Review of Initiatives in Equity and Transformation in Three Universities in South Africa

Review of initiatives in equity and transformation in three universities in South Africa Commissioned by C HEC Carnegie Corporation of New York Cape Higher Education Consortium Published in December 2013 by the Cape Higher Education Consortium (CHEC), House Vincent, Wynberg Mews, 10 Ebenezer Road, Wynberg 7800, South Africa Tel: +27 21 763 7100 Fax: +27 21 763 7117 Website: www.chec.ac.za © 2013 Cape Higher Education Consortium (CHEC) ISBN: 978-1-920677-68-8 Authors: Nasima Badsha and Sharman Wickham Design and lay-out: COMPRESS.dsl | www.compressdsl.com CONTENTS ACKNOWLEDGEMENTS ii CHAPTER 4 EXECUTIVE SUMMARY iv OUTPUTS AND OUTCOMES OF CARNEGIE CORPORATION GRANTS 37 CHAPTER 1 INTRODUCTION TO THIS REVIEW REPORT 1 4.A University of KwaZulu-Natal 37 4.B University of Cape Town 45 CHAPTER 2 4.C University of the Witwatersrand 54 THE SOUTH AFRICAN NATIONAL HIGHER EDUCATION AND RESEARCH CONTEXT 4 CHAPTER 5 LESSONS LEARNT AND RECOMMENDATIONS CHAPTER 3 FOR INSTITUTIONS, THE SECTOR AND INSTITUTIONAL MODELS FOR ADDRESSING ITS FUNDERS 64 EQUITY AND TRANSFORMATION 19 ADDENDUM 3.A University of KwaZulu-Natal 19 REPORT ON THE CHEC DISCUSSION FORUM 67 3.B University of Cape Town 24 3.C University of the Witwatersrand 32 3.D Monitoring and evaluation approaches and activities in the three universities 35 i ii ACKNOWLEDGEMENTS The work required for this review has been supported through funding from Staff members at each of the three universities on which the review Carnegie Corporation of New York (CCNY). In addition to the financial focused provided the Cape Higher Education Consortium (CHEC) support provided, the CCNY’s broader support of the review activities is reviewers with considerable assistance in identifying interviewees, both acknowledged. In particular, Claudia Frittelli’s engagement with the project staff and students, and coordinating the logistics associated with these plans, her participation in the project Reference Group and her willingness interviews. All the interviewees were generous in sharing their experiences to respond to our queries and comment on the drafts of the review report and perceptions of how their involvement in the Carnegie-funded were much appreciated. initiatives had contributed to equity and transformation. Key staff members also gave of their time in reading earlier versions of the review report for We would also like to acknowledge the time given and the contributions confirmation of the findings. made by the five members of the project Reference Group – Andrew Kaniki (National Research Foundation), Saleem Badat (Rhodes University), Both Eileen Arnold and Marlene Titus of CHEC provided valuable ongoing John Butler-Adam (formerly of the Ford Foundation), Mala Singh (formerly administrative and financial management support for the project, while of the Council on Higher Education) and Stuart Saunders (formerly of Francois van Schalkwyk assisted in the layout and design of the reports. the Andrew Mellon Foundation). Their insightful comments on various drafts of the review report were critical in encouraging careful thought and further development of ideas. iii EXECUTIVE SUMMARY Over the past decade and more, a number of United States (US) foundations of universities and/or projects. Pre-interview questionnaires followed by have funded various initiatives, including those related to equity and trans- interviews with key individuals within each of these foundations formed formation, in South African universities. Since 2005, Carnegie Corporation the basis of data-collection activities. of New York has funded staff development, postgraduate training and institutional-climate interventions focused on equity and transformation The second level of study was a more focused review that took place within at the University of the Witwatersrand (Wits), the University of Cape the three South African universities already mentioned – the University of Town (UCT) and the University of KwaZulu-Natal (UKZN). Such support Cape Town (UCT), the University of KwaZulu-Natal (UKZN) and the University has contributed to each university’s broader institutional strategy for of the Witwatersrand (Wits). Both documentary analyses and interviews with transformation. numerous role players at various levels in the institutions were conducted. The interviews focused on the projects/initiatives planned and implemented, This report presents the findings of a review undertaken by the Cape Higher their measurable outputs, and issues related to changing institutional Education Consortium (CHEC) for Carnegie Corporation of New York in climate, including the organisational models adopted, governance and 2012/2013. The overall goal of the review was to examine the efforts of management arrangements, the impact on postgraduate student develop- a number of US foundations, with particular emphasis given to Carnegie ment and knowledge production, the diversity of the academic staff Corporation, to promote equity and transformation in South African profile, and the transformation of teaching and learning. universities over the past decade in order to retrieve lessons learnt. Chapter 2 of the report provides a broader context for the review by As described in chapter 1, the review process was conceptualised at two focusing on the national context for higher education and research levels. The first, a broader study, provided for a high-level analysis of selected development in South Africa. As 2014 will mark the 20th anniversary of US foundations’ investments in initiatives for the period 2000/2011. The the advent of democracy, this chapter assesses the progress made over foundations selected were Carnegie Corporation of New York, the Ford the past two decades towards the achievement of key goals and targets Foundation, the Andrew W. Mellon Foundation and Atlantic Philanthropies. set for growth in terms of the numbers, and race and gender composition of masters and doctoral graduates as the pipeline for the academic and Issues of particular importance at this level of the review included the scientific workforce in the country. amounts of the investments made, the drivers and expectations of the investments, targets and benchmarks, and the rationale for the selection The chapter outlines relevant policies and plans introduced by the two iv government departments most involved in higher education and research Chapter 3 of this report describes the broader institutional models related – the Department of Higher Education and Training (DHET) and the to equity and transformation followed at each of the three universities Department of Science and Technology (DST). The challenges and included in this study. The concept of ‘model’ used here includes the constraints faced in implementing these plans and achieving new targets institutional approach, strategies and activities, together with governance are given particular attention. In addition, the responses of South African and monitoring arrangements. All three models highlight the importance bodies such as the National Research Foundation (NRF) and Higher of moving beyond approaches that aim to increase the number of black Education South Africa (HESA) are summarised together with the responses and women staff and students in the institutions. The need to address of the international donor community, including the four US foundations and transform institutional culture is foregrounded as essential. The links included in this review. The latter have shown remarkable commitment to between these goals and the development of a strong democracy in strengthening higher education and promoting equitable social change South Africa was often mentioned in the initial funding grants. in South Africa, in particular through the advancement of postgraduate opportunities for black people and for women. In addition, this chapter of the report highlights the ways in which funding received from Carnegie Corporation was used in the implementation of In addition, the descriptions provided in this chapter indicate that the these broader institutional models. In some cases, existing programmes foundations’ support for scholarship in the humanities has played a key or projects were further developed; in other cases, entirely new interventions role to ensure that this area is not neglected at a time when much of were designed for implementation. Where relevant, deviations from the the focus of government funding has been on the building of capacity proposals outlined in the original grant submissions are also described. in the fields of science, engineering and technology. The foundations have contributed to meeting important needs in the humanities and have The final section of the chapter gives attention to the monitoring and provided a ‘lifeline’ of support for leading research centres and institutes evaluation processes used at the three universities. In the first three years, in this area of work. this work was supported by the Evaluation and Research Agency (ERA), a unit based at the University of Stellenbosch. The ERA had evaluated The descriptions of the US foundations also indicate that, in many cases, a number of earlier Carnegie-funded projects in African universities as funding has gone beyond the award of scholarships to individuals and has well as the US partnership project, and had been brought on board at the allowed for rich institutional engagement and, thus, the development of start of this project. After the first three years, the universities worked best practice in postgraduate studies. independently

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