The current postgraduate pipeline 3 Recruitment and development of new academics

3.1 The nGAP Scholars Initiative 3.1.1 nGAP Scholar positions 3.1.2 Identification, recruitment, development and retention of nGAP Scholars 3.1.3 Management of the nGAP Scholar initiative 3.1.4 Numbers and scale 3.2 Pipeline nGAP Scholars

4 The SSAU Development Progamme 4.1 Flexibility of provision 4.2 Contract

43 Registration for a higher degree 4.4 Accreditation 4.5 Mentoring 4.6 Teaching development opportunities 4.7 Research development opportunities

5 Stages and processes in the nGAP Scholar initiative 5.1 The nGAP Scholar initiative 5.2 The nGAP Scholar initiative as an additional, not alternative, approach 6 Enhancement of the effectiveness of current staff

6.1 Support for PhD study 6.2 Participation in elements of the nGAP Development Programme

7 Recruitment of additional staff

7.1 Retired academics 7.2 Industry and the professions 7.3 Contracts and other posts offered to academics from outside South Africa

8 Management of the SSAU Scheme 9 Possible funding sources, and preliminary, indicative costings

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THE STAFFING SOUTH AFRICA’S UNIVERSITIES (SSAU) SCHEME

1. PURPOSE OF THIS DOCUMENT

1.1 To set out ways in which the sector’s staffing needs can be met.

1.2 To differentiate between several distinct groups and strategies:

• Recruitment and development of new staff This refers to potential staff – that is, individuals not currently employed in the sector.

• Improvement of the effectiveness of currently employed staff in terms of qualifications and

occupational competencies (teaching, research, community engagement, academic leadership and management)

• Recruitment of additional staff on a short-term or part-time basis

On the whole, this refers to the employment of retired academics, and partnerships with people in industry, for mentoring, supervision, and teaching purposes.

1.3 To provide a framework for addressing the recruitment processes and development needs relevant to each of these groups

2. CONTEXT AND BACKGROUND The development pathway leading to an academic career is long and complex. From the point of view of higher education – that is, from the end of schooling, the pathway typically includes the following stages: undergraduate, Honours (or the 4th year of a 4-year Bachelor’s degree), Master’s, Doctorate, and Post-doctorate.

The quality of the learning experiences and opportunities of each of these stages impacts dramatically on the likelihood of individuals progressing to the next stage, and ultimately achieving their ambitions, and on the person-power needs of the country being adequately and effectively met.

Clearly, the kinds of support, development and challenge that are appropriate at each stage differ considerably, and there are differences too in the approaches that need to be used in respect of different disciplines.

This proposal focuses on the PhD and post-doctoral phases and puts forward detailed proposals in this regard. However, since the pipeline leading to the doctoral phase is so crucial, the proposals include recommendations to expand and retain more students at the undergraduate and junior postgraduate levels.

The proposal takes as a starting point the urgent and challenging imperative to recruit, support and retain black academic staff to address their very serious under-representation at all levels in the sector. It also recognizes the

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need for more explicit attention to be paid to creating much wider awareness of academic work as a career that is both attractive and attainable for those with ability, and sets out, for new and existing staff, pathways through which staff can be effectively inducted and thus in time promoted.

In sketching the context and background for the proposal, the document highlights only the most salient issues, touching on transformation, staff: student ratios, enhancing the qualifications and effectiveness of staff already in the system, and building future capacity through strengthening and expanding the pipeline from which future academics can be drawn.

The document draws on the proposals and supporting argumentation developed by HESA in 2011 (Proposal for a National Programme to Develop the Next Generation of Academics for South African Higher Education) under the leadership of Dr Saleem Badat, and on the comprehensive policy discussion document prepared by the DHET in 2012.

2.1 Inequality of representation amongst existing staff Given the inequities of the past, it is perhaps not surprising that there are great disparities in relation to the representation of different population groups in academic institutions, in both the student and staff sectors. What is of great concern is the persistence of these disparities. Nevertheless, change is happening, as Table 1 reveals.

Table 1: All instruction and research staff, 2003 – 2012, by population group [HEMIS 2012 audited data]

The table shows that although the overall academic work force in 2012 remained predominantly white, making up 53.2% of the total, this is a considerable drop from the 61.6% that white staff constituted in 2003. Indians, too, remain overrepresented in terms of their share of the South African population1: in 2012 they represented 8.4% of the academic workforce, and in 2003: 7.9%. However, both the African and Coloured groups remain grossly underrepresented, with Africans making up 31.8% of the total in 2012 (2003: 21.3%) and Coloured staff 5.1% (2003: 4.5%).

In terms of gender, women constitute 44.6% of the staff in universities, considerably less than their proportion (51%) in the population. Of particular concern is the underrepresentation of women in the senior academic ranks, where they constitute less than a third (29.5%).

1 These figures need to be understood in the context of South Africa’s demographics: according to the 2011 census (Statistics South Africa), Africans make up 79.2% of the population, Coloureds 8.9%, Indians 2.5% and Whites 8.9%.

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The figures point to the need for development and recruitment efforts to be sharply focused on African and Coloured candidates, with particular priority being given to women.

2.2 Staff :student ratios and planned growth in the sector The expansion of access envisaged in both the NDP and the White Paper carries with it the need to increase the number of academics in at least the same proportion. However, the sector is losing academics to retirement, death, emigration and moves into other employment faster than they are currently being replaced, and the real numbers required by both growth and replacement are far from being realized, even in planning terms.

Indeed, the current average staff: student ratio is, arguably, inadequate for the kinds of measures that are necessary to meet the needs of the majority of students. Such an assertion is based partly on the low throughput rates that are illustrated in the cohort study set out in Table 2.

Table 2: 2005 Cohort Study excluding UNISA (Source: HEMIS Cohort Study)

Year 1 Year 3 Year 5 Total 3 yr diploma

Graduated - 16% 19% 35% Dropped Out 33% 18% 5% 56%

UG degree

Graduated - 27% 21% 48% Dropped Out 30% 12% 4% 46%

Master’s

Graduated 6% 25% 12% 33% Dropped Out 28% 15% 13% 57%

Doctorate

Graduated 1% 14% 20% 35% Dropped Out 22% 15% 4% 41%

It can be seen that in no case does the graduation rate reach 50%, even allowing for two extra years for completion. It is clear that more needs to be done to improve the efficiency and quality of the current processes and approaches in higher education, and that the system is under present strain. It is not assumed that this challenge can be met simply by recruiting more staff – the point being made is that improvements are unlikely to be possible if the staff: student ratio worsens as will be the case if planned growth is not matched by concomitant increases in staff numbers.

As can be seen in Table 3 below, staff: student ratios vary greatly between South African universities, with the best ratios being in the better established and endowed universities, and the least adequate being in the universities which serve larger numbers of students from the most educationally disadvantaged backgrounds. Some of this variation can be explained by the Programme and Qualification Mix (PQM) of institutions, so that those that offer programmes in Engineering, Health Science, Architecture and suchlike will tend to have lower SS ratios. However, not all differences can be explained within this paradigm. Some are the product of institutional priorities or of historical inequalities.

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The table shows that overall, staff: student ratios have remained relatively steady over the two years, with, on the face of it at least, substantial improvements between 2011 and 2012 taking place at UNISA, the Vaal University of Technology, and North West University.

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Table 3: Staff: student ratios in 2011 and 2012 (HEMIS audited data 2012)

As Table 4 below shows, the targeted growth in both student and staff numbers over the next five years, calculated on the basis of Full-Time Equivalent data, aims for a reduction from in the average staff: student ratio from 1:28 to 1:26.8.

Table 4: National projections for 2014 – 2019 (source: National Enrolment Plans)

Planned/expected student and staff numbers (Full time equivalents)

Proposed target 2014

Proposed target 2015

Proposed target 2016

Proposed target 2017

Proposed target 2018

Proposed target 2019

Student numbers (FTEs) 665313 679871 694263 709833 724722 737343

Staff numbers (FTEs) 23794 24547 25282 26056 26800 27477

Staff: student ratio 1:28 1:27.7 1:27.5 1:27.2 1:27.0 1:26.8

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Achieving the targets in Table 4 will require the recruitment of 3,683 more staff by 2019. If one adds to that number the expected numbers of retirements over the next five years (using a reasonable estimate of 2,487:- that is, 70% of the 3,553 academics who will retire by 2021 as depicted in Table 5 below, the number of new staff that will need to be recruited to achieve the 2019 targets in Table 4 is 6,170 (this does not include resignations or death).

Table 5: 2012 Research and Instruction staff retiring within 10 years (HEMIS June 2014)

In summary, the data strongly suggest that the sector will need to recruit at least 1,200 new academics per annum if these targets are to be met: that is, 3,553 staff to replace those who will retire, and 3,683 to meet the needs of increased student numbers.

Seen in that light, the figures on which the SSAU Scheme is based is modest. It needs to be emphasized, however, that the SSAU initiative is not intended to replace other, more traditional ways of recruiting staff, but is put forward as an additional, focused, purposive and ongoing attempt to ensure renewal and transformation of the academic work force.

2.3 Qualifications and expertise of existing staff In 2012, just over one third of academic staff in permanent positions held the doctorate: in 2012, this had risen slightly to 35.5%. However, the distribution ranges very widely (see Table 6 below). Only six universities had more than 50% of their permanent academics with doctorates: UCT, US, Rhodes, Wits, UWC and NWU. Clearly, a concerted effort is needed if the sector is to have a chance of meeting its many challenges.

Table 6: Doctorates permanent staff 2011 and 2012

% 2011

% 2012

% 2011

% 2012

UCT 63 65 UVenda 32 31 US 56 53 UNISA 31 39 Rhodes 55 51 UZ 30 27 Wits 54 55 CUT 28 26 UWC 53 52 TUT 20 21 NWU 49 50 UL 18 21 UP 48 49 CPUT 14 25 UFS 42 40 VUT 14 13 NMMU 39 41 DUT 12 15 UKZN 38 47 WSU 12 20

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UFH 35 37 MUT 8 9 UJ 33 29

Use of the PhD as a proxy for improving the overall quality of educational processes in the system (involving research, teaching and learning, social responsiveness and academic leadership and management) is now widespread in policy terms. Regarding it as a necessary but not sufficient factor has recently been recognized, however, through such instruments as the DHET’s Teaching and Research Development Grants, and the Quality Enhancement Project of the Council for Higher Education. This wider view of developing capacity and quality underpins the proposals in Section 6 below.

2.3 The current postgraduate pipeline It can be seen in Table 6 below that the numbers of doctoral graduates have risen dramatically over the years 1994 to 2012 – from just under 5,000 in 2004 to 13,670 in 2012. Despite this growth, however, South Africa’s numbers of doctoral graduates are very low compared to other countries (23 per million of population compared to 43 by Brazil, 157 by South Korea and nearly 200 by Australia (ASSAf 2010 cited in HESA 2011).

Table 6: Doctoral enrolments by gender and population group, 1994 - 2012

Increasing the rate of this growth will require focused and concerted effort, since South African doctoral production exhibits several constraining features (ASSAf 2010), such as

• skewed representivity, particularly for African and Coloured groups • major blockages along the educational route towards the doctorate (beginning with poor secondary

schooling, particularly in Maths and Science) • slow average time to completion (in 2007 this was 4.8 years) • limited supervisory capacity • funding constraints • the average age of first enrolments for doctoral study (38 years).

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3. RECRUITMENT AND DEVELOPMENT OF NEW ACADEMICS (the so-called ‘Next Generation’)

In the ‘Staffing South Africa’s Universities’ (SSAU) initiative, potential new entrants to the profession form an important and exciting component. In addition to providing new, young entrants to the profession, the recruitment and selection of new academics offers opportunities to transform the academy in terms of representivity, and to develop capacity in scarce skills areas. If South Africa is to have the academic staff it needs, a major source must be new Master’s and doctoral graduates from within the system. Other sources will be high achieving past students who wish to become academics.

This proposal intends to make possible a rapid increase in the number of people likely to enter the academic profession, and is designed also to have a significant systemic effect through its emphasis on multi-faceted, phased development. The proposal assumes that new academics will be recruited against carefully designed and balanced equity considerations and in light of the disciplinary areas of greatest need.

There are two major groups of potential ‘next generation’ academics – that is, academically promising candidates who are not currently employed in the system as academic staff.

• promising senior postgraduate present or past students who have ambitions to become academics. This group of students forms the primary focus for the “Next Generation of Academics Scholars” – nGAP Scholars initiative - as discussed in section 3.1 below.

• students who are beginning to demonstrate their academic abilities at relatively junior levels (senior undergraduate or Honours), who might be lost to the system unless structured, attractive prospects and opportunities are available and active recruitment efforts undertaken. While increased attention needs to be paid by universities to identifying and encouraging top undergraduate students to remain in the system, whatever their eventual career, in the main needs here could be dealt with through an expanded system of scholarships. Concrete proposals are made in section 3.2 below (Pipeline nGAP Scholars).

3.1 The nGAP Scholars Initiative The term nGAP Scholars refers to the group of candidates who have been appointed by institutions following the processes outlined below.

The most important features of the scheme are that the posts are permanent, the scheme is recurrent, and nGAP Scholars are required to undertake a development programme alongside their formal academic study.

3.1.1 nGAP Scholar Positions On an annual basis, the DHET will make a number of funded posts available for nGAP Scholars, across all institutions. The number of posts envisaged is a maximum of 400 posts across the sector, per annum. This means that, on approximate average, each university will be nominally allocated 15 nGAP Scholar posts per

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year. Differences in size, and staffing plans in any given year, will of course play essential roles in determining the number of posts an institution is able and willing to absorb, and thus the allocation of posts.

Past experience of institutionally based, usually donor-funded ‘next generation’ schemes has demonstrated relatively limited success as in most cases the posts were not filled on a permanent from the outset. This leads to a serious level of anxiety for participants who are understandably concerned about future prospects. A serious consequence has been a high rate of attrition at the end of the contract period, since posts were not firmly factored into long-term staffing plans.

Via the DHET- managed nGAP Scholar initiative, government will pay for the bulk of the employment costs of individuals in the scheme for the first 6 years. After this, institutions will need to bear the full costs. This requires institutions to develop long-term staffing plans, taking into account enrolment and strategic size and shape plans (including growth), anticipated retirements of staff, and the usual attrition rates over and above retirements. Institutions will need to be able to show convincing evidence of this planning provision to be awarded nGAP Scholar posts.

These posts represent 6 year commitments on the part of government, covering a 3-year development programme plus 3 years induction thereafter. Following the 6-year period, nGAP posts will be fully funded by institutions.

Government funding will cover:- • full costs for the 3 years of the SSAU development programme • 100% of the costs of the first induction year, 75% of the costs of the 2nd , and 50% of the costs of the 3rd year

after the development programme.

In other words, institutions will be required to provide 25% of the costs of the 2nd induction year after the development programme, and 50% of the 3rd induction year. After the 6-year period, institutions will need to absorb the posts fully onto their staffing establishments.

The nGAP Scholar posts will therefore be structured as follows:- • a structured Development Programme of 3 years duration (this can be somewhat tailored to meet the needs

of individuals) • three years induction after successful completion of the Development Programme during which the State

bears the greater proportion of the costs, and • continuing permanent employment at the appointing institution thereafter.

3.1.2 Identification, recruitment, development and retention of nGAP Scholars

Identification Institutions will be expected to establish, maintain, and make available to DHET, registers of top performing Masters and Honours students. These students will receive letters from DHET containing information about academic careers, and about nGAP Scholar opportunities and processes.

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Recruitment Institutions will advertise the nGAP initiative widely at the institution and elsewhere, and will ensure that all high achieving students are sent personal reminders and information about nGAP procedures and opportunities. The DHET will also advertise these on its website.

Universities will be expected to identify the range of nGAP scholar posts that it would like to be appointed at the institution in a given year, based on its long term staffing plan. These submissions will be used to create an nGAP scholar vacancy list which will be widely advertised using the measures described above.

A set of criteria will be put in place to guide selection of nGAP scholars. nGAP Scholars will be appointed to a university after an application and selection process conducted by the institution, which will make recommendations to an expert reference group appointed by DHET, which will include representatives from universities. This reference group will confirm (or reject if criteria have not been fully met) the recommendations. The criteria will include academic merit, equity goals, and institutional and national priorities.

Development All nGAP scholars will participate in an agreed Development Programme (SSAU-DP), with a contract monitoring progress (see 4.2), and will be eligible for mentoring for the first year after the SSAU-DP. The SSAU Development Programme is outlined in Section 4 below.

Retention All nGAP Scholars will be appointed to permanent academic posts at the outset of the SSAU-DP, subject to normal institutional probationary or performance appraisal conditions (including the successful completion of the SSAU-DP).

Should an nGAP Scholar choose, on successful completion of the programme, to leave his/her home institution and work at another institution, the new institution would need to repay reasonable SSAU-DP costs to the state. Should an nGAP Scholar choose, on successful completion of the programme or during the course of the programme, not to pursue an academic career, s/he or her/his employer would need to repay the SSAU-DP costs to state. If this occurs during the programme, s/he would need to repay costs on a pro rata basis. Should s/he leave after lecturing for some time, s/he would need to repay on an agreed pro rata basis. As it is not the intention to be punitive in respect of repayment, but rather to disincentivise wholesale poaching, flexibility will be needed for participants who realize during the programme that an academic career is not what they wish for after all. An effective mentoring and induction programme implemented after the three year development programme will assist with the retention of the nGAP scholars.

3.1.3 Management of the nGAP Scholar programme The nGAP Scholar programme is a DHET national capacity building project. As the higher education system is in a prolonged period of expansion, and will be so for the foreseeable future, it is envisaged that the nGAP be

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viewed as a recurrent initiative, with an annual intake of 400 candidates. The nGAP should prioritise the inclusion of black and female South Africans, and the development of academic staffing capacity in national and institutional scarce skills areas. Institutions should be required to apply for posts and funding against DHET agreed targets and funding amounts.

Management and coordination will be undertaken at the institutional level by a designated academic institutional entity such as a Teaching and Learning Centre. Institutions will be required to submit annual reports on the management, implementation and evaluation of the programme. The continued award of posts and funding will be contingent on institutions complying with specified programme requirements.

3.1.4 Numbers and scale The DHET Policy Discussion Document (Draft 7) estimates that about 1,300 new academic appointments need to be made annually to cope with expansion and attrition through retirements, resignations and death. The nGAP aims to contribute to meeting this need. It is proposed that an annual target of 400 students be set. Therefore, after 6 years the scheme will have reached its intended scale, and at any time thereafter there will be 2,400 nGAP scholars being supported by the scheme.

The budget (see Section 10) assumes a maximum intake of 400 candidates per year2, a salary of R350,000 pa (2014 rands) for the three –year development programme, and R400,00 pa for the academic post thereafter. The budget reflects the costs of one full cohort of NGAs, with zero attrition. It should be noted that the salary amounts will need to be determined against institutional norms relating to the remuneration of lecturer level staff.

3.2 Pipeline nGAP Scholars Pipeline scholars are students in their final year of undergraduate study, or are Honours or Master’s students or graduates, whose academic performance is outstanding. The proposal is that all students on such lists would be targeted actively to continue with their studies. They would receive regular email correspondence from DHET, spelling out the advantages and opportunities offered by academic careers, and clarifying the processes needed to achieve in this regard. Students would be encouraged and reminded to stay in touch via the SSAU website, and would be invited to seminars and presentations on relevant issues.

Correspondence (and information on the website) would include:-

• pertinent career information • details of national funding possibilities (for example relating to scholarships) for Honours / Masters

level study, along with the necessary forms. This information would be complemented by institution-specific details on funding opportunities.

• information on the nGAP Scholar programme for which students could apply once they have made headway with their Honours/Masters qualifications, and

• information on the dates and topics for regional seminars, lectures, etc. that might be arranged.

2 The number of 400 is put forward for discussion. It is far less than the number needed to meet adequate academic staffing requirements, but will nevertheless represent a considerable challenge for institutions if the comprehensive developmental programme is to be effectively undertaken.

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It is recognized that not all students proceeding to postgraduate study will be aiming to be future academics. The intention of the Pipeline nGAP Scholars programme at this stage is therefore not to include this ‘pipeline’ stage as a formal part of the overall SSAU scheme, but to ensure that increasing numbers of students continue with their studies, through appropriate and effective funding and advertising of the advantages and opportunities opened up by postgraduate study.

As much as possible, the pipeline nGAP scholars will be drawn into structured university tutorship and mentorship programmes as tutors or mentors, and as part of this, will be offered opportunities for development, and exposure to academic life. Growth in the postgraduate sector as a whole would contribute towards the realisation of the national goal of greatly increased PhD production to serve the general advanced knowledge and skill needs of a modernizing and expanding economy. For these two reasons – the creation of a viable pipeline for the recruitment of future academics, and for overall skills levels in the country - the proposal includes a request for increased overall numbers of scholarships to support Honours and Masters level study.

4. THE SSAU DEVELOPMENT PROGRAMME (SSAU-DP) The SSAU-Development Programme will be designed to meet the needs of nGAP Scholars as well as those of existing staff who might participate in certain elements of the programme. It is likely, too, that other staff (employed for replacement teaching purposes, for example, or individuals from business or the private sector who need to develop or update in certain competencies) might participate in various ways and at various levels. The SSAU-DP is therefore at the heart of the SSAU scheme, as the diagram below illustrates.

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THE STAFFING SOUTH AFRICAN UNIVERSITIES [SSAU] SCHEME

The SSAU will incorporate the following guidelines:

4.1 Flexibility of provision The SSAU-DP will need to be designed to provide flexibility to deal with the different needs of nGAP Scholars and other participants, who will include:

• n-GAP Scholars who are undertaking PhD study (it is envisaged that this will be the largest group)

• n-GAP Scholars who have completed their PhDs but are new to academic work (for example, Postdocs)

• Existing staff who are undertaking PhD study and will have a range of experience • nGAP pipeline scholars who are appointed as tutors and mentors and who will benefit from

carefully selected teaching development activities.

Given these different levels, the SSAU-DP might need to be modified to meet the needs of individuals whose situations and levels of qualification and experience will not be the same. For example, the duration of the SSAU-DP for individuals might differ depending on whether an nGAP Scholar has already made significant progress with the PhD, or has completed a PhD. The maximum duration of the funded SSAU-DP is 3 years: this could take the form of a 3-year PhD, or 2 years PhD + 1 year post-doc, or 3 years post-doc) and so forth.

4.2 Contract

Additional Part-Time Staff

[retired, industry, private sector partnerships]

nGAP Pipeline Scholars

Staffing South African

Universities Development Programme

nGAP Scholars

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A detailed contract, containing information on activities and timelines, is a requirement of participation on the scheme. The contract would be reviewed and signed annually by the nGAP Scholar, the mentor, and the SSAU-DP institutional coordinator/s.

4.3 Registration for a higher degree Registration for a higher degree (preferably PhD) or, where a candidate already holds a PhD, formal placement as a postdoctoral fellow onto the SSAU-DP, is required. As is the case at present for staff working at institutions and studying for higher degrees, nGAP Scholars are not restricted in terms of where they will undertake their PhDs.

4.4 Accreditation of courses in the SSAU Development Programme SSAU Development Programme course/modules will need to be accredited, possibly as a series of Short Courses or as modules within a PGDip (Higher Education). Institutions will be strongly encouraged to enter into partnerships in respect of offering SSAU-DPs. It is envisaged that the various partners will offer different modules/short courses of a SSAU-DP and that participants will build their DPs from these offerings. (It is recognized that in the early stages of the programme, not all institutions might be in a position to offer courses: should this be the case, they will remain as fully fledged partners of a particular consortium in terms of planning and nGAP Scholar participation, until such time as they are able to or wish to offer components of the programme). Besides ensuring joint responsibility for the programme, the exposure of participants to high quality courses in different institutional contexts will, ideally, help to break down misperceptions about widely differing levels of quality between institutions and encourage mobility in the sector. To make this mobility and collaboration possible, the programmes will be offered on a blended learning basis, with substantial contact time for which Scholars will be released.

The following hypothetical example illustrates how the SSAU-DP will operate.

Four Masters graduates (or students completing Masters) apply to become nGAP Scholars. 3 of them are offered SSAU posts. All 3 had applied to Rhodes, NMMU, WSU and UFH. One applicant is offered a post at WSU, one at Rhodes, and one at UFH, in Mathematics, Philosophy and Accounting, respectively. Although working at different institutions, they all participate in the same SSAU-DP, which is coordinated by one institution but offered across all four (and in addition, at Univen which is part of the consortium). It is important to note that each module/course is offered at only one institution. Over the three years of the SSAU-DP, the nGAP Scholar appointed by Rhodes takes the 3 core modules and chooses 3 electives, as required. His choice results in him taking 2 courses at UFH, 2 at WSU, 2 at Rhodes and none at NMMU or Univen. In contrast, the choices made by the nGAP Scholar appointed by WSU includes modules at Univen, UFS, Rhodes and NMMU, but none at UFH, and those of the UFH nGAP appointee result in her taking courses from all five institutions in the consortium.

4.5 Mentoring All nGAP scholars will be assigned a mentor for the first 4 years of the scheme (i.e. the 3 SSAU-DP years plus the first year thereafter). The mentor’s role includes keeping close track of agreed developmental milestones and plans. Mentors are envisaged to be experienced and successful

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academics: if necessary, recently retired academics may be contracted as mentors. The duties of mentors will include providing: • assistance with the preparation of a personal plan for professional development • assistance with personal problems, time management, financial management • space for reflective discussions on teaching and research experiences, opportunities and challenges

4.6 Teaching development opportunities nGAP Scholars will be expected to undertake a reduced teaching load, with a spread of responsibilities and levels (in other words, the teaching load should not be restricted to first year level).

They will be expected to participate in workshops and seminars on such topics as curriculum design, teaching in diverse classrooms, managing large classes, understanding and developing assessment tasks, technology and education, blended learning approaches and possibilities, developing and running tutorials, and promoting interactive engagement.

4.7 Research development opportunities Through the provision of the mentor, and through regular meetings with their supervisors, the nGAP Scholars will experience personal and ongoing interaction with senior scholars who help identify research-related needs and the measures required to meet them.

In addition, they will be required to participate actively in the nGAP Scholar seminar programme covering themes such as research planning, writing for publication, preparing a research proposal, writing grant proposals, doing a PhD and project management.

Other SSAU Development Programme research development opportunities will include:- • discipline-specific interventions in co-operation with departments/faculties, for example peer-review

publication workshops • supervision training opportunities (workshops and seminars on topics such as: attracting and taking

on students; the supervisory relationship; roles and responsibilities of supervisor and student, including the securing of funding; models of supervision; ethical issues; choosing a topic & framing a research question)

• support to attend and present at conferences, including at least one international conference.

Clearly, much work will need to be undertaken across the sector in order to develop and establish the SSAU-DP.

5. STAGES AND PROCESSES INVOLVED IN THE N-GAP SCHOLAR INITIATIVE

5.1 The n-GAP Scholar initiative

i. DHET calls for applications from universities for a given number of permanent posts (in this proposal the number is 400) at lecturer level. The number of new posts could vary annually.

ii. Universities assess their staffing plans to see where their needs are, and where they will be able to sustain the posts after six years. Sustainability will arise from one or a combination of:

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o known future retirements o growth in a discipline / department o the establishment of a new area or programme

iii. Universities submit applications for posts to DHET in the form of post-specific business plans that contain:

o a motivation for why the post is needed o a clear account of how the post will be sustained once DHET funding has ceased o a formal undertaking to meet the costs of the post once DHET funding has ceased.

iv. DHET assesses the institutional applications against agreed and published criteria to ensure that they: o contribute to equity targets where this is feasible o are convincingly sustainable

v. DHET communicates with institutions on the outcomes of this assessment, detailing which posts have been approved.

vi. DHET runs a composite advertisement in national and local newspapers, and in other media including institutional and own websites, containing details of all the NGP Scholar posts available in that cycle. The advertisement makes it clear which posts are at which institutions, and in which disciplines, etc. The advertisement makes it clear that this is a national capacity building initiative, but that the posts are permanent and institutionally based.

vii. From this point on, institutions manage the recruitment processes. viii. Applicants apply for as many posts as they wish, directly to institutions. For example, an applicant

might see that 6 posts in Philosophy are being offered (by 6 institutions) and might choose to apply for three.

ix. Once the institution has selected its staff, a report is submitted to the department on the outcomes of the process, with recommendations on appointments. The report will need to cover equity issues including numbers of applicants from designated groups.

x. An expert group appointed by the DHET meets to confirm that the agreed criteria have been met and on that basis to confirm the recommendations from institutions.

xi. As part of the employment process, the new nGAP Scholars sign a contract that sets out: o the need to participate successfully in the SSAU Development Programme (the contract will set

out such matters as the numbers of core courses and electives, and details of partner institutions offering the courses)

o the teaching load (maximum of 20% load against departmental norms) o registration for a PhD (should the nGAP Scholar already have a PhD, a higher teaching load

could be negotiated – participation in the SSAU Development Programme remains required). It should be noted that nGAP scholars may register at an institution of their choosing: it does not have to be the institution to which they are appointed as staff members.

o the name and duties of the mentor. xii. Institutions report to the DHET at the end of each year of the six-year cycle on the progress of the nGAP

Scholars.

5.2 The nGAP Scholar initiative as an additional, not alternative, approach The nGAP Scholar initiative is targeted at the recruitment, development and retention of new, young academic staff. Effective academic departments draw and rely on a range of levels of seniority,

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experience and expertise to fulfill their obligations to students, their disciplines, and to the well-being of society more generally.

It is therefore clear that universities will need to continue to fill posts at senior levels, and that not all vacancies will most effectively be replaced by junior staff at lecturer level.

More broadly, the SSAU Scheme (of which the nGAP Scholar initiative is a component) seeks to address staffing needs in a number of ways, including improving the effectiveness of staff already in the system, and providing support for bringing needed senior expertise into the sector. These are outlined below in sections 6 and 7.

6. ENHANCEMENT OF THE EFFECTIVENESS OF CURRENT STAFF The proposal speaks to the development needs of permanent and long-term contract staff. It is acknowledged, however, that some universities use high numbers of contract staff, often under relatively poor employment conditions and high teaching loads, with little access to developmental opportunities or career advancement opportunities. This is an issue that needs to be addressed, and it is argued that the establishment of high quality Development Programmes along the lines put forward here will provide an enabling context in which to undertake planning in this regard.

6.1 Support for PhD study By and large, improvements in qualifications could be made possible through teaching replacement (to enable staff to teach a reduced load) and research support to enable rapid progress of staff through senior degrees. Both of these are currently supported through RDG and TDG earmarked funding.

34% (5,687) of permanent and 14.7% (4,784) of temporary staff have Masters degrees as their highest degree and are therefore potentially eligible for doctoral study. Similarly, numbers of staff have qualifications lower than that of M or D. This proposal envisages priority being given to the rapid production of PhD qualifications. If, for the foreseeable future, 500 existing staff registered for the first year of the PhD (i.e. every year 500 new registrations were achieved) the proportion of adequately qualified staff would greatly increase. Taking 4 years as the average time to completion for existing staff (note: staff will be on reduced teaching loads and closely mentored and supported), and allowing for reasonable attrition of 20%, the numbers of PhDs from this source should increase by about 400 per year from 2018, if 2015 is taken as the first year of registration.

6.2 Participation in elements of the SSAU Development Programme Improvements in effectiveness in the core roles of academics (teaching, research and social responsiveness) are not inevitable consequences of improved qualifications. For this reason, staff working towards PhDs should be included in some elements of the SSAU-DP. It is recognized that this would need to be modified as appropriate, depending on the work experience of the individual.

The costs would be considerably lower than those for new staff, since the participants would already be on the payroll: the main needs would be for replacement teaching costs and for a ‘lite’ version of the SSAU-DP.

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7. RECRUITMENT OF ADDITIONAL STAFF While in the long-term, the bulk of the staff needs of our universities should be met by the SSAU proposals, several factors combine to make the ongoing appointment of additional staff both attractive and necessary. These factors include the general enrichment value contributed by staff from different walks of life and global contexts, the flexibility given by short-term, part-time employment, the planned expansion of the system, and the general value-add through mentoring and other forms of support, that retired or part-time staff are ideally placed to give.

6.1 Retired academics Approximately 4,460 academics will reach retirement age (assumed to be 65) by 2020. While extending the retirement age would in the short term address some of the crisis (although this might arguably introduce other problems), in an expanding system the need to source additional staff will be an ongoing challenge.

It is recognized that institutions have their own policies in relation to post-retirement employment for able and productive academics. The main trends in this regard are to employ retirees as mentors, co-supervisors, or replacement or additional teachers.

What is proposed here is that government make available the equivalent of 200 posts per annum (costed at R400,000 per full-time equivalent post) across the system, to be applied for on an agreed basis. For obvious reasons, the posts would need to be temporary, but institutions could decide how to use the funds – for example, they could employ several part-time retired staff against the full-time equivalent funding. It is proposed that this be managed through the equitable allocation of funds to institutions on the basis of approved staffing plans/ proposals against agreed notional institutional allocations arising from other factors such as size and shape, and enrolment plans.

6.2 Industry and the professions Many institutions already make use of input from the professions and industry, but apart from some professional areas such as health sciences and engineering, little systematic attention has been paid to ways in which the considerable expertise residing in the professions and industry can be harnessed to increase the pool of supervisors (through joint-supervision arrangements, for example), the availability of bench space in laboratories, and for specialist teaching and mentoring.

A more fully developed, dynamic relationship between industry and academe would yield several benefits of direct relevance to this proposal:

• The dynamic relationships which emerge make possible the involvement of industry researchers in university teaching and research supervision, and the involvement of university staff in industry laboratories and training courses on an increasing scale as the protocols are worked out.

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• Industry is able to benefit from providing research opportunities and facilities for postgraduate students. In some prominent cases internationally, a large proportion of the bench space for postgraduate researchers is in industrial and creative laboratories in close proximity to the universities.

• Students increasingly see knowledge as applicable, and become alert to possible implications of what they are learning to the challenges of their familiar environments. The established model of applied knowledge traces a straight line moving from universities to industry, with technicians supervising the process. In a dynamic innovation environment, by contrast, the straight line is compounded by a series of feedback loops. Application, then, is not primarily a technical matter, but an intellectual one requiring technical skill: it constantly places new intellectual projects on the agenda.

It is likely that this will not need extensive financial backing, but that institutions will need to be more flexible about awarding academic status (perhaps with the label ‘adjunct’ attached) and respect to professionals from industry, and in making available relevant developmental opportunities, library/IT support and office space.

It is proposed that the amount of R 10,000,000 pa be earmarked for this purpose, and allocated to institutions on the basis of approved staffing plans/ proposals against agreed notional institutional allocations arising from other factors such as size and shape, and enrolment plans.

6.3 Contracts and other posts offered to academics from outside South Africa SA is not in a position to match the conditions of work and opportunities for stellar staff to take up permanent appointments on any large scale. An option is to attract staff for shorter periods. One such possibility is that of appointing staff from developing countries on a fixed term contract basis who would, while contributing to SA’s needs, both benefit from the experience of working in South Africa and not be lost to their home countries.

Appropriate funding approaches for this purpose might be to augment salaries, or to pay benefits (such as retirement benefits) on behalf of staff in their home institutions if they are on some form of exchange or secondment.

It is proposed that the amount of R 30,000,000 pa be earmarked for this purpose. This is calculated on the basis of augmentation for 100 academics @ an average of R 300,000 per academic. This should be allocated to institutions on the basis of approved staffing plans/ proposals against agreed notional institutional allocations arising from other factors such as size and shape, and enrolment plans.

8. MANAGEMENT OF THE SSAU SCHEME

A national office/directorate/sub-directorate to give leadership, guidance, obtain feedback, and manage allocations and reports is essential in a project of this magnitude. This office must also be adequately funded to enable it to effectively manage the scheme. The directorate could be located directly under the Deputy Director General: University Education and report to her/him. Alternatively, the directorate could be located within the Chief Directorate: University Teaching and Learning Development. The role of scholarship coordination and the management of the envisaged Presidential Scholarship Programme could

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also be taken up by this directorate, as there are obvious overlaps between the programmes. At the minimum, two deputy directors and two assistant directors and a senior administrative officer should be appointed in the directorate.

9. FUNDING SOURCES AND PRELIMINARY, INDICATIVE COSTINGS

The funding agencies and/or sources listed below will need to be closely consulted and/or assessed before the feasibility of the SSAU Scheme can be evaluated.

9.1 State subsidy The bulk of the funding will come through normal teaching input and output subsidies, in that the planned expansion of the system will need to be accompanied by new resources.

9.2 DHET Earmarked Grants Teaching Development Grant funds These could be used for the employment and development of pipeline n-GAP Scholars as tutors, and for the SSAU Development Programme costs in respect of Teaching and Learning.

Research Development Grant funds These earmarked funds could be used to support staff in their PhD studies by assisting with replacement teaching costs and/or by contributing to SSAU Development costs in respect of research development (including conference attendance).

9.3 New funds (earmarked grant) from the fiscus

9.4 Scholarships / DST / NRF / donor funding Considerable resources are deployed to support the improvement of qualifications and further study in the system. These represent local and international sources. It is possible that a portion of these funds could be earmarked for SSAU purposes and thus support targeted efforts in this regard.

9.5 Collaborative arrangements with industry and the professions

9.6 NSF / SETAs

9.7 Preliminary, indicative costings The costings below are given as an indication of possible costs. Once the SSAU proposal has been through a period of consultation, with feedback and modifications incorporated, formal costing and budgeting plans will be developed.

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Budget for one cohort of nGAP Scholars: 2014 rands with 5% annual inflation

ITEM DEVELOPMENT PROGRAMME FIRST 3 YEARS OF PERMANENT POST

Year 1 Year 2 Year 3 Year 4 Year 5 Year 6 1: nGAP-DP posts (400 @ R350 000 pa) 140,000,000 147,000,000

154,350,000 / / / 441,350,000

2: nGAP academic posts (400) / / / 160,000,000

126,000,000 88,200,000 374,200,000

3: Development activities (400 posts @ R 50 000 pa)

20,000,000 21,000,000 21,050,000 / / / 62,050,000

PhD fees @ R15,000 (where applicable) 6,000,000 12,600,000 13,230,000 31,830,000 4: Mentors (400 @ R30 000 pa) 12,000,000 12,600,000 13,230,000 13,892,000 / / 51,722,000 5: Infrastructure and equipment (@ R 50 000 pa) 20,000,000 21,000,000 21,050,000 / / / 62,050,000 6: Conference participation 8,000,000 8,400,000 8,820,000 / / / 25,220,000

TOTALS 206,000,000 222,600,000 231,730,000 173,892,000 126,000,000 88,200,000 1,048,422,000 Notes: 2. The posts are calculated as follows: 100% for the first year of the post nGAP-DP period (@ R400,000pa), 75% for the 2nd, and 50% for the 3rd. Annual inflation of 5% is included. 6: Calculated as R60 000 per n-GAP post, spread over the three years of the SSAU Development Programme, ie R20,000 pa. The spread over three years is for budgetary simplicity.

Budget to support development of existing staff

ACTIVITY Annual Costs Teaching Replacement @ R100,000pa x 500 staff 50,000,000 SSAU Development Programme costs @ R 15,000pa x 500 staff 7,500,000 Conference participation (R60 000 per participating staff member, spread over four years, ie R15,000 pa) 7,500,000 R 65,00,000

Notes: • No allowance has been made for fees as these are highly variable. • The conference participation costs are spread over the four years of the PhD duration for budget purposes, although it is

recognized that staff might choose to use the whole amount for one international conference during that time. Budget to support Honours students

ACTIVITY Annual cost Honours Scholarships: 1000 @ R 60,000 60,000,000 Employment of Honours students as tutors: 1000 @ R40,000

40,000,000

Development opportunities 1000 @ R 10,000 10,000,000 R 110,000,000

Budget for recruitment of additional staff

Annual Retired academics 200 @ R400,000pa (full-time equivalent posts) 80,000,000 The professions and industry: office space and library/IT support 10,000,000 Salary augmentation / benefits (@ R300,000 per academic, 100 academics) 30,000,000 R 120,000,000

Budget for management of the SSAU scheme

Annual Two deputy directors @ R500,000pa 1,000,000 Two assistant directors @ 350,000pa 700,000 One senior administrative officer 200,000 Operational budget 500,000 R 2,400,000

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