Annual performance report 2010/11 Science with a mission, women with vision … headScience in herewith a mission, women with vision
The United Nations has proclaimed 2011 as the International Year of Chemistry. At the same time the world celebrates the Centenary of International Women’s Day. In a remarkable confluence of events, 2011 is also the centennial of the Nobel Prize in Chemistry being awarded to Marie Curie for her work on radioactivity.
As such, the National Research Foundation (NRF) feels it fitting to use these joint celebrations as the theme for its 2010/11 Annual Performance Report. The NRF joins in the global celebration of the chemical sciences, and their inspirational women researchers, upon which our lives and our future are based.
NRF Annual Performance Report 2010/11
ISBN 978-1-86868-073-3
PO Box 2600 Pretoria 0001 Tel: +27 12 481-4000 Fax: +27 12 349-1179 E-mail: [email protected] www.nrf.ac.za
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CHAIRMAN’S OVERVIEW ...... 4 Materiality framework ...... 20 Policy framework ...... 20
PRESIDENT AND CEO’S STATEMENT ...... 6 Sustainability management ...... 20
HIGHLIGHTS ...... 8 Corporate Human Resources and Transformation . . . . . 21 Performance management ...... 21 Remuneration ...... 21 BOARD REPORT ...... 11 Staff recruitment, turnover and succession planning ...... 22 Employment equity and organisational transformation . . . . . 22 NRF overview ...... 12 Suitably qualified staff ...... 23 NRF mandate ...... 12 Training and development ...... 23 NRF Vision 2015 ...... 12 Employee assistance ...... 24 NRF mission statement ...... 12 Labour relations climate ...... 24 NRF values ...... 12 NRF strategic goals ...... 13 Corporate Finance ...... 24 NRF core competencies ...... 13 Composition of the NRF ...... 13 NRF divisions ...... 27 South African Agency for Science and Technology The NRF Board ...... 13 Advancement (SAASTA) ...... 27 Governance functions of the NRF Board ...... 13 Purpose and scope ...... 28 Term of office of the NRF Board ...... 13 Human capacity development ...... 28 The NRF Board Members ...... 14 NRF Board Committees ...... 15 NRF divisions ...... 32 Purpose of Board Committees ...... 15 Research and Innovation Support and Advancement Composition of Board Committees ...... 15 (RISA) ...... 32 Meetings of the Board and its Committees ...... 15 Purpose and scope ...... 33 Remuneration of Board members ...... 16 Services ...... 33 Sources of funding ...... 33 ...... NRF governance structures and support 17 Investment policy ...... 33 ...... Advisory boards as at 31 March 2011 17 Investment areas ...... 34 ...... Strategic planning and reporting 17 RISA structure ...... 34 Enterprise risk management ...... 17
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 1 contents continued
NRF divisions (continued) Biodiversity (SAIAB) ...... 53 RISA programmes ...... 34 – South African Environmental Network – Human and Institutional Capacity (SAEON) ...... 54 Development (HICD) ...... 34 – National Zoological Gardens of – Knowledge Fields Development (KFD) ...... 36 South Africa (NZG) ...... 55 – Applied Research and Innovation (ARI) ...... 39 – International Relations and Cooperation FINANCIAL REPORT ...... 63 (IR&C) ...... 39 Statement of responsibility by the Board of Directors ...... 64 – Knowledge Management and Evaluation Report of the Audit Committee ...... 65 (KM&E) ...... 39 Report of the Auditor-General ...... 66 – Grant Management and Systems Statement of Financial Position ...... 68 Administration (GMSA) ...... 41 Statement of Financial Performance ...... 69 Statement of changes in Net Assets ...... 70 National Research Facilities ...... 46 Cash Flow Statements ...... 71 Characteristics of National Research Facilities ...... 47 Accounting Policies ...... 72 Functions of National Research Facilities ...... 47 Notes to the Annual Financial Statements ...... 88 Clustering and structure ...... 47 Financial Information by Segment ...... 109
National Research Facilities ...... 48 KEY PERFORMANCE INDICATOR REPORT ...... 115 Nuclear Sciences ...... 48 Introduction ...... 117 – iThemba Laboratory for Accelerator Based Key performance measurements ...... 118 Sciences (iThemba LABS) ...... 48 Performance Report: Stakeholder Perspective ...... 128 Astro/Space/Geosciences ...... 49 Performance Report: Financial Perspective ...... 140 – South African Astronomical Performance Report: Organisational Perspective . . . . . 143 Observatory (SAAO) ...... 49 Performance Report: Organisational Learning and – Hartebeesthoek Radio Astronomy Growth Perspective ...... 144 Observatory (HartRAO) ...... 50 Performance Report: Human Resources – Hermanus Magnetic Observatory (HMO) . . . . .51 and Transformation Perspective ...... 146 – Square Kilometre Array (SKA) South Africa Project ...... 52 PUBLICATIONS ...... 149 Biodiversity/Conservation/Environment ...... 53
– South African Institute for Aquatic ACRONYMS ...... 157
2 | NRF ANNUAL PERFORMANCE REPORT 2010/11 introduction introduction |
The National Research Foundation (NRF) is proud to present its Annual p ort e Performance Report for 2010/11. This report offers an overview of the activities and performance of the NRF and highlights the impact of a small Board R selection of NRF-supported research projects.
IsiSwati – National Research Foundation (i-NRF) iyatigcabha IsiZulu – I-National Research Foundation (NRF) iyaziqhenya ngekwetfula Umbiko Wemnyaka wa-2010/11. Lombiko ngokwethula umbiko wayo wonyaka ka-2010/11. Lo mbiko usitfulela imisebenti kanye nekusebenta kwe-NRF kanye unikeza umbono jikelele ngemisebenzi kanye nokusebenza netibonelo temtselela yemiklamo lemincane yekuphenya kwe-NRF futhi ugqamisa umthelela wokhetho oluncane leyesekelwe yi-NRF. lwamaphrojekthi ocwaningo axhaswe yi-NRF.
XiTsonga – National Research Foundation (NRF) ya TshiVenda – National Research foundation (NRF) i a ḓihudza tinyungubyisa ku andlala Xiviko xa yona xa Lembe ra 2010/11. kha u vha ṋetshedza Muvhigo waha wa 2010/11. Hoyu Xiviko lexi xi nyika mbalango wa migingiriko na matirhelo ya muvhigo u sumbedza mishumo yothe yo itwaho na kushumele NRF no kombisa ntshikelelo wa nhlayo yitsongo ya tiphurojeke kwa NRF na u tahisa zwe thandela thukhu dzo nanguludzwaho ta vulavisisi lebyi seketeriwaka hi NRF. dzo tikedzwaho nga NRF dza bveledza.
Sepedi – National Research Foundation (NRF) ka boikgantšho IsiNdebele – National Research Foundation (NRF) e hlagiša Pego ya yona ya Ngwaga wa 2010/11. Pego ye e fa iyazikhakhazisa ekwethuleni umBiko womNyaka we-2010/11. tebelelokakaretšo ya mešomo le phethagatšo ya NRF gomme Lombiko unikela ngokurhunyeziweko imisebenzi eyenziwa e bontšha khuetšo ya kgetho ye nnyane ya diprotšeke tša yi-NRF begodu uveza imithelela yamaprojekte amancani dinyakišišo tšeo di thekgilwego ka ditšhelete ke NRF. werhubhulululo akhethiweko asekelwe yi-NRF.
IsiXhosa – I-National Research Foundation (NRF) inebhongo Setswana – National Research Foundation (NRF) e motlotlo ngokuthi thaca kwayo iNgxelo yayo yoNyaka ka-2010/11. Le go tlhagisa Pegelo ya yona ya Ngwaga wa 2010/11. Pegelo ngxelo inika isishwankathelo semisebenzi kunye nokusebenza e e neelana ka tshekatsheko ya ditiro le go dira ga NRF le go kwe-NRF kwaye iqaqambisa iimpembelelo zemikhankaso supa bokao jwa karolo e nnye ya diporojeke tsa dipatlisiso tse di emincinane yophando ezixhaswa yi- NRF. tshegediwang ke NRF.
Sesotho – National Research Foundation (NRF) e motlotlo ho Afrikaans – Die Nasionale Navorsingstigting (NNS) bied met fana ka Pehelo ya yona ya Selemo bakeng sa 2010/11. Pehelo trots sy Jaarverslag vir 2010/11 aan. Hierdie verslag bied ’n ena e nehelana ka kakaretso ya diketsahalo le mosebetsi wa oorsig oor die bedrywighede en werkverrigting van die NNS NRF mme e hlahisa dintlhakholo tsa sephetho sa karolo e en plaas klem op die impak van ’n beperkte keuse uit NNS- nyenyane ya diprojeke tsa diphuputso tse tshehetswang ke ondersteunde navorsingsprojekte. NRF.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 3 chairman’s overview
It is a privilege for me to present this NRF Annual Performance the delivery of a broad range of programmes supporting and Report, the last under my chairmanship. In this final reporting year fostering research and research capacity development. In line of the Board it is opportune to reflect on the main achievements with the review it is appropriate to mention as highlights the since 2008 and to consider the challenges that may lie ahead establishment of a smaller Corporate Executive team as part for the incoming Board. of a new governance structure, the goodwill of numerous local and international researchers who participated in the peer Strategic point of departure review processes of the NRF, and flagship programmes such as The NRF strategic plan Vision 2015 was approved in 2008. the PhD project, the Blue Skies research programme, Centres Apart from being based on the mandate of the NRF as of Excellence (CoE) and the South African Research Chairs outlined in the National Research Foundation Act (Act No. 23 Initiative (SARChI). of 1998), the strategy was informed by the NRF Institutional Review of 2005; the report of the Organisation for Economics However, the review also listed issues that need to be addressed, Co-operation and Development (OECD) review of the 2007 such as the funding autonomy of the NRF, the evolution and life South African National System of Innovation; and the DST 10- cycle of National Research Facilities and the primacy of science year Innovation Plan. Through close collaboration between the leadership at the National Research Facilities, the unique NRF Board, management and staff, a set of six core values position of SAASTA in the National System of Innovation (NSI), was adopted and the strategic goals for the organisation were the possibility of the NRF rendering a cross-cutting service to agreed on. a broader range of government departments and institutions, and investigating modalities for strengthening the NRF In short, the strategy can be distilled to the following deliverables involvement across the value chain from fundamental research expected of the NRF: to commercialisation. l Internationally competitive research; l A demographically representative science and technology Challenges workforce; In my view, it is clear that the longer-term strategic, structural l Cutting-edge science and technology platforms; and operational arrangements that guided the organisation l World-class evaluation and granting systems; and since 2008 are approaching maturation. The incoming NRF l A vibrant national system of innovation. Board will have an excellent opportunity to re-assess the strategic and operational context of the Foundation and to steer Within a developmental state, where the economy is still mainly the organisation towards the end of its current strategic cycle. resource and financial services-based, where unemployment The recommendations of the 2010 NRF Institutional Review will is rife and the majority of the population has insufficient stand the incoming Board in good stead to ensure that Vision entrepreneurial and technical skills to participate in the 2015 is achieved. For example, the observation that adequate knowledge economy, the significance of the NRF deliverables investment into the work of the NRF is required to achieve often gets lost among other pressing social and economic economies of scale will require immediate attention. In addition, needs. It remains one of the challenges of the NRF Board to discussions regarding the future management framework of ensure that the message about the importance of the NRF the astronomy facilities namely, the South African Astronomical in establishing a knowledge economy is heard and clearly Observatory (SAAO), MeerKAT, the Hartebeesthoek Radio understood. Furthermore, final accountability for delivery resides Astronomy Observatory (HartRAO), and the South African with the Board. Square Kilometre Array (SKA SA) project will influence the road ahead. The NRF, having nurtured the Hermanus Magnetic Determining delivery Observatory (HMO) for some time now, was proud to see its The NRF Board was fortunate in that a second NRF Institutional consolidation into the newly established South African National Review was conducted during 2010 to evaluate the delivery Space Agency (SANSA). With these and other changes in the of the NRF against its mandate and strategic objectives. This science landscape, linkages will have to be forged and new independent review commended the NRF for well-developed roles will have to be clarified between the players in the NSI. governance processes, established evaluation practices and
4 | NRF ANNUAL PERFORMANCE REPORT 2010/11 However, the main challenge for the NRF Board and management in the immediate future will be to adopt and operationalise a way forward to cement the objectives of Vision 2015. I wish them well in this endeavour.
Appreciation and acknowledgements First and foremost I want to acknowledge the Portfolio Committee for Science and Technology for their willingness to interact constructively with the NRF Board around its Annual Performance Plans and Annual Performance Reports. These chairman’ s overview regular, incisive sessions proved most helpful in the self-reflection of the NRF. | p ort
My sincere appreciation goes to Minister Naledi Pandor, and Deputy Minister Derek e Hanekom for their support and leadership. On behalf of the Board I extend our gratitude for their accessibility and the fruitful discussions during which views on
the strategic direction of the NRF could be exchanged. Board R
I want to commend my fellow Board members for their wisdom, sound counsel and for the generosity with which they had given of their time and expertise. They have demonstrated passion and prudence in promoting the well-being of national assets – be it in the form of high-level human resources or national research infrastructure.
I express my deep appreciation to the management team of the NRF that succeeded in keeping the organisation on track – at a strategic, policy and at an operational level.
Let me take this opportunity to pay a special tribute to the staff of the NRF for many hours of selfless service behind the scenes. With … changes in I extend my best wishes to the incoming NRF Board. I sincerely believe that the science landscape, with the support from the NRF management and staff, the Board will rise to the challenge encapsulated in the NRF Vision 2015 of promoting world-class research, a transformed society and a sustainable environment. linkages will have to be forged and new roles will
Prof Belinda Bozzoli have to be clarified … Chairman: NRF in the NSI.
NRF ANNUALPERFORMANCE REPORT 2010/11 | 5 president AND CEO’s statement
It is my privilege to present this report on the performance of market value chain is slow, it is still significant and worth all our the NRF for the 2010/11 financial year. In the report, we reflect best efforts. on the progress of the NRF in ensuring that South Africa has a dynamic research community that conducts research that offers Generating knowledge solutions to national challenges. This Annual Performance The transition from a resource-based economy to a knowledge- Report reflects on the NRF inputs, outputs and some outcomes, based economy is triggered and fuelled by the production of and through selected examples and projects shows how, in a new knowledge. The NRF promotes development in areas of small way, the NRF impacted on research and the transformation scarce and key skills and supports knowledge areas where of the workforce through its stakeholders and own initiatives. South Africa has proven competence and enjoys a geographic advantage for unique knowledge generation (such as astronomy, Human capital development biodiversity and palaeontology). South Africa’s growing knowledge economy, based on research, development and innovation, requires a strong and sustainable In the different knowledge fields, the NRF manages a range human resource base. The challenge to grow a representative of programmes aimed at supporting various categories of science and technology workforce remains daunting. However, researchers and levels of research skills. In this report, the I believe that the multi-pronged approach of the NRF continued progress made possible by the SARChI and CoE is reflected. to provide an enabling environment for nurturing potential. Through our science advancement and outreach activities Science awareness and research young talent was targeted and inspired to take up careers in infrastructure platforms science. Research and Innovation Support and Administration The 2010 NRF Institutional Review commented on the role (RISA) funding programmes aimed to build skills in the next and location of research, science awareness and infrastructure generation of researchers (students), emerging researchers and platforms. New management models for the National Research established researchers. Research at the National Research Facilities will have to be explored. Specific recommendations Facilities had a rapidly growing training component. Through were made with regard to the management of the Astro- funding and training, and by providing the necessary research Geosciences facilities – an issue that we have already started infrastructure, the NRF worked hard at building a representative attending to. The NRF accepts the general principle of the science and technology workforce. primacy of science leadership at the facilities as recommended by the review. Besides funding, the NRF also provides value-adding services to support the research community. One example is the launch The review recommendations will also direct the decisions of the Emerging Researcher Network (ERN). The ERN is regarding the location and role of SAASTA within the National primarily an online researcher community platform that provides System of Innovation (NSI). emerging researchers with online resources about funding and job opportunities, toolkits and a structured environment Internal efficiencies in which to collaborate. It is also a portal directing South Income and the resultant expenditure increased significantly African researchers to various online resources nationally and during 2010/11. Apart from increased funding to students and internationally. In addition, the bi-monthly NRF Communiqué researchers, special allocations were received from the DST to and the new NRF website continues to keep the research address urgent and ageing infrastructure needs, and to provide community informed about NRF developments. bandwidth connectivity to an important section of the NSI. Cash holdings at the end of the year decreased significantly as more The overall aim of the respective NRF funding, research and grants were awarded, resulting in an increased flow of funds to value-adding initiatives is to increase the number and diversity Higher Education Institutions (HEIs). It is clear that economies of highly skilled knowledge workers who can qualify for critical of scale were achieved. positions in academia, the public service and the private sector. Although progress at this high end of the educational and labour
6 | NRF ANNUAL PERFORMANCE REPORT 2010/11 The future The NRF is proud of its performance of the past year. However, I am acutely aware of the scope of the tasks at hand as well as the potential for the improvement of performance. For example, the 2010 Institutional Review recommended that the NRF follows a process that enables an accurate distribution of the overheads and corporate costs across programmes; we have to improve on our communication with stakeholders regarding the development and changing of funding instruments and funding opportunities; our Information Communication Technolgoy (ICT) capability should be expanded; we must develop a comprehensive management information
system; and internal human resource management and development should receive ident AND CEO ’ s tatement attention. These issues and many more will require not only the necessary resources, s
but also our renewed commitment to our corporate values: passion for excellence; p re | world-class service; integrity; respect; people-centred; and accountability. p ort We are looking forward to entering the evaluation phase of the NRF longer-term e strategic plan under the guidance of the incoming NRF Board and will implement the necessary improvements with unstinting enthusiasm and perseverance. Board R Acknowledgements As the term of the current Board expires during the course of 2011, it is opportune for me to thank members of the NRF Board for their commitment, integrity and hard work through which they brought vision and good governance to the organisation. Particular recognition should go to Professor Belinda Bozzoli who, throughout her tenure as chairman, provided insightful leadership to the organisation, the science community and the country. The overall aim of the Allow me to acknowledge the management team of the Department of Science and Technology and in particular the Director-General, Dr Phil Mjarwa, for the valued respective NRF funding, efforts aimed at establishing and promoting an open working relationship. I trust that our common commitment to collaboration will be to the benefit of the entire NSI. research and value-
My appreciation goes to the management and staff of the NRF who, through teamwork, determination and dedication, created an enabling environment for our adding initiatives is to clients and stakeholders. increase the number and Finally, the NRF would not be in a position to fulfill its value-adding role without the support of individuals and institutions both locally and from abroad. Many people, too many to mention, served on committees or assisted the NRF in one way or diversity of highly skilled another. For this selfless expert service we are indebted to all of you. knowledge workers who can qualify for critical Dr AS Van Jaarsveld President and CEO: NRF positions in academia, the public service and the private sector.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 7 highlights During 2010/11 the NRF recorded significant achievements in striving towards its strategic goals.
X4 R186m 258 Fourfold increase in number of female RISA grant investment in research The number of women in chemistry postgraduate students supported through equipment at research institutions supported in 2010 by contract and core Centres of Excellence (2004-2010). and the National Research Facilities. grants. 599 411 1 937 The number of students in chemistry The number of black males and females supported in 2010 by contract and core in chemistry supported in 2010 by Doctoral students supported by the NRF. grants. contract and core grants.
8 | NRF ANNUAL PERFORMANCE REPORT 2010/11 FIRST R324m 99,8% Carbon footprint study for the NRF Investment in research areas where Completion rate for applications undertaken. South Africa has a geographic for NRF rating. advantage. R1bn 93% R1,3bn Total value of grants expensed through Increase in number of postdoctoral Investment in research grants (including RISA. students supported. bursaries and scholarships). 81% 37% 28% Percentage of available grant funding Increase in grant expenditure. Increase in total income received. (R1,3bn) disbursed. R255m Additional support from DST to expand bursaries, support women and young researchers and upgrade infrastructure.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 9 10 | NRF ANNUAL PERFORMANCE REPORT 2010/11 BOARD REPORT
CORPORATE OVERVIEW
NRF overview ...... 12 The NRF Board ...... 13 NRF governance structures and support ...... 17 Corporate human resources and transformation ...... 21
Corporate finance ...... 24 OVERVIEW OF THE NRF DIVISIONS
South African Agency for Science and Technology Advancement (SAASTA) . . . . . 27 Research and Innovation Support and Advancement (RISA) ...... 32 National Research Facilities ...... 46
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 11 corporate overview THE 2010/11 REPORT OF THE NRF BOARD REFLECTS THE HIGH- LEVEL ACTIVITIES AND PERFORMANCE OF THE NRF AGAINST THE NRF 2010/11 PERFORMANCE PLAN.
NRF OVERVIEW
NRF MANDATE The NRF receives its mandate from the National Research Foundation Act (Act No. 23 of 1998), which came into effect on 1 April 1999 and established the NRF as an autonomous statutory body. According to Section 3 of the Act, the object of the NRF is to: support and promote research through funding, human resource development and the provision of the necessary research facilities in order to facilitate the creation of knowledge, innovation and development in all fields of science and technology, including indigenous knowledge and thereby contribute to the improvement of the quality of life of all the people of the Republic.
NRF VISION 2015 The NRF envisages the following for South Africa: l World-class research; l Transformed society; and l Sustainable environment.
NRF MISSION STATEMENT To contribute to the knowledge economy in South Africa by attaining at least 1% of global research and development (R&D) output by 2015.
NRF VALUES The NRF values are: l Passion for excellence; l World-class service; l Integrity; l Respect; l People-centred; and
12 | NRF ANNUAL PERFORMANCE REPORT 2010/11 l Accountability. Figure 1: Divisions of the NRF
NRF STRATEGIC GOALS The NRF adopted the following broad Vision 2015 strategic goals: l Promote internationally competitive research as basis for a knowledge OVERVIEWP ORATE economy; COR l Grow a representative science and Research and | Public National technology workforce in South Africa; Innovation
S&T Research p ort l Operate world-class evaluation and Support and e Outreach Facilities/ grant-making systems; Advancement (SAASTA) Platforms l Provide cutting-edge research, (RISA)
technology and innovation platforms; Board R and l Contribute to a vibrant national National Research Foundation innovation system.
NRF CORE COMPETENCIES The core competencies of the NRF are embedded in: The business divisions are supported by l Exercises its governance responsibility l Leading-edge grant management the following corporate services: in terms of the Public Finance systems; l Finance and Business Systems Management Act (PFMA) (Act No. 1 l World-class research evaluation and – Finance of 1999 as amended by Act No. 29 of benchmarking practices; – Governance 1999); and l State-of-the-art research platforms; – Information and Communication l Ensures compliance with the relevant l Specialised research capacity at the Technology (ICT) requirements of the King Report on National Research Facilities; – New Business Development (NBD); Corporate Governance for South l Strategic information accumulation and Africa 2009 (King III). and dissemination capability; l Human Resources and Stakeholder l Capacity to catalyse local and Relations The Chairman of the Board actively international science cooperation, – Human Resources interacts with the Minister, and a networks and partnerships; – Legal Services Shareholder Compact has been signed l Science advancement expertise for – Corporate Communication. between the NRF Board and the community engagement; and Executive Authority. The Shareholder l Science and technology management The NRF Board Compact promotes good governance experience. and clarifies the respective roles and GOVERNANCE FUNCTIONS responsibilities of the Board and the COMPOSITION OF THE NRF OF THE NRF BOARD Executive Authority. There are three main business divisions The NRF Board, which is appointed by in the NRF (see Figure 1): the Minister of Science and Technology, TERM OF OFFICE OF l The South African Agency for Science performs the following functions: THE NRF BOARD and Technology Advancement l Provides strategic direction; The three-year term of office of the NRF (SAASTA), which for reporting l Approves the goals, objectives and Board extends from 1 July 2008 until purposes is located within RISA, but key policies of the organisation; 30 June 2011. The term of the current has a corporate cross-cutting science l Monitors investment practices, risk National Research Foundation Board and technology (S&T) advancement management and organisational was extended by the Minister of Science function; reviews; and Technology on the 27 June 2011. l Research and Innovation Support and l Ensures compliance of the NRF with The extension will continue until the Advancement (RISA); and the NRF Act and other legal and reconstitution process of the new Board l The National Research Facilities. regulatory obligations that govern has been finalised. statutory bodies;
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 13 corporate overview continued
NRF BOARD MEMBERS AS AT 31 MARCH 2011
Professor B Bozzoli Professor J Mr T Gcabashe Dr N Magau Mr M Netsianda (Chairman) Fedderke Executive Chairman Consultant Executive Director Senior Advisor to the Helen Suzman Chair Builtafrica Holdings Human Resources and Vice-Chancellor of Political Economy Support Services Acting Director, Wits of the University of the Agricultural Research Institute for Social and Witwatersrand Council Economic Research Pennsylvania State (WISER), University of University, United the Witwatersrand States of America
Professor T Nyokong Professor V Pillay Ms T Ramano Ms N Yokwana Dr I May Department of Department of Policy Group Chief Financial Consultant Consultant Chemistry Studies Officer Rhodes University University of Pretoria Wiphold
It should be noted that l Ms T Ramano was appointed to the l Dr IR May, Chairman of the Audit l Professor P Pillay resigned from the NRF Board from September 2010; and Risk Committee as well as NRF Board on 9 June 2010; and of the Remuneration and Human Resources Committee, passed away on 31 December 2010.
14 | NRF ANNUAL PERFORMANCE REPORT 2010/11 l l l on aregularbasis: issues standing relevant with deal to committees three appointed Board The committees Board NRF efrac assmn o the annual of and an CEO the of as well as organisation assessment conducts performance Board and the resources Committee the Through remuneration. human organisation monitors regarding the of and performance Board the the advises It Report onCorporateGovernance. formal adopted terms of reference in line has with the King Committee The R R year incompliancewiththecharter. the for responsibilities its all discharged Treasury27.1.7 Regulations 27.1.10and and has and PFMA the of (a) (1) 51 Section of requirements the charterwith line in a through formal reference of adopted terms has Committee The the of organisation. Report the Performance as Annual well as Statements Annual Financial the evaluates It organisation. the of performance understand and dynamics to the way unrestricted and independent an in acts Committee The and risks mitigation strategiesoftheorganisation. significant most the the to Board report and risks key review to responsible also is It controls. internal internal audit function in ensuring proper the by undertaken be to work of scope the and plan audit external annual the approves committee The PFMA. prescribed the of relevant legislation and regulations with issued in terms complies NRF the that ensures Committee The A OF PURPOSE BOARD COMMITTEES
R and udit C esources H and emuneration h Rmnrto ad Human The Procurement Committee. and Resources Committee;and Remuneration The The AuditandRiskCommittee; C isk ommittee ommittee uman III III COMPOSITION OF BOARD COMMITTEES OFBOARD COMPOSITION l l l follows: has and as committee the risk constituted therefore mitigate high- to stringent processes that require procurements recognises value Board project. the The expedite infrastructure to acquisitions large-scale to priority approving given has Committee the SKA, the host to bid Africa’s South and project (SKA) Array Kilometre Square the framework. of profile international the authority to Due of delegation with approved an deals on matters and procurement reference of formal adopted terms has Committee This P The regarding remuneration levels. recommendations making when consideration into results these and Human Resources Committee Remuneration takes Board’s The President. Table 1:CommitteesoftheBoard D M Prof M Prof J Prof M Committee Risk & Audit
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N N M ay (†) ( (†) ay yokong etsianda agau C C hairman) hairman) l l the next page. on 2-5. Tables in shown are members Board of attendance the and meetings committee respective the of dates The meetings. three had therefore and required as met ProcurementCommittee the operations, business effective ensure and three making decision- expedite To held each. meetings Human Committee, and Resources Remuneration the and Committee, Risk and Audit the period, same the Over year. financial 2010/11 The NRF Board met four times during the COMMITTEES OF THE BOARD AND MEETINGS matters urgent require approval. should notice at short convenes but meetings scheduled through regularly meets Committee The
Chief Financial Officer of the NRF.Chief FinancialOfficerofthe and oftheNRF; President/CEO M D D M Prof B Bozzoli ( Bozzoli B Prof Procurement Committee Procurement r r r r r B Singh B r r r IR A T S van Jaarsveld van S S S
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| 15 ITS
Board Report | CORPORATE OVERVIEW corporate overview continued
Table 2: Attendance and meetings of the NRF Board: Table 5: Attendance of Audit and Risk Committee 1 April 2010 – 31 March 2011 meetings: 1 April 2010 – 31 March 2011 Meetings Meetings 21/22 10 26 28 15 July 18 Oct 16 March July Nov Jan March Board members 2010 2010 2011 Board members 2010 2010 2011 2011 Chairman Dr IR May (†) ● ● † Chairman Prof B Bozzoli ● ● ● ● Prof JW Fedderke ● ■ ■ Prof JW Fedderke ● ■ ■ ■ Mr TS Gcabashe Mr TS Gcabashe ● ● ● ● (Chairman as of ● ● ● Dr NM Magau ■ ● ● ● 1 February 2011) Dr IR May (†) ● ● † † Prof V Pillay ● ● ● Mr TM Netsianda ● ● ■ ● Ms T Ramano (Appointed – ● ■ Prof T Nyokong ● ● ● ● September 2010) Prof P Pillay Ms NZ Yokwana ● ■ ● ◆ ◆ ◆ ◆ (Resigned June 2010) Ex officio Prof B Bozzoli ◆ ◆ ◆ Prof V Pillay ■ ● ● ● Ex officio Dr AS Van Jaarsveld ● ● ● Ms T Ramano ■ Absent with apology ● In attendance ◆ Not an attending member – ■ ● ■ (Appointed September 2010) Ms NZ Yokwana ■ ■ ● ● Ex-officio Dr AS Van Jaarsveld ● ● ● ● REMUNERATION OF BOARD MEMBERS ■ Absent with apology ● In attendance ◆ Not an attending member NRF Board members are paid honoraria see Table 6 below. The honoraria are paid in terms of the guidelines provided by Table 3: Attendance of Remuneration and Human Resources National Treasury. Committee meetings: 1 April 2010 – 31 March 2011 Meetings Table 6: Actual remuneration of NRF Board members 15 July 28 Oct 22 March Total 2010/11 Total 2009/10 Board members 2010 2010 2011 Board member (R) (R) ● ● Chairman Dr IR May (†) † Bozzoli B (Chairman) 35 937 31 316 ● ● ● Dr NM Magau Fedderke JW 14 000 12 400 ● ● ● Mr TM Netsianda Gcabashe TS* 16 404 12 400 ● ■ ● Prof T Nyokong Magau NM 14 000 12 400 Prof B Bozzoli (Chairman as Ex officio ◆ ◆ ● May IR † 17 712 20 871 of 1 February 2011) Netsianda TM 14 000 12 400 Ex officio Dr AS Van Jaarsveld ● ● ● Nyokong T 14 000 12 400 ■ Absent with apology ● In attendance ◆ Not an attending member Pillay P** – – Table 4: Attendance of Procurement Committee Pillay V 14 000 12 400 meetings: 1 April 2010 – 31 March 2010 Ramano T*** 7 000 – Meetings Yokwana N 14 000 12 400 29 Oct 22 Nov 22 March TOTAL 161 053 138 987 Board members 2010 2010 2011 * Donated to Mathande Society for the Aged Chairman Prof B Bozzoli ● ● ● ** Based abroad: Resigned June 2010 Dr IR May (†) ● ● † *** Appointed to NRF Board from September 2010 Mr TS Gcabashe (As of ◆ ◆ ● † Passed away 1 February 2011) Ex officio Mr B Singh ● ● ● Ex officio Dr AS Van Jaarsveld ● ● ● ■ Absent with apology ● In attendance ◆ Not an attending member
16 | NRF ANNUAL PERFORMANCE REPORT 2010/11 NRF Governance quarterly reports. To ensure proper ENTERPRISE RISK MANAGEMENT Structure and support corporate performance measurement, The NRF Board has committed the Directorate helps the organisation the enterprise to a process of risk Advisory Boards as at develop appropriate and transparent management that is aligned to the 31 March 2011 indicators. The Directorate also principles of the King III good corporate In accordance with the NRF Act, the implements the necessary business governance code and the legislative NRF performs an agency function intelligence systems to promote requirements of the PFMA, Act 1 of OVERVIEWP ORATE effective monitoring and timely and 1999 as amended by Act 29 of 1999. on behalf of its line department, the COR | Department of Science and Technology informed decision-making. (DST), and acts as service provider for The NRF enterprise risk management p ort several government departments. The planning and reporting unit supports principles comprises taking calculated e the Board in transforming corporate risks in pursuing opportunities to achieve When government departments choose reporting into integrated reporting. strategic goals while not jeopardising the NRF as an agency, this relationship Integrated reporting is an evolution the direct interest of the NRF and its Board R is usually managed through Memoranda of corporate reporting resulting from stakeholders. The NRF enterprise risk of Understanding (MoUs) that contain global crises such as financial meltdown, management system is governed by the specific service level agreements. In climate change and ecological over-use. enterprise risk management framework accordance with, and/or in addition to An integrated report should provide that was adopted by all business units and these formal agreements, the following stakeholders with a meaningful and executive committees. The enterprise governance structures are in place: concise overview of the organisation. It risk management framework provides a l The THRIP Board. This is appointed forces companies to look at longer-term common “risk language” and describes jointly by the NRF President and the horizons and at external factors such the roles and responsibilities of key Director-General of the dti; and as economic, social and environmental players in the process of enterprise risk l Directors’ Advisory Committees. impacts. management. The framework is applied These operate at iThemba LABS and in all areas of potential exposure to risk. SAEON. The process for establishing According to the Discussion Paper: committees for the other National Framework for Integrated Reporting The implementation of the Enterprise Research Facilities will be completed and the Integrated Report, published by Risk Management framework during the first half of the 2011/12 the Integrated Reporting Committee of contributes to: financial year. South Africa on 25 January 2011, “… l Proactively identifying, managing and the objective of integrated reporting is monitoring enterprise risks so as to The role definitions of all governance to enable stakeholders to assess the minimise losses and disruption to the support structures are reviewed from ability of an organisation to create and NRF; time to time to streamline operations sustain value over the short, medium l Promoting and embedding a risk- according to best practice. and long term … and to determine conscious culture and behaviour whether the organisation’s governing throughout the NRF; STRATEGIC PLANNING structure has applied its collective mind l Complying with relevant legal and AND REPORTING in identifying the environmental, social, regulatory requirements; The Board is supported by the NRF economic and financial issues that l Improving enterprise risk Corporate Executive. The Governance impact the organisation and assess the management in order to achieve the Directorate assists the NRF Corporate extent to which these issues have been NRF’s business objectives; and Executive by ensuring that the NRF incorporated into the organisation’s l Integrating risk in the day-to-day complies with the relevant legislation and strategy”. activities of the NRF. regulatory frameworks. The Directorate is instrumental in assisting the Board with The NRF is moving toward integrated During the 2010/11 financial year, the strategic planning process. It further reporting and with the imminent new there was significant progress in prepares corporate annual performance strategic planning cycle that will commence terms of developing and implementing planning and reporting documents, after the appointment of the new NRF enterprise risk management policies such as the NRF Annual Performance Board, will implement revised data collection and procedures. To date the following Plan, the Annual Performance Report, processes and reporting strategies to policies and procedures were approved the Key Performance Indicator (KPI) provide stakeholders with a more holistic by the executive structures of the NRF report, the Shareholder Compact and view of the NRF and its impact. and/or the NRF Board:
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 17 corporate overview continued
The governance structures and support The Board is supported by the Corporate Secretariat and the NRF Corporate Executive. As the new internal decision-making structure, the NRF Corporate Executive continued its oversight role. The Corporate Executive comprises:
Corporate Executive management as at 31 March 2011
Dr AS Van Jaarsveld Dr G Mazithulela Dr D Pillay Mr PB Thompson Mr B Singh President and CEO: Vice-President: Vice-President: Group Executive: Group Executive: National Research Research Infrastructure Research and Human Resources and Finance and Business Foundation and National Research Innovation Support and Stakeholder Relations Systems Facilities Advancement (RISA) National Research Facility Executive Directors as at 31 March 2011
Prof PA Charles Dr M Gaylard Dr L McKinnell Dr C Nxomani South African Hartebeesthoek Radio Hermanus Magnetic National Zoological Astronomical Astronomy Observatory Observatory (HMO) Gardens (NZG) Observatory (SAAO) (HartRAO)
Mr J Pauw Prof PH Skelton Dr ZZ Vilakazi South African South African Institute iThemba Laboratory Environmental for Aquatic Biodiversity for Accelerator Based Observation Network (SAIAB) Sciences (iThemba (SAEON) LABS)
18 | NRF ANNUAL PERFORMANCE REPORT 2010/11
OVERVIEWP ORATE Research and Innovation Support and Advancement (RISA) COR Executive Directors as at 31 March 2011 | p ort e Board R
Mrs BA Damonse Dr AM Kaniki Mr R Kriger Dr R Maharaj South African Knowledge Fields International Relations Human and Institutional Agency for Science Development (KFD) and Cooperation Capacity Development and Technology (IR&C) (HICD) Advancement (SAASTA)
Dr SD Selematsela Dr NB Nthambeleni Acting: Dr NSR Knowledge Grant Management Skeef Management and and Systems Applied Research and Evaluation (KM&E) Administration (GMSA) Innovation (ARI)
Corporate Support Services Executive Directors at 31 March 2011
Acting: Mr B Singh Dr NSR Skeef Mr WM Skowronski Mr RD Grace Corporate Governance New Business Information and Corporate Finance Development (NBD) Communication Technology (ICT)
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 19 corporate overview continued l Enterprise risk management plan; POLICY FRAMEWORK diversity and equal opportunities); l Enterprise risk management policy; The NRF Board approved a formal policy l Societal impact (corruption l Enterprise risk management strategy; framework that guides the structure, management); and layout and approval of all policies. All l Economic performance. l Enterprise risk management function NRF policies will be adapted to this charter; and framework. The NRF Executive has also The GRI guidelines consist of, l Disaster recovery plans / Business set up a policy committee, which will among others, information relating continuity plans. be chaired by the Executive Director: to performance indicators as well as Governance. guidance on specific technical topics in Since establishing the enterprise risk reporting. Although data are available for management function the focus has Sustainability management most material indicators, not all data is The NRF views sustainability been on redefining and implementing available or standardised yet. Therefore, management as one of the key drivers measures such as data collection world-class risk management capacity, in achieving its mandate and objectives. processes and training are being put in policies, systems, models and tools. place to ensure appropriate reporting. The organisation encourages active MATERIALITY FRAMEWORK participation in the Safety, Health and The first carbon footprint study to Environment (SHE) advisory committees A materiality and significant framework calculate the NRF’s greenhouse gas that were established at the respective has been developed to report losses (GHG) emissions was conducted during business divisions. through criminal conduct and irregular, the 2010/11 FY using baseline data collected from April 2009 to March fruitless and wasteful expenditure, To align itself with best practice as well as for significant transactions regarding sustainability management, 2010. Studies are currently under way (envisaged per section 54(2) of the the NRF uses the Global Reporting to analyse the 2010/11 FY data for carbon footprint. Efforts to improve PFMA) that require ministerial approval. Initiative’s (GRI) Sustainability Reporting the processes of data collection and Due to the nature of the business of Guidelines as framework for reporting on: analysis are on-going. The summary the entity, the materiality level has been l Environmental performance (energy results for GHG for 2009/2010 are selected at 0,25% of budgeted revenue, and water consumption, greenhouse shown in Table 7 below. The results were amounting to R5,3 million. gas emissions and waste production); measured in terms of different scopes l Labour practices (employment and as per the GHG Protocol, and definitions labour relations demographics, are given below:
Table 7: NRF Greenhouse Gas (GHG) emissions (April 2009 – March 2010) in tonnes (CO2e = CO2 equivalent). Other direct
Facility Scope 1 emissions Scope 2 Scope 3 Total CO2e % of Total SAIAB 22,3 4,16 172,4 130,34 329,21 0,74% SAEON 1,83 0 23,03 31,54 56,41 0,13% SAAO 103,65 0 1 473,00 249,77 1 826,77 4,08% RISA 4,53 3,62 836,46 1 588,3 2 432,9 5,44% iTHEMBA LABS 903,45 90,5 28 994,85 1 120,89 31 109,69 69,51% HMO 22,5 0 190,55 138,63 351,68 0,79% HartRAO 140,76 0 866,06 131,61 1 138,43 2,54% NZG 135,94 0 4 805,60 2 567,83 7 509,37 16,78% Totals 1 334,96 98,28 37 361,95 5 958,91 44 754,46 100% Percentage 2,98% 0,22% 83,48% 13,31% 100%
20 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Scope 1 emissions are direct emissions, During 2011/12 NRF will: REMUNERATION i.e emissions from fuels burned by l Set emission reduction targets for NRF executive management and general organisation-owned stationary and mobile both absolute emissions and intensity staff are remunerated in accordance sources as well as from fugitive emissions emissions; with the total annual package approach. (such as emissions arising from refrigerant l Conduct energy-efficiency audits, gas used in Hydrofluoro-carbon (HFC)- prioritising both iThemba LABS and To attract and retain high-calibre staff, based air-conditioning equipment). The the NZG and implement energy the NRF positions its average salaries OVERVIEWP ORATE GHG Protocol recommends that fugitive reduction actions based on the for good performers at the median COR emissions (coolant gas refills) not listed findings of the audits; and of the general market. General salary | under the Kyoto protocol should be l Roll out energy (mainly electricity) adjustments in respect of prevailing p ort reported on separately and classified as efficiency actions across the rest of economic conditions are negotiated e “other” direct emissions. the organisation. with representative unions on an annual basis. Differentiation between individual
Scope 2 emissions are the result of Corporate human salaries is based on performance as Board R indirect emissions from purchased resources and measured through the NRF Integrated electricity used on site. transformation Performance Management System, The Human Resource (HR) function and rewarded through performance Scope 3 emissions are indirect plays a key role in the roll-out of Vision bonuses and notch salary movement for emissions from other sources. According 2015. It ensures that staff members, deserving individuals. to the GHG Protocol, calculating and functions and business divisions are reporting on an entity’s Scope 3 carbon aligned with the overall vision of the The Board conducts an annual emissions is optional. For the purposes organisation. performance assessment of the of this report, Business Travel (flights organisation and that of the CEO and and car rentals), Employee Commute, PERFORMANCE MANAGEMENT President. The Board’s Remuneration Outsourced Distribution, Packaging Efforts by both line management and and Human Resources Committee takes Materials, Paper Use, Waste and Water HR to improve the practical application these results into consideration when
(embedded CO2e) were included. of the Integrated Performance recommending remuneration levels for Management System (IPMS), continue. executives and senior management. l For the period April 2009 to March There is growing buy-in, compliance and The Board also make recommendations 2010 the NRF operations were found understanding, as well as appropriate regarding the organisation’s to have a total of 44 754,46 tonnes adaptation and application across remuneration levels in general.
CO2e; all business divisions. Enhancing l Emissions from electricity usage organisational effectiveness through In line with principles of transparency, accounted for the majority of these proper performance management Table 8 indicates the remuneration emissions (83,48% total measured planning, monitoring and review remains packages of the corporate executive emissions); a key priority in the organisation. Creating management. l iThemba LABS made the largest a conducive work environment, and contribution (69,51%) by far to total developing and motivating employees, measured emissions. This was mainly underpin these efforts. due to their very high electricity consumption; l The next largest contributor was NZG Table 8: Remuneration packages of the Corporate Executive Management as with 16,78% of total emissions, with at 31 March 2011 electricity and waste being NZG’s 2010/11 2009/10 higher contributors; and Corporate Executive Management (R’000) (R’000) l Electricity (83,48%), Employee AS Van Jaarsveld 2 123 1 835 Commute (4,51%), Waste (4,07%) D Pillay (From February 2010) 1 511 220 and Business Travel (3,69%) were responsible for 95,75% of all G Mazithulela (From February 2009) 1 573 1 450 emissions measured. B Singh 1 301 1 197 PB Thompson 1 316 1 212 Total remuneration 7 824 5 914
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 21 corporate overview continued
STAFF RECRUITMENT, TURNOVER incentivising staff to reduce the risk of Employment equity AND SUCCESSION PLANNING losing key personnel. and organisational Recruitment in the organisation has transformation declined significantly, with a year-on- As part of the process of ensuring the year decrease of 23,8%. Some 102 sustainability of the organisation, the Race and gender profile (134 in 2009/10) staff members joined NRF reviews its succession plans at Table 10 on the next page indicates the the organisation in the year under review. senior and top management levels on an employment level of NRF staff in terms annual basis. This review is undertaken of race and gender as at 31 March Overall turnover slightly increased from and discussed with the HR Committee 2011. 9,2% to 10,3% year-on-year against an average national turnover of 10,1%. of the NRF Board. Controllable turnover increased from For more information on trends regarding 3,5% to 7,9%. As the economic situation Table 9 provides an analysis of the staff, race and gender representation, in our country stabilises, we will need recruitment activity and the turnover kindly refer to the Key Performance to renew our effort to retain staff and movements by reason, race and gender Indicator (KPI) Report pages 147 and find innovative ways of engaging and for the period under review. 148 Figures 26 to 28).
Table 9: Staff movement by reason, race and gender: 2010/11 Designated Non-Designated Male Female Foreign Nationals
White Total Non- Grand
African Coloured Indian Total African Coloured Indian White Total Men Male Female Designated Group Total Recruits 27 5 2 34 27 10 2 8 47 18 3 0 21 102 Resignations 21 9 1 31 23 8 4 11 46 16 4 20 97 Retirements 5 5 1 1 0 6 Retrenchment 2 2 0 0 2 Contracts 6 6 3 3 0 9 expiring Dismissals 4 4 3 3 0 7 Ill-health 1 1 1 1 0 2 Death 1 1 2 2 0 3 TOTAL 40 9 1 84 32 8 4 12 56 16 4 0 20 160
22 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Table 10: The employment level of NRF staff by race and gender as at 31 March 2011 Occupational Level Designated Non-Designated Foreign Male Female Nationals White Group Grand Total Non- African Coloured Indian Total African Coloured Indian White Total Men Male Female Designated Total
Top Management 2 0 2 4 0 0 0 0 0 1 0 0 1 5 OVERVIEWP ORATE Senior management 6 2 2 10 2 1 1 0 4 7 2 0 9 23 COR Professionally Qualified and Experienced | 23 8 5 36 10 5 6 25 46 99 22 9 130 212 Specialist and Mid-management
Skilled technical and academically p ort e qualified workers, junior management, 131 81 5 217 143 58 12 95 378 96 6 4 106 701 supervisors, foremen and superintendents
NRF Overall Performance Semi-skilled and discretionary decision- 158 13 0 171 59 14 2 2 77 7 0 0 7 255 Board R making Unskilled and defined decision-making 8 9 0 17 18 15 0 1 34 2 0 0 2 53 Total Permanent 328 113 14 455 232 93 21 123 469 212 30 13 255 1 179 Non-Permanent Employees 18 1 1 20 7 4 0 4 15 6 0 0 6 41 Grand Total 346 114 15 475 239 97 21 127 484 218 30 13 261 1 220
People with disabilities Science Council or a National Research Staff qualifications Figure 2 indicates the trend in the Facility. During 2010/11, of the total number of employment of people with disabilities. NRF staff employed (1 220) 139 staff RISA and SAASTA formally employ no members have doctoral qualifications While the 2010/11 numbers are below the staff to conduct research as such. At the and 139 staff members have Master’s target set, the trend shows a commitment National Research Facilities, nearly 10,5% degrees. Some 28 staff members towards correcting the situation. (101 of the total of 948 staff members) enrolled for PhD studies and 42 for are researchers. The percentage ranges their Master’s qualification. For more Staff profile by age from 2% research staff at the NZG to information on the trends in staff profile Overall, the NRF is a relatively young 33% research staff at SAIAB. For more in terms of qualification, kindly refer to organisation with 74% of the staff being information on the proportion of research the KPI Report page 145, Table 33. younger than age 50. It should be noted staff to total staff per business division that the normal retirement age was refer to the KPI Report (page 144, TRAINING AND DEVELOPMENT increased from 60 to 65 with effect Table 32). As Corporate Training and Development from 1 January 2008. Table 11 on the is a growing priority in the NRF, it is next page gives an overview of the staff Figure 2: Trends in the employment of people with disabilities profile in terms of age for the period from 2008 – 2011. 16 16 14 14 SUITABLY QUALIFIED STAFF 12 12 Research staff The competitiveness of an organisation 10 10 is largely determined by the availability of suitably qualified staff. The number of 8 8 researchers to total staff gives an indication 6 6 of staff efficiencies and effectiveness, particularly in Science Councils. It should 4 4 be noted, however, that the work at RISA and SAASTA is not research-intensive 2 2 and therefore require a skills set different to that required by a research performing 0 0 2002010/111 5/00/1 601 2 2000 2010/096/09/1 7 200 2002009/089 7/088/0 200 2002008/078/008 7/ 9 200 2007/062007 9/16/0 0200 22006/05016 0/15/0 1200
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 23 corporate overview continued receiving greater strategic focus and Table 11: Staff profile by age enablement. A range of focus areas, Age group 20 – 29 30 – 39 40 – 49 50 – 59 60 – 71 Total addressing common developmental No. of staff 196 452 287 222 50 1 207 needs across business units, is included 2008/2009 % of staff 16,24% 37,45% 23,78% 18,39% 4,14% 100% in a development programme. No. of staff 148 421 275 231 65 1 140 2009/2010 % of staff 12,98% 36,93% 24,12% 20,26% 5,70% 100% More than 308 employees across all No. of business units and employment levels 150 444 313 245 68 1 220 staff 2010/2011 attended training workshops focusing on % of staff 12,30% 36,39% 25,66% 20,08% 5,57% 100% areas such as Technical Report Writing, Business Writing, Financial Management, and Labour Relations Management. Table 12: Membership by union at 31 March 2011 Business induction workshops were also Union Membership Membership Membership undertaken, particularly at RISA. 2010/11 2009/10 2008/09 No. of staff qualifying for membership 1 135 1 073 1 090 A study was initiated to examine current National Education, Health and Allied Workers Union (NEHAWU) 363 466 369 operational efficiencies within RISA South African Municipal Workers Union (SAMWU) 23 60 96 and Corporate Services with a view to Public Servants Association of South Africa (PSA) 197 33 52 enhancing levels of productivity and Solidarity 32 33 32 overall effectiveness. Democratic Nursing Organisation of South Africa (DENOSA) 0 0 0 Total union membership 615 592 549 EMPLOYEE ASSISTANCE Total percentage 54,19% 55,17% 50,37% Human Immunodeficiency Virus/ Acquired Immune Deficiency Syndrome (HIV/AIDS) Committees, led by staff, relationship-building is still required. corporate finance continue to be active across business A detailed exposition of the NRF divisions. The corporate HIV/AIDS Union membership in the organisation corporate financial position is provided policy and strategy has been reviewed is showing a slight decrease with overall in the Annual Financial Statement to effect improvements where required, union representation having decreased (AFS) 2010/11. Additional information and lessons learnt will be extended to from 55,17% to 54,19%. Table 12 is available in the KPI Report, which other critical areas of employee health (above) shows union membership. addresses grant expenditure and gives and wellness. Investigations are being an overview of the NRF five-year undertaken to outsource an Employee financial review. To obtain a corporate Assistance Programme. overview of the NRF’s income and expenditure refer to Figures 3 to 5 on The Sports and Social Committees drive the next page. the social and health needs of staff in the various business divisions. Other initiatives piloted at RISA include a personal finance management programme to help staff manage their personal financial affairs.
LABOUR RELATIONS CLIMATE The labour relations climate in the organisation is generally stable. However, challenges exist in some business divisions where greater investment in
24 | NRF Annual Performance Report 2010/11 Figure 3: Income trends ratio (%) 80
70
60 61 56 58
50 OVERVIEWP ORATE 49 45 44 40 42 COR | 35 37 30 31 p ort e 20
10 11 7 9 7 8 0 Board R Parliamentary grant Designated income Other income (including to total income to total income interest and trading income) to total income n 2011 n 2010 n 2009 n 2008 n 2007
Figure 4: NRF income trends
n Other income n Designated income n Parliamentary grant
Figure 5: NRF total expenditure split
NRF ANNUAL performance REPORT 2010/11 | 25 RISA PROJECT Online platform links emerging Funding and opportunity are but two sides of the research triangle. The other is networking. researchers One of Thuthuka’s stand-out achievements of the year in review is the launch of the The ERN is primarily an online researcher community Emerging Researcher Network platform that provides emerging researchers with online resources about funding and job opportunities, toolkits and (ERN). This initiative goes a structured collaboration environment. It also points South beyond the funding horizon by African researchers to various online resources nationally and internationally. providing a value-added service
Administered and supported by Thuthuka, a programme in the to researchers. Human and Institutional Capacity Development directorate, the network aims to be the premier portal for the emerging research community in South Africa by: l Creating a platform for community-driven discussion and http://ern.nrf.ac.za interaction. The platform will host a number of discussion forums and blogs where members can explore research funding, challenges and opportunities; l Acting as a facilitator for collaborative fund-raising through l Providing emerging researchers with online resources the research networks; to support improved proposal writing, research project l Fostering collaboration to encourage multidisciplinary management and reporting; research across various public sector research institutions, l Providing emerging researchers with opportunities to private sector and non-governmental organisations; collaborate through containerised research networks l Creating opportunities for networking, bringing together structured along government’s researchers, funding agencies and research institutions; and Cluster Department l Disseminating the findings of research and highlighting their arrangements; contribution to policy and practice in South Africa.
Research institutions, funders and public sector organisations are able to plug in to the network and demonstrate their support for emerging researchers through featured articles, job listings and funding opportunities. The searchable funder database serves as a dynamic market-place for funders and those seeking funding. Other noteworthy features include the online newsletter which helped the ERN to generate 17 000 hits within the first weekend of its launch.
Thuthuka is very proud that the whole application is built on Open Source Technologies.
26 | NRF ANNUAL PERFORMANCE REPORT 2010/11 S ION S
SOUTH AFRICAN AGENCY FOR SCIENCE AND F DIVI NR | OVERVIEWP ORATE p ort e COR TECHNOLOGY ADVANCEMENT (SAASTA) | p ort e Board R Board R
SAASTA PROVIDES THE INFRASTRUCTURE AND COMPETENCY PLATFORM TO SPREAD THE MESSAGE ABOUT SCIENCE TO LEARNERS, EDUCATORS AND THE PUBLIC.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 27
SAASTA
PURPOSE AND SCOPE SAASTA initiatives are designed to – Science promotion; and SAASTA, the science advancement create a broad base of awareness that – Science communication and agency of the NRF, promotes science, can translate into a pool of human capacity building. engineering and technology (SET) by resources from which tertiary level l Awareness: through which SAASTA affording the public opportunities to institutions can eventually draw the next engages the public with the appreciate and enjoy the wonder and generation of researchers. phenomena of SET. application of science within a dynamic SAASTA, through a combination of knowledge economy. SAASTA provides All SAASTA initiatives – from its travelling in-house facilities and programmes, the science awareness infrastructure exhibits and competitions through to outreach and mobile awareness and competency platform to spread educator and learner programmes – fall initiatives, festivals and events such the message about science to learners, under three key strategic areas: as INSITE, SciFest African, National educators and the public. l Education: through which SAASTA Science Week and Sasol Techno-X, have builds up a supply of tomorrow’s gone a long way in clarifying the role of HUMAN CAPacity scientists and innovators. The science in a fun and practical way. The DEVELOPMENT initiatives under this umbrella are as awareness unit manages an impressive The work of SAASTA is closely linked follows: collection of travelling exhibits and to the priorities of government, namely – School science support; programmes that help to spread the to increase the skilled professionals in – SET careers; and word on science at festivals and through mathematics, and in SET. SAASTA is – Science resources. exhibitions throughout the year, and well positioned to support the human l Communication: through which around the country. capital development drive of the NRF. SAASTA shares science and The wide range of target audiences technology achievements with the Special projects: SAASTA also runs (Figure 6 on page 30) targeted in public, in order to encourage an ad-hoc special projects such as: science awareness, science education enthusiasm and appreciation of – Stakeholder programmes; and science communication initiatives, science benefits. The initiatives under – Educator programmes; provide the starting point for creating this umbrella are as follows: – Youth programmes; and the the required human resources. – Science and the media; – Johannesburg Observatory.
28 | NRF ANNUAL PERFORMANCE REPORT 2010/11 S ION S F DIVI NR | p ort e
LEARN, EDUCATE, GROW! Board R One hundred young “Einsteins” and Educators took part in physics lessons, visited local their educators attended the South industries and Science Councils, and received resource material on a variety of subjects such as wavelengths, African Quantum Physics Camp held at sound energy, and career guides during the South African Quantum Physics Camp. the Tshwane University of Technology. Organised by SAASTA, this five-day camp is a fun and educational event aimed at learners from previously disadvantaged schools who show a keen interest in physics. At the same time, educators get Above and below: Learners took part in experiments the opportunity to learn more about the at iThemba LABS in Johannesburg and physics lessons included experiments on wavelengths. subject and to see its applications in practice.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 29 saasta continued highlights support initiatives include, among l Public awareness initiatives l The Science Advancement others, primary school intervention, included the Hydrogen South Africa programmes at the Johannesburg Biotechnology and Biodiversity Public Awareness programme, Observatory were fully implemented. workshops, National Science Week, the World Space Week and the Some 38 science shows and classes the South African Quantum Physics Palaeo-archeological Outreach and in forensic science, astronomy and Camp, and the SAASTA National Awareness exhibits and guides for computer literacy were presented at Schools Debates Project. tourists, educators and learners. the Observatory. There were eight l SAASTA also facilitated group l SAASTA successfully strengthened public sky viewing evenings and 14 competitions. These included the partnerships between HEIs, industry, public talks were conducted, utilising Astro Quiz Competition and the Young provinces, schools and professional the Innes telescope. Science Communicators’ Competition associations. Several international l School science support continued that received 121 entries and was collaborations were established through the role modelling campaign implemented in two categories: audio during 20010/11, among others with (reaching 7 077 learners), the SET and written communication. SAASTA the University of Botswana to facilitate awareness campaign (reaching 268 was also involved in profiling the a Science Translation Workshop educators and 41 undergraduate Women in Science, Engineering and attended by 64 journalists from the students) and the National Science Technology project in collaboration SADC region. Olympiad (reaching 20 884 with the National Advisory Council on learners). Other school science Innovation (NACI).
Figure 6: The scope of SAASTA
Science Science education awareness
SAASTA
Science communication
30 | NRF ANNUAL PERFORMANCE REPORT 2010/11 GOAL: science awareness OVERVIEWP ORATE COR | p ort e APPOINTED 240 197 646 Students were involved in summer Learners were reached through Board R schools or practicals at the National science advancement activities at the SAASTA has been appointed as the Research Facilities. National Research Facilities. lead agency for the outreach and communications portfolio of the International Astronomical Union (IAU) Conference during 2011. R28 420 467 Million
Was invested by NRF in science Learners reached through SAASTA advancement platforms at the science awareness activities. National Research Facililties.
Johannesburg Observatory
523 15 151 6 135
Postgraduate students made use of Educators were reached through Educators were reached through the National Research Facilities for National Research Facilities science SAASTA science awareness activities. their training. awareness programmes.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 31 RESEARCH AND INNOVATION SUPPORT AND ADVANCEMENT (RISA)
RISA PROMOTES AND SUPPORTS RESEARCH AND RESEARCH CAPACITY IN ALL FIELDS OF RESEARCH AND TECHNOLOGY. THIS IS ACHIEVED BY INVESTING ON A COMPETITIVE BASIS IN RESEARCH, PEOPLE AND INFRASTRUCTURE.
32 | NRF ANNUAL PERFORMANCE REPORT 2010/11 RISA is the agency that translates the SOURCES OF FUNDING Figure 7: Income trend for RISA: S
Science and Technology strategies and RISA receives the following funding: Discretionary funding (R’000) ION S policies of government into programmes l Discretionary funds allocated to the 400 and initiatives that support research NRF via the DST (core funds); 350 F DIVI institutions and researchers. The key l Ring-fenced and contract funds from 356
332 NR function of RISA is to ensure that the the DST for supporting programmes, 300 307 | country has appropriately qualified such as CoE and SARChI; 250 people and the necessary high-level l p ort Contract funds received from various 200 e infrastructure to produce knowledge government departments, for example: 150 that can transform the economy of – Department of Higher Education 100 South Africa into one that can compete
and Training (DHET) for the Board R 50 globally. National Skills Fund; – Department of Trade and Industry 0 n 2011 n 2010 n 2009 PURPOSE AND SCOPE (the dti) for the THRIP programme; RISA promotes and supports research and the and research capacity development in – Department of Water and INVESTMENT POLICY all fields of knowledge and technology Environmental Affairs (DWEA) for As part of the NRF strategy, Vision 2015, through: in-part support of the South African the NRF has adopted a set of investment l Investing, on a competitive basis, in National Antarctic Programme principles to guide the grant-making knowledge, people and infrastructure; (SANAP). process. These principles include: l Developing research capacity and l Following an approach that balances advancing equity and equality to The ring-fenced and contract funds are funding that is strategy-driven with unlock the full creative potential of managed according to objectives laid funding that is demand-oriented; researchers; down by the respective sponsors. l Allocating appropriate resources for l Assisting with the development of efficient delivery of services and for institutional capacity at HEIs; Figure 7 illustrates the income trends delivery on the NRF strategic goals; l Facilitating strategic national and of RISA discretionary funds. Ring- l Providing resources for research, international partnerships and fenced funding has grown on average development of students, emerging knowledge networks; and by 6% (less than the inflation rate) and researchers and established l Supporting science advancement discretionary funding has grown at 11% researchers; through science awareness platforms, (almost equal to inflation). l Following competitive procedures for communication and education. all applications for funding; Figure 8 on the next page shows the l Adhering to a merit-based, rigorous SERVICES growth rate of RISA funding streams. It peer review and rating of the research RISA provides its support to the NSI by: should be noted: outputs of established researchers; l Implementing government policies l Ensuring fairness, transparency and (such as the DST 10-year Innovation l The 2011 figures are for RISA only; accountability in all RISA procedures Plan) and managing appropriate l 2010 figures include income for NRF and decisions; l initiatives; corporate activities; Upholding transformation as a l Running peer review systems to l 2009 MTEF includes an additional consideration at all times, and enable independent and objective allocation of R20m for the Post- therefore monitoring and rewarding research funding decisions; Retirement Medical Benefits (PRMB) transformation; l l Managing a grant-making and liability; and Adopting the PhD qualification as a administration service; l 2009 MTEF ring-fenced includes critical systems driver; and l l Providing experience and expertise in R10,54m for the Indigenous Encouraging and promoting cross- research management through models Knowledge Systems programme fertilisation and rotation of expertise such as the Centres of Excellence which ended in 2009. and talent between RISA and other (CoEs) and the South African Research entities in the national science system. Chairs Initiative (SARChI); and l Facilitating partnerships between HEIs and several government departments.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 33 risa continued
Figure 8: Growth rates of RISA funding streams (R’m) The South African PhD (SA PhD) Project aims to increase the number 1 500 of research doctorates to strengthen the academic and Research and 1 444 1 200 Development (R&D) workforce in South Africa. This is done by, among others, 1 093
1 092 fostering public-private partnerships for 900 human capital development. 787 600 The Human Capacity Programme 607
551 (HCP) offers: l A range of bursaries and scholarships 300 356 332
306 for student and postdoctoral training; 121 117 117 66 205 35 l 28 Value-adding initiatives that aim 0 MTEF MTEF Contract Additional Other Total to retain researchers within the NSI; Core Ringfenced income Government income l The DST-NRF Internship Programme income income grant for unemployed SET graduates; and n 2011 n 2010 n 2009 l Strategic projects to increase human resources in scarce skills areas. INVESTMENT AREAS implemented in collaboration and In terms of its strategy, RISA adopted partnership with government departments, The South African Research Chairs specific strategic areas of investment. HEIs, research institutions, industry and Initiative (SARChI) is a knowledge and Resources from the discretionary budget other national and international players. human capacity-building intervention led are used to balance any inadequacies These programmes are: that may arise in the contract and ring- fenced funding. Figure 9: Risa investment areas (amounts include grants and student scholarships Figure 9 indicates the proportion of the 2011 2010 total RISA NRF grant that was spent per investment area during 2010/11. 1% 11% 19% 17% 19% RISA STRUCTURE 6% 0% RISA is specifically structured to provide the programmes, services and 10% 18% interventions required to achieve its R1 334m R945m 18% objectives (see Figure 9 on the next 12% page). 26% 19% RISA PROGRAMMES 24%
Human and Institutional n Established researchers Capacity Development n Human capital development and unrated researchers The Human and Institutional Capacity n Strategic knowledge fields Development (HICD) Directorate n Strategic platforms (including research at the National Research Facilities) comprises the five programmes (see n International initiatives Figure 10 on the next page) that are n Research on community SET engagement n Applied and industrial research and innovation
34 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Group Group Executive: Vice- Executive: Human Figure 10: Structure of RISA Finance and president Resources and Business Stakeholder RISA Systems Relations
Executive Executive Executive Executive Executive Executive Director: Director: Director: Director: Grant Director: Human Director: Applied Knowledge Knowledge International Management and Institutional Research and Management and Fields Relations and and Systems Capacity Innovation Evaluation Development Cooperation Administration Development (ARI) (KM&E) (HICD) (KFD) (IR&C) (GMSA)
NRF Fellows: Specialist disciplinary inputs and strategy development
Programme Programme Grants Manager: Programme Director: Director: Director: Capital Information Director: Programme SAPhD Strategic and Strategic Resources and STAF Director: Services Project Initiatives A Platforms ARI
Programme Grants Manager: Programme Programme Director: Director: Monitoring Director: Director: International Strategic and Evaluation Human Capacity Strategic Science Knowledge Services Programme Initiatives B Liaison Fields
Programme Grants Director: Programme Director: Research Chairs Director: and Rated Scholarships Centres of Researchers and Excellence Incentive Fellowships Funding
Programme Grants Director: Director: Institutional SARCHI Capacity and Programme CoE
Programme Grants Director: Director: Strategic International Platforms Research Programme Grants
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 35 risa continued by the DST and the NRF. SARChI has Programme, which brings together Knowledge Fields five main objectives: researchers from the United Kingdom Development l Expand the scientific research and and South African universities in The role of Knowledge Fields innovation capacity of South Africa; collaborative research-strengthening Development (KFD) is to advance the l Improve South Africa’s international activities. frontiers of existing fields of knowledge research and innovation competitiveness and develop new fields as well as the while responding to social and economic The Strategic Platforms Programme associated research capacity within challenges of the country; focuses on: the context of national research and l Attract and retain excellent researchers l Establishing enabling infrastructure, developmental challenges. KFD focuses and scientists; including state-of-the-art research on the basic research aspect of the l Increase the production of Master’s equipment and national facilities; research-innovation-commercialisation and doctoral graduates; and l Providing access to research value chain and aims to: l Create research career pathways for equipment and facilities through l Advance the frontiers of existing young and mid-career researchers mobility and research grants; knowledge in all fields of science with a strong research, innovation and l Promoting collaboration between and technology, including indigenous human capital development output researchers working at universities and knowledge; trajectory. those at National Research Facilities l Create new knowledge; through collaborative research grants; l Promote interaction between The Institutional Capacity l Supporting flagship research researchers within and across Programme (ICP) is geared towards projects in strategic areas, such as disciplines and knowledge fields; developing researchers from previously nanotechnology; and l Strengthen the scientific and disadvantaged groups such as black, l Developing specialised technical professional organisations in the female and disabled researchers. The expertise within existing and South African research community; programme supports and implements developing strategic platforms. and funding initiatives to develop and l Investigate, map and analyse research enhance human capital development Key partners are the DST, the National interests and trends within and across and to strengthen sustained institutional Research Facilities, industry and national disciplines and knowledge fields. research capacity at public higher and international academia. The activities education and research institutions. The of the Strategic Platforms Programme National strategic initiatives and ring- ICP makes provision for three types of are grouped into four broad areas. fenced/contract programmes grants: l Infrastructure KFD manages programmes proposed l The Thuthuka Programme focuses on – National Equipment Programme by and agreed to by partners and supporting developing researchers at (NEP); collaborators in government. These tertiary institutions to obtain their PhD – National Nanotechnology Equipment programmes address national priorities degrees, and on black and women Programme (NNEP); and and include the: academics to establish themselves as – Bridging Finance. l African Origins Platform Research independent researchers; l Nanotechnology (AOP); l The Research Niche Area (RNA) – Nanotechnology Flagship Project. l Drug Recovery Training Programme; Programme, a higher-level funding l Equipment-related travel grants l Community University Partnership mechanism designed to create – Facilitating access to research Programme (CUPP); permanent or semi-permanent equipment and facilities through l Indigenous Knowledge Systems (IKS); national hubs or centres of specialised mobility grants; and l Multi Wavelength Astronomy research aimed at developing national l National Research Facilities Research Programme (MWLA); and international expertise within – Supporting collaborative research l National Astrophysics and Space defined research areas; and and promoting access to facilities Science Programme (NASAP); l The Royal Society Partnership by university researchers. l South African National Antarctic
36 | NRF ANNUAL PERFORMANCE REPORT 2010/11 S ION S
Figure 11: Programmes for Human and Institutional Capacity Development F DIVI NR | p ort e Board R South african PhD project
strategic platforms programme
HICD human capacity programme
institutional capacity programme
south african research chairs initiative (SARChI)
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 37 goal: to grow a representative science and technology workforce in South Africa R1,3 Billion The mandate and goals of the NRF are aligned to Total resources expensed to grants (including scholarships). the Medium-Term Strategic Framework and the responsibilities of the DST in response to the 12 outcomes of government. The table below shows the importance of Outcome 5 for the DST. 2 927
The 12 Outcomes of Government MSTF DST NRF Researchers supported as grantholders. 1 Improved quality of basic education l 29% of grantholders are black. 2 A long and healthy life for all South Africans l l
3 All people in South Africa are and feel safe 34% of grantholders are women.
Decent employment through inclusive economic 4 l growth
A skilled and capable workforce to support an 5 l l l inclusive growth path An efficient, competitive and responsive economic 135 6 infrastructure network Postdoctoral fellows attended the Vibrant, equitable and sustainable rural communities 7 l 2010 National Postdoctoral Forum, a with food security for all platform for postdoctoral fellows to Sustainable human settlements and improved quality share information and experiences. 8 l of household life
A responsive, accountable, effective and efficient 9 l local government system
Environmental assets and natural resources that are 10 well protected and continually enhanced 3 566 Creating a better South Africa and contributing to a 11 l better and safer Africa and world Master’s students were supported through RISA investment. An efficient, effective and development-oriented 12 public service and an empowered, fair and inclusive citizenship
Adapted from www.thepresidency.gov.za
38 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Programme (SANAP); The Technology and Human International Relations and S l South African Biosystematics Initiative Resources for Industry Programme Cooperation ION (SABI); and the (THRIP) is one of the major programmes The International Relations and S l South African Network for Coastal within ARI. THRIP is a flagship research Cooperation (IR&C) Directorate aims to: F DIVI and Oceanic Research (SANCOR). and development programme of the dti l Advise the NRF on developing, NR and the NRF. This government-private negotiating and implementing | KFD discretionary funding sector partnership programme was inter-agency research cooperation programmes established in response to the shortage agreements; p ort e KFD funds the following programmes of high-level technical skills for industry l Service, implement and administer through the NRF discretionary funds: and the need to improve technologies. inter-governmental bilateral, trilateral l Blue Skies Research; All THRIP projects are jointly funded by and multinational S&T agreements on l Competitive Programme for Rated participating industries and government. behalf of the Ministry and the DST; Board R Researchers; Each THRIP project leader supports at and l Competitive Support for Unrated least one postgraduate student. l Facilitate international networking Researchers; and research partnerships between l Community Engagement Research; and The Akili Complexity and Integration individual researchers, postgraduate l Education Research. Initiative promotes all approaches that students, HEIs and research institutes. facilitate research to being effectively Applied Research and implemented to the benefit of society. Knowledge Management Innovation The initiative seeks to create a network and Evaluation The Applied Research and Innovation of researchers and practitioners who are The role of Knowledge Management and (ARI) Directorate promotes applied interested in the interface of research and Evaluation (KM&E) is to facilitate the research. Applied research produces its use for the public good. The approach creation and maintenance of an internal ideas, products, methods, processes and acknowledges that “people and planet” and external environment that promotes products that directly benefit economic, comprise integrated socio-ecological and supports the active management of societal and environmental sustainability systems. The initiative therefore takes intellectual assets that are either in the aspects of human well-being. In a trans-disciplinary approach, applies form of explicit or tacit knowledge and promoting applied research ARI will systems thinking and acknowledges that that can be used for policy and strategic pay attention to developing methods to socio-ecological systems are complex. advice and decision-making. KM&E aims monitor and measure the impact of the at developing the NRF as a knowledge- applied research that the NRF supports. based organisation by facilitating access goal: growing a representative science and 24 MSc and technology workforce in 22 phd south africa 91 Postgraduate students were supported through the SKA SA Postgraduates were trained under Postgraduate Bursary Programme to the Nanotechnology flagship projects increase the number of highly-skilled 2008/09-2010/11: scientists and engineers able to • 35% graduated with Honours support the SKA and MeerKAT. degrees. • 48% with Master’s. R16 million has been made available • 17% with Doctoral degrees. for SKA SA bursaries.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 39 Figure 12: Process to evaluate research outputs and rate researchers
goal: providing world- Submission of applications – NRF online class evaluation systems
Screening by Designated Authorities (DAs) at institutions, submission to NRF with proposed rating
1a, Referred back via M&E 1. Screening of application and selection of peer reviewers by Specialist Committees (SCs)
1b, Referred to another SC
3. M&E staff approach reviewers and coordinate (with Convenor of SC) the process to obtain [six] Conduct (H-index) reviewer reports. bibliometrics/ scientometrics searches (IRS) 4. M&E staff send meeting documents to Assessment Panel members
Specialist Chairperson Assessor Committee
5. Independent preparations
No consensus Executive Evaluation Nominations: Committee 6. Joint meeting of Assessment Panel A & P
More reports
Virtual 7. Allocation of a rating – meeting communicated by M&E to institution.
Appeals process
40 | NRF ANNUAL PERFORMANCE REPORT 2010/11 to and utilisation of data and information. the evaluation and rating of individual Grant Management and S
This objective is executed through the researchers (Figure 12 on the previous Systems Administration ION Information Resources and Services (IRS). page), and the review of programmes The Grant Management and Systems S and/or entities. These reviews are either Administration (GMSA) supports F DIVI The IRS unit supports the e-Research commissioned internally or externally. the funding programmes of RISA NR and e-Science Infrastructure resulting The findings and recommendations of by being responsible for managing | in effective dissemination of research the reviews indicate to the programmes and administering awards. Grant outputs, data and information acquisition and/or entities their areas of strengths management can be broadly divided p ort e within the NSI and internationally. and areas where improvements are into pre-award activities (also known as required. grant-making) and post-award activities In addition, the Monitoring and (called grant-paying). (See Figure 13.) Board R Evaluation (M&E) unit is responsible for goal: providing world-class grant-making systems
Figure 13: Grant management cycle
Monitor Open a call progress START Set strategy HERE and adjust selection criteria
Screen applications Award
Appeals
Assess applications
Make Communicate Funding recommen- decisions decisions dations
Grant-paying Awarding and Grant-making strategising
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 41
INVESTMENT IN technology and innovation platforms The National Research foundation renders South Africa as an international role player in research areas that are of strategic R1,6 importance. one of The aims of the million NRF is to provide researchers and Allocated by RISA to researchers and Higher Education Institutions for accessing the National Research research institutions with access Facilities and other equipment. to national infrastructure. R186 million RISA grant investment in research SAIAB equipment at research institutions and COLLECTION the National Research Facilities.
New SAIAB Collection Facility which has collected about 80 000 fish specimens, and contains at least 650 000 individual fish specimens.
The Waters Synapt UPLC- MS (Ultra performance liquid chromatography – mass spectrometer) used by the A variable energy Separated Sector Department of Biochemistry, Cyclotron at iThemba LABS. University of Johannesburg.
42 | NRF ANNUAL PERFORMANCE REPORT 2010/11
GOAL: Provide science and R43 million technology R396 million The funding given to eight infrastructure grantholders from 2008/09- The amount awarded in support of the 2010/11 by the Strategic Research NEP and the National Nanotechnology Infrastructure Programme (SRIP). Equipment Programme (NNEP) SRIP aims to invest in infrastructure R174 from 2005/06-2010/11 to needed to advance the five Grand million 163 grantholders. Challenges, the Science and The 163 grantholders Technology Missions and Emerging The total budget for the National Equipment have cumulatively trained Research Areas, as identified in the Programme (NEP) over the past three years. 2 649 postgraduate students Ten-Year Innovation Plan and the The strategic context for the NEP arises on equipment funded through the two National R&D Strategy. from the National Key Research and programmes. Technology Infrastructure Strategy of These grantholders have published the NRF, which is based on two pillars 1 141 ISI journal articles, initiated of intervention for establishing research 1 267 collaborative projects and have infrastructure, namely: registered 39 patents. • Well-founded laboratory – This involves minimum levels of equipment and facilities that an external sponsor of research would expect to find in place. Standard based substation • Infrastructure for world-class science – automation and energy This involves major items of equipment management system: SRIP for multi-disciplinary and inter-disciplinary research, which are usually too costly to be acquired by individual institutions. 24/10/2010 The date on which the National R69 Equipment Database was launched million at the Research Infrastructure Symposium, hosted by the Strategic Income received from the DST to Platforms Programme (SPP) of establish a Centre for High Resolution the NRF. The database will contain Electron Microscope (HRTEM) in information on equipment, and will South Africa, which will catapult the classify equipment according to the country to the top end of the global type of equipment, its application, nanotechnology stakes. location, manufacturer and cost of usage. The current database (on http:// eqdb.nrf.ac.za) contains validated data on the NRF-DST investment in state- R282 of-the-art equipment. million
The value of the 133 grants awarded to researchers since the inception of the NEP in 2005/06 up until 2010/11.
PHI 5000 Versaprobe XPS. HRTEM
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 43 RISA PROJECT
Knowledge antennae out for How does one make biodiversity science applicable and relevant to learners who are challenged by scarce resources and gaps in elementary education? You open their eyes to the possibilities on their doorstep: in their school grounds or the areas near their ants schools.
Iimbovane, meaning “ants” in isiXhosa, is an educational project from communities where scientific research is by no means a hosted by the DST-NRF Centre of Excellence for Invasion household word, and where volunteer opportunities to assist on Biology (CIB). It stretches from the Cape Peninsula, all the way research projects are not abundant, these learners might never to Beaufort West and Oudtshoorn and hopes to find out more have the opportunity to take part in scientific research. about the ants that occur within the Western Cape. Participating in Iimbovane teaches the importance of Learners involved in this ant study also investigate how the sustainable living and environmental conservation, while being biodiversity that they are exploring may change from place to part of a real research project. The information collected by the place and over the nine years that the project will run. Iimbovane project is contributing to the scientific understanding of biodiversity change and the spread of invasive species across Many South African learners live in urban areas that are the Western Cape. transformed and have been affected by biological invasions. These learners have never had the opportunity to explore the In addition, the Iimbovane project team provides positive role rich biodiversity that our rural and protected areas offer. Coming models for young women actively pursuing careers in science.
(http://www.sun.ac.za/cib/iimbovane/)
44 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Iimbovane was launched in 2008
learners participated 7 400 to date.
life science educators 214 improved their knowledge.
NRF ANNUAL PERFORMANCENRF ANNUAL REPORT 2010/11 | 45 national research facilities
THE NATIONAL RESEARCH FACILITIES ACT AS CARETAKERS FOR A NUMBER OF NATIONAL RESEARCH PLATFORMS. THESE PLATFORMS SUPPORT RESEARCH AREAS OF STRATEGIC IMPORTANCE AND PROVIDE RESEARCHERS ACCESS TO “BIG SCIENCE” EQUIPMENT. IT IS THROUGH THE FACILITIES THAT SOUTH AFRICA CAN COMPETE AND COOPERATE WITH INTERNATIONAL COUNTERPARTS.
46 | NRF ANNUAL PERFORMANCE REPORT 2010/11 CHARACTERISTICS OF An additional characteristic of a National to train and educate students; S l NATIONAL RESEARCH Research Facility is that it provides Develop strong niche technical ION S FACILITIES a platform for science advancement competencies to produce high-quality The National Research Facilities provide and for bringing science and society instrumentation and equipment; F DIVI “big science” platforms to researchers together. The facilities offer unique l Grow scientific and technical NR and research institutions. These education and training opportunities collaborations with HEIs locally; and | platforms are national assets that enable for students and learners. As science l Build sustainable international
awareness platforms, the National collaborations (particularly in Africa) p ort
South Africa to be an international role e player in strategically important research Research Facilities aim to promote a and enhance the science and areas. culture of science and to stimulate young technology profile of South Africa people to follow careers in science and internationally. Board R According to the White Paper on Science technology. and Technology (1996), an institution CLUSTERING AND qualifies as a National Research Facility FUNCTIONS OF NATIONAL STRUCTURE when it has: RESEARCH FACILITIES In alignment to the science missions l A unique position in South African The facilities have the mandate to: identified in the National Research knowledge production; l Provide large equipment, research and Development Strategy (NRDS) of l Core technologies, research methods facilities, collections and databases August 2002, the National Research or data pools/collections that live up for research; Facilities are clustered into three broad to international standards; l Ensure access to state-of-the-art categories according to their areas of l Goals that are aligned with the overall infrastructure; specialisation, namely: objectives of the NSI; l Produce internationally competitive l Astro/Space/Geosciences; l Critical mass of equipment, skills and research outputs; l Biodiversity/Conservation/ users; l Provide human resources training in Environment; and l Potential for networking and attracting a high-tech environment by providing l Nuclear Sciences international collaborators; and lectures, student supervision and l Opportunities for human resource experiential training in collaboration During 2010/11 the National Research development, with special efforts to with HEIs; Facilities were structured as shown in involve researchers from formerly l Use multidisciplinary and multi- Figure 14 on the next page. disadvantaged communities. institutional programmes as platforms R367 goal: million Produce internationally NRF investment in providing research platforms at the National Research competitive research Facilities.
47 220 Publications produced by National Patents registered to protect Research Facilities staff. intelletual property. Refer to the publication list South African Large Telescope on page 140. (SALT).
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 47 Figure 14: Structure of the National Research Facilities as at 31 March 2011
National Research Facilities
Biodiversity/ Nuclear Astro/Space/ Conservation/ Sciences Geosciences Environment
iThemba HartRAO SAIAB LABS
SAAO NZG
HMO* SAEON * The HMO has been transferred to the South African National Space Agency (SANSA) with effect from 1 April 2011.
48 | NRF ANNUAL PERFORMANCE REPORT 2010/11 national research facilities continued
Nuclear sciences and is supplemented by an X-ray Proper contracts with credible and OVERVIEWP ORATE Diffractometer (XRD) unit as well as reliable suppliers were secured. At COR iThemba Laboratory for an Atomic Force Microscope (AFM); the same time the Broad Based Black | Accelerator Based Sciences l A 6 MV Tandem Accelerator located Economic Empowerment mandate of
in Gauteng, is under development the NRF was advanced and R8m of p ort
(iThemba LABS) e iThemba LABS brings together scientists and intended for Accelerator Mass the R18,3m was awarded accordingly; working in the physical, medical and Spectrometry; l The first year of the newly launched l Specialised Particle Therapy facilities, postgraduate programme Master’s in biological sciences by providing a unique Board R suite of facilities and infrastructure for such as the Neutron Gantry for the Science of Nuclear Energy (M’SONE) modern research, advanced education, treatment of cancer; hosted a total of 13 students and the treatment of cancers, and the l Production facilities (hot cells, targetry realised a 70% pass rate. On receiving production of radioisotopes. stations, clean rooms) to manufacture 65 applicants for 2011/12, a group radionuclides for both the local of 22 students were selected for NRF The facilities are housed in two sites: nuclear medicine community and the bursary applications. This programme one in Faure, Cape Town and the other export market; and is hosted in collaboration with the at the University of the Witwatersrand l Specialised detectors and spectro- University of Johannesburg (UJ); campus in Johannesburg. meters for use in experiments in l iThemba LABS was awarded nuclear physics. four PhD scholarships and three Infrastructure at iThemba LABS includes: Postdoctoral Fellowships funded from l A variable energy Separated Sector iThemba LABS also houses a 27-bed the NRF Personal Development Plan Cyclotron (SSC), which produces a hospital where cancer is treated with programme for 2011; and variety of high-energy particle beams, proton and neutron beams. l For the first time ever isotope sales including protons between 66 MeV reached R20m and the sales budget and 200 MeV. The SSC is augmented HIGHLIGHTS was exceeded by R1,5m. This is by two additional injector cyclotrons; l iThemba LABS was able to spend a significant achievement by a l A 6 MV Van de Graaff Accelerator or commit R16m of the R18,3m dedicated team who, under difficult equipped with a Nuclear Microprobe, in emergency funding awarded by circumstances, managed to optimise which is used primarily for the DST without compromising any the product mix and offset unrealised materials and biological research, Supply Chain Management processes. orders.
220
Publications produced by National Research Facilities staff.
Refer to the publication list on page 140.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 49 national research facilities continued
astro/space/ astronomical community; contributed significantly to the wider geosciences l Operates SALT on behalf of a globally support of SAAO and South African distributed, 12-member consortium astronomy; South African Astronomical for which SAAO is the leading l The SALT technical operations Observatory (SAAO) organisation; division was instrumental in setting SAAO, the facility entrusted with l Undertakes front-rank scientific up an Energy-Saving committee in the responsibility for optical, infrared research that exploits these and Sutherland to define new opportunities astronomy and astrophysics research, other South African and international to reduce power consumption. The has its headquarters in Observatory, facilities; and technical operations division has Cape Town. Central to the functioning l Contributes to the development changed the operating schedule of the of the SAAO is the Southern African of human capital in science and environmental control system chillers Large Telescope (SALT) its primary technology for the wider benefit of to outside peak hours in order to take research tool, which is located 370km South Africa. advantage of the much lower tariff. away, outside Sutherland in the This change will result in an estimated Northern Cape. This clear, dark site SAAO is internationally recognised for R50 000 – R100 000 saving per year. and its environs are protected by the its role in operating SALT on behalf of Plans are under way to better insulate Astronomy Geographical Advantage the consortium. SAAO also hosts a half- the houses, hostel and geysers by (AGA) Act. SAAO also hosts eight dozen international specialist telescopes putting in new or better insulation international facilities including BiSON, that conduct infrared surveys, searches material in the ceilings and around the Y-STAR, Infrared Survey Facility (IRSF), for exoplanets and near-Earth asteroids, geysers. The fitting of solar heaters Super Wide Angle Search for Planets and oscillations on the sun. The majority is an ongoing project. Consumption (SuperWASP), MONET, KELT and of these facilities are robotic. meters are being installed to seismographic instruments. determine a baseline and assess the HIGHLIGHTS effects of these initiatives; SAAO fulfils the following functions: l The SALT Astronomy Operations l On the public relations front, SAAO l Installs and maintains appropriate Division has met all its primary goals hosted successful visits from the ICT infrastructure in response to the in supporting the astronomical and Japanese Consul in Cape Town, growing needs of the South African scientific operation of SALT and has a South Korean delegation and
50 | NRF ANNUAL PERFORMANCE REPORT 2010/11 the DST’s Parliamentary Portfolio tracker upgrade, which consisted of from South Africa was 77; and Committee. Both Japan and Korea manufacturing the hexapod linkages l The SAAO Summer School was have telescopes in Sutherland and a sample shaft for strength run between 17 January and 11 and were on fact-finding missions testing; February 2011. It was organised by regarding current and future l Activities of the Space Science two MSc students who did honours collaborations; and Technology Division during the with National Astrophysics and Space l Due to the additional Infrastructure period under review focused on the Science Programme (NASSP) in OVERVIEWP ORATE funding received from DST, the preparations to host the International 2010, and involved 20 of the new COR Instrumentation Division has been able Astronautical Congress (IAC) 2011 in NASSP honours students. Although | to extend its focus on future projects Cape Town from 3-7 October 2011, they spent most of their time at SAAO p ort
and upgrades to existing projects. The and all its associated events. In early in Cape Town, the students also e Southern African Large Telescope March, registration opened for the visited Sutherland, HMO, iThemba Imaging Camera (SALTICAM) upgrade IAC 2011 on the congress website LABS, Iziko Planetarium and the KAT
has been completed and shipped to www.iac2011.com. This will be the offices. Astronomers from University Board R Sutherland where it was successfully first time that this event is held on the of Western Cape (UWC), University installed; African continent; of Cape town (UCT), HartRAO and l The Mechanical Department l The paper selection for IAC 2011 SAAO all took part in the teaching at completed the design and construction took place at the IAF Spring Meeting SAAO to give a broad introduction to of a camera mount for the Sutherland in Paris. In total, 2 376 abstracts were astronomy. The final week was spent High Speed Camera (SHOC). This received from 65 countries. Students at UCT where they were introduced department was also involved in submitted about 700 of the abstracts. to the computer laboratory and had development work on the SALT The number of abstracts received intensive courses in LaTeX and UNIX.
Hartebeesthoek Radio Interferometry (VLBI) technique. year. The prototype will be equipped Astronomy Observatory with a new dual-frequency receiver (HartRAO) HartRAO also takes charge of other built by HartRAO in order to take over Central to the operations and functioning radio telescopes: most geodetic VLBI experiments from of the HartRAO is the 26m diameter l The eXperimental Development the 26m telescope and relieve the radio telescope used for research in radio Model (XDM) 15m diameter prototype 26m antenna of frequent slewing. astronomy, astrometry and geodesy. The radio telescope for the Karoo Array l The C-band All Sky Survey (C-BASS) radio telescope is multi-purpose, as it can Telescope (KAT), which was built at 6,5m radio telescope. This is part of be used as an independent instrument Hartebeesthoek in 2007. Testing of the an international collaboration. Two and as part of global radio telescope KAT was completed in 2010 and it will redundant antennae were acquired arrays using the Very Long Baseline be commissioned in the next financial from Telkom for the South African
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 51 national research facilities continued
component of this project. The prototype continued to perform excellently. Testing frequency receiver for the 15m radio was moved to HartRAO and used to in March 2011 of an oil sample from the telescope made good progress. This develop the control system, while the North polar shaft bearings (which were receiver will allow the 15m XDM operational antennae were relocated not changed in the repair) has shown no (MeerKAT demonstrator) telescope to the KAT base at Klerefontein. After abnormalities. to take over most geodetic VLBI completion of the C-BASS research from the 26m telescope and expand programme these may be used for l A very high rate of international VLBI observatory capability; outreach or student projects. experiments for astronomy, astrometry l Two additional Global Navigation and geodesy continued with the 26m Satellite Systems (GNSS) stations HIGHLIGHTS telescope; were installed to support global and The repaired 26m radio telescope has l Construction of the new dual- local projects.
Hermanus Magnetic and Technology in December 2010; infrastructure and a Space Weather Observatory (HMO) l Received a grant through the National Unit (SWU) currently responsible As a national facility responsible for Equipment Programme (NEP) to for servicing the Space Weather geomagnetism and space physics improve research infrastructure operations. research, HMO’s unique focus on the for the South African Ionospheric, physical Earth system from the core to Geophysics and Geomagnetic As from 1 April 2011 HMO will be space makes a crucial contribution to the Experimental Resource (SNIGGER). migrating from the NRF to the South magnetic observation that monitors and This is an important research African National Space Agency (SANSA). models variations in the Earth’s magnetic infrastructure project for Earth and HMO will become the Space Science field. During this reporting period HMO: Space Science and will be rolled out Directorate of SANSA and will change its l Installed a new High Frequency (HF) over the next two years; and name to SANSA: Space Science. Doppler Radar; l Embarked on a restructuring exercise l Upgraded the geomagnetic field of the facility to be more efficient in highlights survey stations; its utility of human resources. This l HMO undertook the installation of a l Completed building and commissioning included implementing a Research new HF Doppler Radar and upgraded a Space Weather Centre. The building Support Unit (RSU) that will handle the geomagnetic field survey stations; was opened by the Minister of Science the improvement of the research l The Space Weather Centre was built
52 | NRF ANNUAL PERFORMANCE REPORT 2010/11 and commissioned – a major step order to investigate the possibilities summer holiday periods as well as in fulfilling the mandate to be the for extending our geophysical successful National Science Week and Regional Warning Centre for Space instrumentation to the island; World Space Week programmes; and Weather in Africa; l The science advancement division l HMO has positioned itself to ensure a l A highly successful expedition to organised a holiday programme for smooth transition from the NRF to the Marion Island was undertaken in school learners during the winter and SANSA. OVERVIEWP ORATE COR | p ort e Board R 220
Publications produced by National Research Facilities staff.
Refer to the publication list on page 140.
Square Kilometre Array (SKA) MeerKAT radio telescope (80 antennae) lessons has been compiled and were South Africa Project in the Karoo. Once operating, MeerKAT included in the MeerKAT project plan; The international astronomy community will be the largest radio telescope in the l Holography has been completed on is developing proposals for a major world for many years. The MeerKAT is a four antennae; investment (around €1,5bn) in a radio project of the DST, executed through the l The Radio Front End (RFE) installation telescope. SKA will be the largest radio NRF and the SA SKA project. on KAT-7 is complete. Operational telescope in the world for the foreseeable support is provided as and when future. South Africa and Australia have The SKA SA project has five components, required by the commissioning team been shortlisted as potential sites for which are aimed at demonstrating the and when performance issues are this telescope. competence and capacity necessary to identified. All issues are formally successfully construct and operate a tracked in a logging system; Both South Africa and Australia are telescope of this calibre. The SKA SA l The Digital Back End (DBE) team building smaller versions of the SKA project components are: has installed a 16-element correlator “pathfinders”, aimed partly at developing l Design and construct a cost-effective, with added functionality in the Karoo. and testing the new science and competitive pathfinder; A system has been duplicated in the technology for the SKA as well as l Establish a radio-quiet astronomy laboratory for testing purposes; showcasing the countries’ competence reserve in the Karoo; l The Computing Sub System (CSS) with regard to bulk infrastructure delivery l Manage the Site Bid Campaign; team has successfully completed a and mission-driven innovation. These the Human Capital Development number of significant tasks, which pathfinders (the MeerKAT in South Africa programme; and stimulate mission- include implementing the remote and Australian Square Kilometre Array driven innovation. operations functionality and integrating Pathfinder (ASKAP) in Australia) are the KAT-7 correlator with the CAM designed to be world-class instruments highlights system in Cape Town; and in their own right. The South African l All seven KAT-7 antenna structures l The Science Processing team SKA pathfinder project includes the have been installed on site and demonstrated an end-to-end science construction of the KAT-7 prototype the acceptance testing have been processing solution on a simulated telescope array (seven antennae) and the completed. A detailed list of KAT-7 system. The next step is to get
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 53 national research facilities continued
the system ready for a full KAT-7 signal displays (based on feedback the Radio Frequency Interference (RFI) implementation. To this end the KAT- from the commissioning team) have flagger/predictor has been completed. 7 data archive has been designed; been updated; and the first version of
biodiversity/ is conducted through multi-institutional techniques; and conservation/ collaborations and SAIAB researchers l SAIAB manages an on-going flagship environment were involved in the supervision of over programme, the African Coelacanth 40 postgraduate students. Ecosystem Programme (ACEP), South African Institute for which is the largest inter-institutional, Aquatic Biodiversity (SAIAB) SAIAB provides a number of research multi-disciplinary, marine research SAIAB’s research and platform provision platforms to the scientific community. programme in South Africa. ACEP scope covers the full spectrum of Major platforms include: has over 15 participating institutions aquatic environments, ranging from l The Collection facility which provides and over 50 postgraduate students. marine offshore to inland freshwater storage for the National Fish ACEP forms South Africa’s key in- catchments. Scientific investigations Collection, National Diatom Collection kind, co-funding contribution to the Include conservation biology issues and growing holdings in amphibians international Global Environmental that link biodiversity at the molecular, and cephalopods; Facilities (GEF) funded, United organism and community levels. The l The Margaret Smith Library houses Nations Development Programme institute has two main research themes one of the largest aquatic document (UNDP) and Agulhas and Somali namely: and book collections in the southern Currents Large Marine Ecosystem l Conservation Biology and Ecology; hemisphere and Is a resource Programme (ASCLME). and centre focused on African aquatic l Molecular Biology and Systematics. biodiversity; SAIAB also hosts the coastal node l The Genetics research infrastructure, (Elwandle) of the South African Research within these fields focuses which includes a growing ultra-cold Environmental Observation Network on aquatic biodiversity in South Africa, storage tissue Biobank facility as (SAEON) which results in remarkable southern Africa and the rest of the African well as a laboratory that undertakes collaboration in terms of platform continent. The vast majority of the research a range of genetic and molecular provision and combined research in the
54 | NRF ANNUAL PERFORMANCE REPORT 2010/11 coastal and marine environment. 13 September 2010. (ISI)-rated journals and a full-colour, l Three ACEP research cruises, two to 57-page, illustrated booklet entitled, Highlights the Natal Bight (summer and winter) “A guide to the ecology of temporarily l The National Fish Collection has and one to the Agulhus Bank, were open/closed estuaries in South grown by 5,4% (4 387 lots). The completed successfully. ACEP also Africa” was published. Amphibian Collection has grown organised an ASCLME mooring cruise l International collaboration has included: by 11% (649 lots). A total of 35 to the South Western Indian Ocean. the organisation of a major workshop OVERVIEWP ORATE scientists from a number of national l The Coastal platform, Ukwabelana, in Reunion; collection of fish species COR and international institutes spent time undertook a trial exercise that was from the Maldives for barcoding; three | in the Collection Management Centre carried out over the Agulhas Bank to freshwater surveys in Zambia and p ort
sorting and identifying specimens. test the Remote Operating Vehicle Mozambique; a visiting fellowship to e l The Museum Data Migration (ROV). The Agulhas venture involved New Zealand; data base installation and Project has provided a platform partners from DAFF, DEA and the training in Oman; top-level collaboration
for collaboration and training with NRF. Two additional ROV pilots were with the International Barcode of Life Board R and for the following organisations: trained in January/February 2011. (iBOL) and the Consortium for the Albany Museum, Grahamstown; Natal l There was a 65% increase in the Barcode of Life (CBOL) in Canada; Museum, Durban; and Iziko South 2010/11 student registration. and the International Union for the African Museum in Cape Town. Supervision of postgraduate student Conservation of Nature – Species l The construction of a new library projects has doubled from 28 in 2009 Survival Commission (IUCN-SSC) / facility has been completed and the to 56 in 2010. Five MSc students Wetlands International Freshwater Fish new library was officially opened graduated, two with distinction. Specialist Group in the United Kingdom. by the Minister of Science and l Some 47 papers were published in Technology, Mrs Naledi Pandor, on International Science Information
South African Environmental observatories are officially known as distinguish between anthropogenic and Network (SAEON) nodes. These nodes run and facilitate natural change, and the relations between SAEON consists of six operational long-term research and monitoring social change and ecosystem change. units and a coordinating unit or programmes, and environmental science national office. The operating units are education programmes. They are linked SAEON draws on research competencies geographically dispersed environmental by an information management system, in hydrology, water quality, eco- observatories (field stations and research and their activities are coordinated by the physiology, soil sciences, conservation sites) covering diverse landscapes, national office in Pretoria. biology, botany, zoology, marine sciences, coastal areas, and off-shore marine limnology, climatology and meteorology, environments in South Africa. The The overall research programme aims to fresh water ecology, human ecology,
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 55 national research facilities continued environmental information systems, Environmental Change in South 300 alien plant species in the Kruger palaeo-ecology, biogeography, pollution Africa, comprising chapters authored National Park. and environmental modelling. by over 100 SAEON staff and/or l SAEON Fynbos Node obtained SAEON associates and collaborators, R176 000 from World-wide Fund for Research facilities available at the was published. Nature to clear up and repair the weirs nodes include field-based apparatus for l The Arid Lands Node in Kimberley in Jonkershoek and Cathedral Peak assessing and monitoring flora, fauna, and the Grassland-Wetlands-Forests catchments. soil and the atmosphere. There are also Node in Pietermaritzburg became l SAEON researchers participated in laboratories for conducting bio-physical operational in January, bringing the two collaborative projects: one that and chemical tests on environmental number of operational nodes to six. investigates climate variability in phenomena. Other facilities include l SAEON Ndlovu Node has embarked the South Indian and South Atlantic hardware and software for data on a collaborative project with the Oceans and its impacts on the processing, generating data products for French Centre de Cooperation weather and climate of southern stakeholders, and data archiving International en Recherche Africa; and another off the West Coast Agronomique pour le Development of South Africa aimed at developing highlights (CIRAD) to develop an electronic key and implementing an invertebrate l The book Observation on and searchable database for about monitoring programme.
National Zoological Gardens l Research: Research on conservation for conservation medicine or wildlife of South Africa (NZG) is conducted in the areas of biology health) and the Biomaterials Bank (a The NZG has an extensive animal and wildlife biodiversity, to generate repository of wildlife biomaterials in collection comprised of over 8 000 knowledge that underpins wildlife support of research and technology individual specimens and 600 species in conservation practice. The research development). four Biodiversity Conservation Centres platform has three components to it, l Conservation: The animal collection (BBCs) in Gauteng, Limpopo and North the Centre for Conservation Science provides a platform for the management West. The animal collection enables (conservation biology and wildlife of wildlife under intensive conditions, platform provisioning for research, biodiversity research), The Animal creating opportunities for making conservation and science advancement. Hospital (a developing knowledge hub knowledge and practice contributions
56 | NRF ANNUAL PERFORMANCE REPORT 2010/11 nsi a vibrant to contributing goal: l l l highlights SAEON NdlovuNode–Kruger NationalParkSAEON Pietermaritzburg Grasslands,ForestsSAEON &Wetlands Node– Node–CapeTown Fynbos SAEON ElwandleNode–Grahamstown SAEON EgagasiniNode–CapeTownSAEON AridNode–Kimberly SAEON
to wildlife conservation in the wild. are ot y h NG n several and NZG the by out carried research platform. collaborative research of years a Five as NZG has the HEIs various contributed to and successfully positioning NZG the between collaboration International family outing; best the being for accolade Choice Reader’s News received Pretoria also the NZG The city. the in tourism towards contribution its for commended also was and attraction the best-serviced its by as Tshwane of recognised City was NZG The in intensiveandextensive situations. both conservation wildlife of practice the science of conservation as well as the on conservation status public of wildlife species, the of engagement enables also platform The Education. Environmental and Sciences Life of areas learning the in system school the in learning quality and teaching the of and of improvement educational contribute the to to meant enables programming collection animal The advancement: Science NODES 6 l l l
opened duringthecourseofyear; was – Bay Stormy called – seals fur African South for exhibit The period. review the during calf elephant an of thebirth been has NZG the for first historic A species. the for programme breeding and studbook international the in participation NZG’s the of part as Israel, from two and Switzerland from two gorillas, young four received NZG The year. the during considerable attention received NZG the by species African of conservation The and hand-rearedbirdsattheNZG; warning neonatal among disease early of indicators of development the also Avian and of influenza, outbreaks potential biology of This monitoring the medicines. includes conservation conservation and to of contributed fields programmes significantly research have NZG The h cnevto o wllf species wildlife of conservation the in approach collaborative NZG’s The published inahigh-impactjournal; also Theresearchwas species. the of Asia conservation survival the ensure will new that approach and a in Africa culminated in populations cheetah on institutions international distinct sub-species from the African variety. also, more importantly, the Asiatic cheetah found in Iran is a cheetahs from various regions distinct from one another, but five-year research project revealed that not only are African conservation of African species. Under her leadership, a her outstanding and significant contributions to the of Zoos and Aquaria (PAAZAB) in recognition of 2011 Conservation Award of the African Association Professor Antoinette Kotze, has received the prestigious The ManagerNZG's of Research and Scientific Services, NRF ANNUAL PERFORMANCE REPORT 2010/11 REPORT PERFORMANCE ANNUAL NRF CONSERVATION AWARDCONSERVATION l
l gae t spot conservation action orraiseawareness. support to geared all AfricanAssociation, Scouts South the and Outreach Cheetah Trust,Wildlife various organisations such Collaborative as the Endangered with initiated holidays. were projects June the during learners phase (FET) Training and Education Further for held was Life Science and Career Development was held in August 2010. A course on Biodiversity on Symposium Youth A collection plan for the NZG; and collection planfortheNZG; animal detailed a of development the in advances significant enabled also has This organisations. conservation ex-situ Group and in-situ both coordination to functions renders and scientific CBSG various Specialist The (CBSG-SA). Breeding NZG Conservation the of office the hosting the in seen be this can approach of evidence Further penguins. African for keeper studbook the as their infrastructure. The also upgrade NZG functions to funding secure to attempted they while penguins and support The housed NZG certain of their seals the in rendered to Bayworld in Port Elizabeth. itself manifested 2011
| 57
Board Report | CORPORATE OVERVIEW National research facility Training new captains The Square Kilometre Array (SKA) bid positions South Africa at the forefront to steer our voyages of of global plans to build a giant radio telescope that will take us on voyages of discovery to the edges of the discovery Universe.
“You can’t develop new expertise without a cutting-edge project to work on,” says Prof Justin Jonas, SKA SA Associate Director: Science & Engineering. “MeerKAT attracts and excites young scientists and engineers because it is something entirely new and extremely ambitious.”
The SKA will certainly need many bright minds to fuel its research and harness its outcomes. The objective of the SKA SA Postgraduate Bursary Programme is to build human capacity in the field of Astronomy and related disciplines, such as Engineering, Computer Sciences and Physics primarily to support the Karoo Array Telescope (MeerKAT), the SKA and other radio astronomy instruments in southern Africa. This bursary programme has been operational since 2004.
The following people are currently being funded through the ska SA project: 13 HONS/BTECH STUDENTS.
25 UNDERGRADUATE STUDENTS.
6 NDIP STUDENTS.
24 PhD graduates.
24 MSc graduates.
5 postdoctorates.
previously disadvantaged 9 students through two targeted programmes.
58 | NRF ANNUAL PERFORMANCE REPORT 2010/11 GOAL: Promote DENIM world-class DONS A WHITE COAT research Professor Tebello Nyokong, who heads the Research Chair in Medical Chemistry and Nanotechnology at GOAL: Providing Rhodes University, is engaged in ground-breaking research on a new 3 935 science and cancer diagnosis and treatment methodology. It is called “photo- technology Number of peer-reviewed journal dynamic therapy” and is intended as articles published by RISA an alternative to chemotherapy. The INFORMATION grantholdersl new therapy is based on using the dye used to colour blue denim clothing, platforms and which is inert and harmless by itself but can be activated by exposure to a red laser beam. The system, which has been approved in some countries, reportedly does not destroy hair or healthy cells or cause nausea. R66 191 610 In collaboration with the CSIR million and Fudan University in China, the Requests received to the Nexus research is in the pre-clinical trials RISA investment into international Database System of the NRF. for own drugs, which the team has initiatives. designed to be more specific for http://www.nrf.ac.za/nexus cancer cells.
2 285 429
Researchers supported by the NRF Requests received for the datasets who are also NRF-rated (therefore of the South African Data Archive. promoting internationally competitive research). http://sada.nrf.ac.za R29 47 million Professor Tebello Nyokong. Invested by RISA in information services and platforms. Patents registered by RISA Picture courtesy of L’Oreal- grantholders. http://www.info.rims.ac.za UNESCO Women in Science. http://www.netd.ac.za http://www.nrfonline.ac.za
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 59 NATIONAL RESEARCH FACILITY PROJECT
Poaching has become South Africa's new national pandemic. A specialised aspect of animal forensics – wildlife forensics – is helping to track down the origins of illegally acquired meat, carcass or hide. CANIMALS PLANETI
The popular Crime Scene Investigation (CSI) series on pay-TV “As the investigation officers did not know the possible species is a fascinating look into the world of Deoxyribonucleic Acid origin of both samples, it was crucial that the species was (DNA), finger-printing, soil analysis and any number of clues accurately determined.” found at a crime scene. A third suspect was found in possession of carcasses allegedly The suspect always gets his or her day. from common reedbuck (Redunca arundinum) according to external features. The animal world is soon to benefit from an additional set of CSI investigation tools, this one focusing particularly on wildlife. The team isolated genomic DNA and sequenced the Many a two-legged culprit will also be ensnared by science. mitochondrial cytochrome c oxidase 1 (CO1) gene. The CO1 gene for each species has the exact sequence, which allows Since 2008, the National Zoological Gardens (NZG) has been for easy identification of the species. In two cases the unknown developing a platform to develop knowledge hubs for banking samples were identified as domestic cattle and the third was of samples, DNA technology and building a critical mass of common reedbuck. This is the first report of the CO1 sequence equipment, skills and promote science advancement. for common reedbuck.
Although the NZG is a newcomer to the forensic scene, Prof This research highlights the need for accurate wildlife reference Antoinette Kotze, Manager: Research and Scientific Services, material and the use of modern technology in forensic science. says initial success in solving cases has been encouraging. As part of the worldwide zoo community, the NZG is collecting “On three occasions in Mpumalanga, the research team had to animal samples so that it may create a database of all the animal identify the species of origin of various unknown samples from species in South Africa. different individuals.
“The first case was frozen meat confiscated from a suspect’s Caption: Thabang Madisha, Dr Desiré Lee Dalton freezer following suspicion that a wildlife crime had been and Clearance Mafanela (centre photograph) are committed. formulating a CO1 gene database of all the animal species in South Africa. This will help police accurately “The second case was a biltong sample confiscated from a identify unknown samples of meat, hide and horn butchery after poaching had occurred in the area. involved in incidences of poaching or theft.
60 | NRF ANNUAL PERFORMANCE REPORT 2010/11 This research contributes to providing a platform and unique databases on a global, Expected regional and national level. It also creates impacts significant research capacity opportunities on molecular genetic technology for southern Africa.
Dr Desire Dalton (molecular biologist)
Prof Antoinette Kotze Research (manager) team Anri van Wyk (research assistant)
Thabang Madisha (research assistant)
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 61 62 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Financial Report
Contents
statement of responsibility by the board of directors ...... 64
REPORT OF THE AUDIT COMMITTEE ...... 65
REPORT OF THE AUDITOR-GENERAL ...... 66
STATEMENT OF FINANCIAL POSITION ...... 68
STATEMENT OF FINANCIAL PERFORMANCE ...... 69
STATEMENT OF CHANGES IN NET ASSETS ...... 70
CASH FLOW STATEMENT ...... 71
ACCOUNTING POLICIES ...... 72
NOTES TO THE ANNUAL FINANCIAL STATEMENTS ...... 88
financial information by segment ...... 109
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 63 statement of responsibility by the board of directors
The Board is required by the Public Finance Management Act a strong control environment. To enable the Board to meet (Act 1 of 1999, as amended), to maintain adequate accounting these responsibilities, the Board sets standards for internal records and are responsible for the content and integrity of the control aimed at reducing the risk of error or deficit in a cost- annual financial statements and related financial information effective manner. The standards include the proper delegation included in this report. It is the responsibility of the Board to of responsibilities within a clearly defined framework, effective ensure that the annual financial statements fairly present the accounting procedures and adequate segregation of duties to state of affairs of the NRF as at the end of the financial year ensure an acceptable level of risk. These controls are monitored and the results of its operations and cash flows for the period throughout the NRF and all employees are required to maintain then ended. The external auditors are engaged to express an the highest ethical standards in ensuring the NRF’s business is independent opinion on the annual financial statements and conducted in a manner that in all reasonable circumstances is were given unrestricted access to all financial records and above reproach. The focus of risk management in the NRF is related data. The Board believes that all the representations on identifying, assessing, managing and monitoring all known made to the independent auditors during their audit were valid forms of risk across the NRF. While operating risk cannot be and appropriate. The report of the Auditor-General is presented fully eliminated, the NRF endeavours to minimise it by ensuring on page 66. that appropriate infrastructure, controls, systems and ethical behaviour are applied and managed within predetermined The annual financial statements have been prepared in procedures and constraints. accordance with Standards of Generally Recognised Accounting Practice (GRAP) including any interpretations, guidelines and The Board is of the opinion, based on the information and directives issued by the Accounting Standards Board. explanations given by management, that the system of internal control provides reasonable assurance that the financial records The annual financial statements are based upon appropriate may be relied on for the preparation of the annual financial accounting policies consistently applied and supported by statements. However, any system of internal financial control reasonable and prudent judgements and estimates. can provide only reasonable, and not absolute, assurance against material misstatement or deficit. The NRF’s annual financial statements exclude the financial activities and transactions of one key programme, namely THRIP, The Board has reviewed the NRF’s cash flow forecast for the as the control over this programme was exercised by the dti, year to 31 March 2012 and, in the light of this review and the while the operational management is undertaken by the NRF current financial position, it is satisfied that the NRF has, or has on a contract basis. Separate financial statements have been access to, adequate resources to continue operating for the prepared for this programme. foreseeable future.
The accumulated surplus of R64,5m represents 3% of total income The annual financial statements set out on pages 68 to 112, against which grants were awarded during the current financial which have been prepared on the going concern basis, were year with the corresponding expenditure only materialising in the approved by the Board on 29 June 2011 and were signed on subsequent financial year. The remainder of these monies have its behalf by: been utilised for expenditure on assets.
The Board acknowledges that it is ultimately responsible for the system of internal financial control established by the Professor B Bozzoli Dr AS van Jaarsveld NRF and places considerable importance on maintaining Chairperson: NRF Board President: NRF
64 | NRF ANNUAL PERFORMANCE REPORT 2010/11 audit and risk committee report P ORT
We are pleased to present our report for the financial year We concur with and accept the Auditor-General of South F INANCIAL RE ended 31 March 2011. Africa’s report included in the annual financial statements, and are of the opinion that the audited annual financial statements Audit committee responsibility should be accepted and read together with the report of the We report that we have adopted appropriate formal terms of Auditor-General of South Africa. reference in our charter in line with the requirements of section 55 (1) (a) of the PFMA and Treasury Regulation 27.1, which The Audit and Risk Committee therefore recommends the have been confirmed by the Board. We further report that we adoption of the annual financial statements by the Board. have conducted our affairs in compliance with this charter. Internal audit The effectiveness of internal control We are satisfied that the internal audit function is operating The system of internal controls applied by the NRF over financial effectively and that it has addressed the risks pertinent to the and risk management is effective, efficient and transparent. In NRF. line with the PFMA, Internal Audit provides the Audit Committee and management with assurance that the internal controls are Auditor-General of South Africa appropriate and effective. This is achieved by means of the risk We have met with the staff of the Auditor-General of South management process, as well as the identification of corrective Africa to ensure that there are no unresolved issues. actions and suggested enhancements to the controls and processes. From the various reports of the Internal Auditors, the Audit Report on the annual financial statements, and the management letter of the Auditor-General South Africa, it was noted that no matters were reported that indicate any material deficiencies in the system of internal control or any deviations Mr Thulani Gcabashe: therefrom. Based on the information provided and to the best of Chairperson: Audit and Risk Committee our knowledge, we can report that the system of internal control over financial reporting for the period under review was efficient and effective in all material respects.
Evaluation of annual financial statements We have: l Reviewed and discussed the audited annual financial statements to be included in the annual report, with the Auditor-General; l Reviewed the Auditor-General of South Africa’s management letter and management’s response thereto; l Reviewed changes in accounting policies and practices; l Reviewed the entities’ compliance with legal and regulatory provisions; and l Reviewed significant adjustments resulting from the audit.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 65 report of the auditor-general to Parliament on the Financial Statements of the National Research Foundation for the year ended 31 March 2011
REPORT ON THE FINANCIAL STATEMENTS internal control relevant to the entity’s preparation and fair presentation of the financial statements in order to design audit Introduction procedures that are appropriate in the circumstances, but not I have audited the accompanying financial statements of the for the purpose of expressing an opinion on the effectiveness National Research Foundation, which comprise the statement of the entity’s internal control. An audit also includes evaluating of financial position as at 31 March 2011, and the statement of the appropriateness of accounting policies used and the financial performance, statement of changes in net assets and reasonableness of accounting estimates made by management, cash flow statement for the year then ended, and a summary as well as evaluating the overall presentation of the financial of significant accounting policies and other explanatory statements. information, as set out on pages 68 to 112. I believe that the audit evidence I have obtained is sufficient and Accounting authority‘s responsibility for appropriate to provide a basis for my audit opinion. the financial statements The accounting authority is responsible for the preparation and Opinion fair presentation of these financial statements in accordance with In my opinion, the financial statements present fairly, in all South African Standards of Generally Recognised Accounting material respects, the financial position of the National Research Practice (SA Standards of GRAP) and the requirements of Foundation as at 31 March 2011, and its financial performance the Public Finance Management Act of South Africa, 1999 and cash flows for the year then ended in accordance with the (Act No. 1 of 1999) (PFMA), and for such internal control as South African Standards of Generally Recognised Accounting management determines necessary to enable the preparation Practice (SA Standards of GRAP) and the requirements of the of financial statements that are free from material misstatement, Public Finance Management Act of South Africa, 1999 (Act whether due to fraud or error. No.1 of 1999) (PFMA).
Auditor-General’s responsibility REPORT ON OTHER LEGAL AND As required by section 188 of the Constitution of the Republic REGULATORY REQUIREMENTS of South Africa, 1996 (Act No. 108 of 1996) and, section 4 In accordance with the PAA and in terms of General notice of the Public Audit Act of South Africa, 2004 (Act No. 25 of 1111 of 2010, issued in Government Gazette 33872 of 15 2004) (PAA), my responsibility is to express an opinion on these December 2010, I include below my findings on the annual financial statements based on my audit. performance report as set out on pages 68 to 11 2 and material non-compliance with laws and regulations applicable to the I conducted my audit in accordance with International Standards public entity. on Auditing and General Notice 1111 of 2010 issued in Government Gazette 33872 of 15 December 2010. Those Predetermined objectives standards require that I comply with ethical requirements and There are no material findings on the annual performance report. plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material Compliance with laws and regulations misstatement. There are no findings concerning material non-compliance with laws and regulations applicable to the entity. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial INTERNAL CONTROL statements. The procedures selected depend on the auditor’s In accordance with the PAA and in terms of General notice 1111 judgement, including the assessment of the risks of material of 2010, issued in Government Gazette 33872 of 15 December misstatement of the financial statements, whether due to fraud 2010, I considered internal control relevant to my audit, but not or error. In making those risk assessments, the auditor considers for the purpose of expressing an opinion on the effectiveness of
66 | NRF ANNUAL PERFORMANCE REPORT 2010/11 P ORT
internal control. There are no significant deficiencies in internal F INANCIAL RE control that resulted in a qualification of the auditor’s opinion on the financial statements or findings on predetermined objectives or material non-compliance with laws and regulations.
OTHER REPORTS
Agreed upon procedures engagements As requested by the public entity, an engagement was conducted during the year under review on 12 research programmes in accordance with the International Standard on Related Services 4400 – Engagements to perform agreed upon procedures regarding financial information. The report covered the period April 2010 to March 2011 and was issued on 19 July 2011.
Pretoria 29 July 2011
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 67 statement of financial position for the year ended 31 March 2011
2011 2010 Note(s) R’000 R’000
Assets Current Assets Inventory 6 3 684 3 283 Trade and other receivables from exchange transactions 8 110 175 75 985 Grants and bursaries paid in advance 9 429 991 194 047 Other loans 10 116 24 Cash and cash equivalents 11 795 424 1 313 906 1 339 390 1 587 245 Non-Current Assets Property and equipment 3 464 701 400 799 Intangible assets 4 42 728 27 604 Interest in associate 5 38 150 41 168 Other loans 10 7 4 545 586 469 575 Total Assets 1 884 976 2 056 820
Liabilities Current Liabilities Finance lease obligation 15 1 208 1 258 Trade and other payables from exchange transactions 16 66 967 67 742 Designated income received in advance 17 1 095 956 1 359 007 1 164 131 1 428 007 Non-Current Liabilities Finance lease obligation 15 1 617 2 603 Retirement benefit obligation 12 110 200 106 784 111 817 109 387 Total Liabilities 1 275 948 1 537 394
Assets 1 884 976 2 056 820 Liabilities (1 275 948) (1 537 394) Net Assets 609 028 519 426
Net Assets Reserves SALT fund 18 38 150 41 168 Capital fund 19 506 329 427 303 Accumulated surplus 64 549 50 955 Total Net Assets 609 028 519 426
68 | NRF ANNUAL PERFORMANCE REPORT 2010/11 statement of financial performance P ORT for the year ended 31 March 2011 F INANCIAL RE
2011 2010 Note(s) R’000 R’000
Revenue Sale of goods and services 20 39 496 32 021 Designated income 21 1 117 878 671 278 Entrance fees 22 711 20 412 Parliamentary grant 22 769 513 729 325 Other income 23 12 261 18 093 Interest income 24 77 357 67 430 Total Revenue 2 039 216 1 538 559 Expenditure Employees’ remuneration (388 703) (334 445) Finance costs 26 (494) (582) Grants and bursaries (1 210 080) (799 301) Programme and operating expenses (345 415) (299 769) Total Expenditure (1 944 692) (1 434 097) Loss on disposal of assets (682) (56) Loss on foreign exchange (1 222) (808) Share of loss in associate 5 (3 018) (4 973) Surplus for the year * 27 89 602 98 625 * R79m (2010: R109m) of this figure has been applied to the net acquisition of assets (refer note 19)
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 69 statement of changes in net assets for the year ended 31 March 2011
Contingency SALT fund Capital fund fund Total reserves Accumulated surplus Total net assets R’000 R’000 R’000 R’000 R’000 R’000
Balance at 1 April 2009 60 283 318 453 69 000 447 736 (26 935) 420 801 Changes in net assets Surplus for the year – – – – 98 625 98 625 Transfer from contingency fund – – (69 000) (69 000) 69 000 – Transfer to capital fund – 108 850 – 108 850 (108 850) – Transfer from SALT fund (19 115) – – (19 115) 19 115 – Total changes (19 115) 108 850 (69 000) 20 735 77 890 98 625 Balance at 1 April 2010 41 168 427 303 – 468 471 50 955 519 426 Changes in net assets Surplus for the year – – – – 89 602 89 602 Transfer from SALT fund (3 018) – – (3 018) 3 018 – Transfer to capital fund – 79 026 – 79 026 (79 026) – Total changes (3 018) 79 026 – 76 008 13 594 89 602 Balance at 31 March 2011 38 150 506 329 – 544 479 64 549 609 028 Note(s) 18 19
70 | NRF ANNUAL PERFORMANCE REPORT 2010/11 CASH FLOW STATEMENT P ORT for the year ended 31 March 2011 F INANCIAL RE
2011 2010 Note(s) R’000 R’000
Cash flows from operating activities Receipts Parliamentary grant 769 513 729 325 Interest income 77 357 63 555 Other receipts 895 010 1 265 654 1 741 880 2 058 534 Payments Employees’ remuneration (388 703) (334 445) Suppliers (305 679) (245 124) Finance costs (494) (582) Grantholders (1 446 024) (779 996) (2 140 900) (1 360 147) Total receipts 1 741 880 2 058 534 Total payments (2 140 900) (1 360 147) Net cash flows from operating activities 29 (399 020) 698 387
Cash flows from investing activities Purchase of property and equipment 3 (103 667) (135 093) Proceeds from sale of property and equipment 3 574 1 063 Cost of other intangible assets 4 (15 333) (7 648) Net cash flows from investing activities (118 426) (141 678)
Cash flows from financing activities Finance lease payments (1 036) 991 Net cash flows from financing activities (1 036) 991 Net increase/(decrease) in cash and cash equivalents (518 482) 557 700 Cash and cash equivalents at the beginning of the year 1 313 906 756 206 Cash and cash equivalents at the end of the year 11 795 424 1 313 906
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 71 accounting policies for the year ended 31 March 2011
1. Presentation of Annual incurred subsequently to add to or replace part of it. If a Financial Statements replacement cost is recognised in the carrying amount of The annual financial statements have been prepared in an item of property and equipment, the carrying amount of accordance with the effective Standards of Generally the replaced part is derecognised. Recognised Accounting Practice (GRAP) including any Recognition of costs in the carrying amount of an item interpretations, guidelines and directives issued by the of property and equipment ceases when the item is in the Accounting Standards Board. location and condition necessary for it to be capable of These annual financial statements have been prepared operating in the manner intended by management. on an accrual basis of accounting and are in accordance Major spare parts and stand-by equipment, which with the historical cost convention unless specified are expected to be used for more than one period, are otherwise. They are presented in South African Rand and included in property and equipment. In addition, spare all values are rounded to the nearest thousand (R’000), parts and stand-by equipment that can only be used in except when otherwise indicated. The financial statements connection with an item of property and equipment, are have been prepared on a going concern basis. accounted for as property and equipment. A summary of the significant accounting policies, Major inspection costs, which are a condition of which have been consistently applied, are disclosed below. continuing use of an item of property and equipment and which meet the recognition criteria above, are included 1.1 Property and equipment as a replacement in the cost of the item of property and Property and equipment are tangible non-current assets equipment. Any remaining inspection costs from the (including infrastructure assets) that are held for use in previous inspection are derecognised. the production or supply of goods or services, rental to Property and equipment is carried at cost less others, or for administrative purposes, and are expected accumulated depreciation and any accumulated to be used during more than one period. impairment losses. Land is carried at cost less The cost of an item of property and equipment is accumulated impairment losses. recognised as an asset when: Property and equipment are depreciated on the l It is probable that future economic benefits or service straight line basis over their expected useful lives to their potential associated with the item will flow to the entity; estimated residual value. Land has an unlimited useful life and and therefore is not depreciated. Depreciation of an asset l The cost of the item can be measured reliably. begins when it is available for use, that is, when it is in the location and condition necessary for it to be capable of Property and equipment is initially measured at cost. operating in the manner intended by management. The cost of an item of property and equipment is The useful lives of items of property and equipment the purchase price and other costs attributable to bring have been assessed as follows: the asset to the location and condition necessary for it to be capable of operating in the manner intended by Item Useful life management. Trade discounts and rebates are deducted Buildings 5 – 48 years in arriving at the cost. Office furniture 1 – 20 years Where an asset is acquired at no cost, or for a nominal Motor vehicles 1 – 10 years cost, its cost is its fair value as at date of acquisition. Office equipment 1 – 20 years When significant components of an item of property IT equipment 1 – 15 years and equipment have different useful lives, they are Exhibits 2 – 10 years accounted for as separate items (major components) of Research equipment 1 – 20 years property and equipment. Costs include costs incurred initially to acquire or The residual value, and the useful life and depreciation construct an item of property and equipment and costs method of each asset, are reviewed at the end of each
72 | NRF ANNUAL PERFORMANCE REPORT 2010/11 reporting date. If the expectations differ from previous and sold, transferred, licensed, rented or exchanged,
estimates, the change is accounted for as a change in either individually or together with a related contract, P ORT accounting estimate. assets or liability; or Each part of an item of property and equipment with l Arises from contractual rights or other legal rights, a cost that is significant in relation to the total cost of the regardless whether those rights are transferable or item is depreciated separately. separate from the entity or from other rights and
The depreciation charge for each period is recognised obligations. F INANCIAL RE in surplus or deficit unless it is included in the carrying An intangible asset is recognised when: amount of another asset. l It is probable that the expected future economic Items of property and equipment are derecognised benefits or service potential that are attributable to the when the asset is disposed of or when there are no asset will flow to the entity; and further economic benefits or service potential expected l The cost or fair value of the asset can be measured from the use of the asset. reliably. The gain or loss arising from the derecognition of an item of property and equipment is included in surplus or Intangible assets are initially recognised at cost. Cost deficit when the item is derecognised. The gain or loss includes the cost of materials, direct labour and overhead arising from the derecognition of an item of property and costs that are directly attributable to preparing the equipment is determined as the difference between the asset for its intended use. Subsequent expenditure on net disposal proceeds, if any, and the carrying amount of capitalised intangible assets is capitalised only when it the item. increases the future economic benefits embodied in the specific asset to which it relates and the costs canbe 1.2 Biological assets measured reliably. All other expenditure is expensed as Biological assets comprise zoological animals which have incurred. not been included as an asset on the statement of financial When an intangible asset is acquired at no or nominal position. The reason is that the essential recognition cost, the cost shall be its fair value as at the date of criteria of measurement for recognising assets cannot be acquisition. met. Expenditure on research (or on the research phase of The majority of zoological animals are received as an internal project) is recognised as an expense when it is donations, transfers from other zoos or from births. As a incurred. result, they do not have a cost price. An intangible asset arising from development (or In addition, it is considered impracticable to assign a from the development phase of an internal project) is fair value to the animals for a variety of reasons. These recognised when: reasons include considerations such as the lack of a l It is technically feasible to complete the asset so that it market for the majority of the animals because they are will be available for use or sale; not commodities, the lack of an active market, as well as l There is an intention to complete and use or sell it; restrictions on trade of exotic animals that preclude the l There is an ability to use or sell it; determination of a fair value. l It will generate probable future economic benefits or The animals for which it may be possible to determine service potential; an arbitrary value will be affected by the age, health, blood l There are available technical, financial and other line and other related issues. It is therefore considered resources to complete the development and to use or impractical to determine a reliable value as a result of the sell the asset; and variables involved. l The expenditure attributable to the asset during its Therefore, on the basis that many species cannot be development can be measured reliably. valued and that a reliable value cannot be obtained for other species, it was considered that any assessment of Intangible assets are carried at cost less any accumulated value would be misleading to the users of the financial amortisation and any accumulated impairment losses. statements. This assessment is considered to be a An intangible asset is regarded as having an indefinite significant judgment by management. useful life when, based on all relevant factors, there is no foreseeable limit to the period over which the asset is 1.3 Intangible assets expected to generate net cash inflows or service potential. An asset is identified as an intangible asset when it: Amortisation is not provided for these intangible assets, l Is capable of being separated or divided from an entity but they are tested for impairment annually and whenever
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 73 accounting policies continued for the year ended 31 March 2011
there is an indication that the asset may be impaired. For financial and operating policy decisions of the investee. all other intangible assets amortisation is provided on a The NRF’s share of the total recognised gains and losses straight line basis over their useful life. of associates is incorporated in the financial statements, The amortisation period, residual value and the from the date that significant influence commences until amortisation method for intangible assets are reviewed the date that significant influence ceases, using the equity at each reporting date. Changes in the expected useful method of accounting. The financial statements of the life or the expected pattern of consumption of future associate are calculated using uniform accounting policies economic benefits embodied in the asset are accounted and the associate has a similar year end as the NRF. for by changing the amortisation period or method, as appropriate, and are treated as changes in accounting 1.5 Financial instruments estimates. Classification Reassessing the useful life of an intangible asset with The entity classifies financial assets and financial liabilities a finite useful life after it was classified as indefinite is an into the following categories: indicator that the asset may be impaired. As a result the l Loans and receivables; and asset is tested for impairment and the remaining carrying l Financial liabilities measured at amortised cost. amount is amortised over its useful life. Internally generated brands, mastheads, publishing Classification depends on the purpose for which the titles, customer lists and items similar in substance are financial instruments were obtained/incurred and takes not recognised as intangible assets. place at initial recognition. Classification is re assessed on Intangible assets are amortised from the day they are an annual basis. available for use. During the period of development, the asset is tested for impairment annually. Amortisation is Initial recognition and measurement provided to write down the intangible assets, on a straight Financial instruments are recognised initially when the line basis, to their residual values as follows: entity becomes a party to the contractual provisions of the instruments. Item Useful life The entity classifies financial instruments, or their Computer software 1 – 6 years component parts, on initial recognition as a financial asset or a financial liability in accordance with the substance of The amortisation charge for each period is recognised the contractual arrangement. in surplus or deficit unless it is included in the carrying Financial instruments are measured initially at fair amount of another asset. value. Short-term receivables or payables are initially Intangible assets are derecognised: measured at the transaction price, unless the terms of the l On disposal; or arrangement are not market related. l When no future economic benefits or service potential For financial instruments which are not at fair value, are expected from its use or disposal. transaction costs are included in the initial measurement of the instrument. The gain or loss is the difference between the net disposal Financial assets are accounted for at trade date. proceeds, if any, and the carrying amount. It is recognised in surplus or deficit when the asset is derecognised. Subsequent measurement Loans and receivables are subsequently measured at 1.4 Interest in associate amortised cost, using the effective interest method, less An investment in an associate is carried at cost less any accumulated impairment losses. accumulated impairment. An associate is an entity over Financial liabilities at amortised cost are subsequently which the NRF is in a position to exercise significant measured at amortised cost, using the effective interest influence, but not control, through participation in the method.
74 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Fair value determination enter bankruptcy or financial reorganisation, and default or
Where market values are not available, fair values have delinquency in payments (more than 30 days overdue) are P ORT been calculated by discounting expected future cash considered indicators that the trade receivable is impaired. flows at prevailing interest rates. The fair values have The allowance recognised is measured as the difference been estimated using available market information between the asset’s carrying amount and the present value and appropriate valuation methodologies, but are not of estimated future cash flows discounted at the effective necessarily indicative of the amounts that the NRF could interest rate computed at initial recognition. F INANCIAL RE realise in the normal course of business. The carrying amount of the asset is reduced through the use of an allowance account, and the amount of the Impairment of financial assets deficit is recognised in surplus or deficit within operating At each end of the reporting period the entity assesses all expenses. When a trade receivable is uncollectible, it financial assets to determine whether there is objective is written off against the allowance account for trade evidence that a financial asset or group of financial assets receivables. Subsequent recoveries of amounts previously has been impaired. written off are credited against operating expenses in For amounts due to the entity, significant financial surplus or deficit. difficulties of the debtor, probability that the debtor Trade and other receivables are classified as loans will enter bankruptcy and default of payments are all and receivables. considered indicators of impairment. Impairment losses are recognised in surplus or deficit. Trade and other payables Impairment losses are reversed when an increase in Trade payables are initially measured at fair value, and the financial asset’s recoverable amount can be related are subsequently measured at amortised cost, using the objectively to a reversal of the event which caused the effective interest rate method. initial impairment and occurring after the impairment was recognised, subject to the restriction that the carrying Cash and cash equivalents amount of the financial asset at the date that the Cash and cash equivalents comprise cash on hand and impairment is reversed shall not exceed what the carrying demand deposits, and other short-term highly liquid amount would have been had the impairment not been investments that are readily convertible to a known amount recognised. of cash and are subject to an insignificant risk of changes Reversals of impairment losses are recognised in surplus in value. These are measured at initial recognition at fair or deficit. value, and are subsequently measured at amortised cost Where financial assets are impaired through use of an using the effective interest rate method. allowance account, the amount of the loss is recognised in surplus or deficit within operating expenses. When Derecognition such assets are written off, the write-off is made against Financial assets (or a portion thereof) are derecognised the relevant allowance account. Subsequent recoveries when the NRF realises the rights to the benefits specified of amounts previously written off are credited against in the contract, the rights expire, or the NRF surrenders or operating expenses. otherwise loses control and does not retain substantiality all risks and rewards of the asset. The NRF derecognises Loans to employees financial assets using trade date accounting. On These financial assets are classified as loans and derecognition, the difference between the carrying receivables. They are measured at amortised cost using amount of the financial asset and proceeds receivable is the effective interest rate method if they have a fixed included in the statement of financial performance. maturity, or at cost if there is no fixed maturity. Financial liabilities (or a portion thereof) are derecognised when the obligation specified in the contract Trade and other receivables is discharged, cancelled or expires. On derecognition, the Trade receivables are measured at initial recognition at difference between the carrying amount of the financial fair value, and are subsequently measured at amortised liability and the amount paid for it is included in the cost using the effective interest rate method. Appropriate statement of financial performance. allowances for estimated irrecoverable amounts are recognised in surplus or deficit when there is objective 1.6 Inventory evidence that the asset is impaired. Significant financial Inventory is initially measured at cost except where difficulties of the debtor, probability that the debtor will inventory is acquired at no cost, or for nominal
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 75 accounting policies continued for the year ended 31 March 2011
consideration, then its costs are its fair value as at the as held for sale if their carrying amount will be recovered date of acquisition. principally through a sale transaction rather than through Inventory is subsequently measured at the lower of continuing use. This condition is regarded as met only when cost and net realisable value. the sale is highly probable and the asset (or disposal group) Inventory is measured at the lower of cost and current is available for immediate sale in its present condition. replacement cost where it is held for: Management must be committed to the sale, which should l Distribution at no charge or for a nominal charge; or be expected to qualify for recognition as a completed sale l Consumption in the production process of goods to be within one year from the date of classification. distributed at no charge or for a nominal charge. Non-current assets held for sale (or disposal group) are measured at the lower of its carrying amount and fair Net realisable value is the estimated selling price in the value less costs to sell. ordinary course of operations less the estimated costs of A non-current asset is not depreciated (or amortised) completion and the estimated costs necessary to make while it is classified as held for sale, or while it is part of a the sale, exchange or distribution. disposal group classified as held for sale. Current replacement cost is the cost the entity incurs to Interest and other expenses attributable to the acquire the asset on the reporting date. liabilities of a disposal group classified as held for sale are The cost of inventory comprises all costs of purchase, recognised in surplus or deficit. Income recognised from costs of conversion and other costs incurred in bringing non-current assets held for sale is disclosed in a separate the inventory to its present location and condition. line in the Statement of Financial Performance. The cost of inventory of items that are not ordinarily interchangeable, and goods or services produced and 1.8 Impairment of cash-generating assets segregated for specific projects, is assigned using specific Cash-generating assets are those assets held by the entity identification of the individual costs. with the primary objective of generating a commercial The cost of inventory is assigned using the first in, first return. When an asset is deployed in a manner consistent out (FIFO) formula, except at the NZG where it is valued with that adopted by a profit orientated entity, it generates on the weighted average method. The same cost formula a commercial return. is used for all inventory having a similar nature and use to Impairment is a loss in the future economic benefits the entity. or service potential of an asset, over and above the When inventory is sold, the carrying amounts of systematic recognition of the loss of the asset’s those inventory items are recognised as an expense in future economic benefits or service potential through the period in which the related revenue is recognised. If depreciation (amortisation). there is no related revenue, the expenses are recognised Carrying amount is the amount at which an asset is when the goods are distributed, or related services are recognised in the statement of financial position after rendered. The amount of any write down of inventory deducting any accumulated depreciation and accumulated to net realisable value and all losses of inventory are impairment losses thereon. recognised as an expense in the period the write down or A cash-generating unit is the smallest identifiable loss occurs. The amount of any reversal of any write down group of assets held with the primary objective of of inventory, arising from an increase in net realisable generating a commercial return that generates cash value, is recognised as a reduction in the amount of inflows from continuing use that are largely independent inventory and recognised as an expense in the period in of the cash inflows from other assets or groups of assets. which the reversal occurs. Costs of disposal are incremental costs directly attributable to the disposal of an asset, excluding 1.7 Non-current assets held for sale and finance costs. disposal groups Depreciation (Amortisation) is the systematic allocation Non-current assets and disposal groups are classified of the depreciable amount of an asset over its useful life.
76 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Fair value less costs to sell is the amount obtainable supportable assumptions that represent management’s
from the sale of an asset in an arm’s-length transaction best estimate of the range of economic conditions P ORT between knowledgeable, willing parties, less the costs of that will exist over the remaining useful life of the disposal. asset. Greater weight is given to external evidence; Recoverable amount of an asset or a cash-generating l Bases cash flow projections on the most recent unit is the higher of its fair value less costs to sell and its approved financial budgets/forecasts, but excludes
value in use. any estimated future cash inflows or outflows F INANCIAL RE Useful life is either: expected to arise from future restructurings or from l The period of time over which an asset is expected to improving or enhancing the asset’s performance. be used by the entity; or Projections based on these budgets/forecasts cover l The number of production or similar units expected to a maximum period of five years, unless a longer period be obtained from the asset by the entity. can be justified; and l Estimates cash flow projections beyond the period Criteria developed by the entity to distinguish cash- covered by the most recent budgets/forecasts by generating assets from non-cash-generating assets are extrapolating the projections based on the budgets/ as follow: forecasts using a steady or declining growth rate for All assets generating a commercial return that subsequent years, unless an increasing rate can be generates cash inflows is classified as cash generating. justified. This growth rate does not exceed the long- All other assets are non-cash-generating. term average growth rate for the products, industries, or country or countries in which the entity operates, Identification or for the market in which the asset is used, unless a When the carrying amount of a cash-generating asset higher rate can be justified. exceeds its recoverable amount, it is impaired. The entity assesses at each reporting date whether Composition of estimates of future cash there is any indication that a cash-generating asset flows may be impaired. If any such indication exists, the entity Estimates of future cash flows include: estimates the recoverable amount of the asset. l Projections of cash inflows from the continuing use of Irrespective of whether there is any indication of the asset; impairment, the entity also tests a cash-generating l Projections of cash outflows that are necessarily intangible asset with an indefinite useful life or a cash- incurred to generate the cash inflows from continuing generating intangible asset not yet available for use for use of the asset (including cash outflows to prepare impairment annually by comparing its carrying amount with the asset for use) and can be directly attributed, or its recoverable amount. This impairment test is performed allocated on a reasonable and consistent basis, to the at the same time every year. If an intangible asset was asset; and initially recognised during the current reporting period, that l Net cash flows, if any, to be received (or paid) for the intangible asset was tested for impairment before the end disposal of the asset at the end of its useful life. of the current reporting period. Estimates of future cash flows exclude: l Cash inflows or outflows from financing activities. Value in use Value in use of a cash-generating asset is the present The estimate of net cash flows to be received (or paid) value of the estimated future cash flows expected to be for the disposal of an asset at the end of its useful life derived from the continuing use of an asset and from its is the amount that the entity expects to obtain from disposal at the end of its useful life. the disposal of the asset in an arm’s-length transaction When estimating the value in use of an asset, the between knowledgeable, willing parties, after deducting entity estimates the future cash inflows and outflows to the estimated costs of disposal. be derived from continuing use of the asset and from its ultimate disposal and the entity applies the appropriate Foreign currency future cash flows discount rate to those future cash flows. Future cash flows are estimated in the currency in which they will be generated and then discounted using a Basis for estimates of future cash flows discount rate appropriate for that currency. The entity In measuring value in use, the entity: translates the present value using the spot exchange rate l Bases cash flow projections on reasonable and at the date of the value in use calculation.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 77 accounting policies continued for the year ended 31 March 2011
Discount rate in use of any other assets or cash-generating units The discount rate is a pre-tax rate that reflects current that are affected by the internal transfer pricing. market assessments of the time value of money, Cash-generating units are identified consistently from represented by the current risk free rate of interest and period to period for the same asset or types of assets, the risks specific to the asset for which the future cash unless a change is justified. flow estimates have not been adjusted. The carrying amount of a cash-generating unit is determined on a basis consistent with the way the Recognition and measurement recoverable amount of the cash-generating unit is (individual asset) determined. If the recoverable amount of a cash-generating asset is An impairment loss is recognised for a cash- less than its carrying amount, the carrying amount of the generating unit if the recoverable amount of the unit is asset is reduced to its recoverable amount. This reduction less than the carrying amount of the unit. The impairment is an impairment loss. is allocated to reduce the carrying amount of the cash- An impairment loss is recognised immediately in generating assets of the unit on a pro-rata basis, based surplus or deficit. on the carrying amount of each asset in the unit. These When the amount estimated for an impairment loss is reductions in carrying amounts are treated as impairment greater than the carrying amount of the cash-generating losses on individual assets. asset to which it relates, the entity recognises a liability In allocating an impairment loss, the entity does not only to the extent that it is a requirement in the Standards reduce the carrying amount of an asset below the highest of GRAP. of: After the recognition of an impairment loss, the l Its fair value less costs to sell (if determinable); depreciation (amortisation) charge for the cash- l Its value in use (if determinable); and generating asset is adjusted in future periods to allocate l Zero. the cash-generating asset’s revised carrying amount, less its residual value (if any), on a systematic basis over its The amount of the impairment loss that would otherwise remaining useful life. have been allocated to the asset is allocated pro-rata to the other cash-generating assets of the unit. Cash-generating units Where a non-cash-generating asset contributes If there is any indication that an asset may be impaired, to a cash-generating unit, a proportion of the carrying the recoverable amount is estimated for the individual amount of that non-cash-generating asset is allocated asset. If it is not possible to estimate the recoverable to the carrying amount of the cash-generating unit amount of the individual asset, the entity determines the prior to estimating the recoverable amount of the cash- recoverable amount of the cash-generating unit to which generating unit. the asset belongs (the asset’s cash-generating unit). If an active market exists for the output produced by an Reversal of impairment loss asset or group of assets, that asset or group of assets is The entity assesses at each reporting date whether there identified as a cash-generating unit, even if some or all of is any indication that an impairment loss recognised in the output is used internally. If the cash inflows generated prior periods for a cash-generating asset may no longer by any asset or cash-generating unit are affected by exist or may have decreased. If any such indication exists, internal transfer pricing, the entity use management’s best the entity estimates the recoverable amount of that asset. estimate of future price(s) that could be achieved in arm’s- An impairment loss recognised in prior periods for a length transactions in estimating: cash-generating asset is reversed if there has been a l The future cash inflows used to determine the asset’s change in the estimates used to determine the asset’s or cash-generating unit’s value in use; and recoverable amount since the last impairment loss was l The future cash outflows used to determine the value recognised. The carrying amount of the asset is increased
78 | NRF ANNUAL PERFORMANCE REPORT 2010/11 to its recoverable amount. The increase is a reversal of recognised in the statement of financial position after
an impairment loss. The increased carrying amount of an deducting any accumulated depreciation and accumulated P ORT asset attributable to a reversal of an impairment loss does impairment losses thereon. not exceed the carrying amount that would have been Costs of disposal are incremental costs directly determined (net of depreciation or amortisation) had no attributable to the disposal of an asset, excluding finance impairment loss been recognised for the asset in prior costs.
periods. Depreciation (Amortisation) is the systematic F INANCIAL RE A reversal of an impairment loss for a cash-generating allocation of the depreciable amount of an asset over its asset is recognised immediately in surplus or deficit. useful life. After a reversal of an impairment loss is recognised, Fair value less costs to sell is the amount obtainable the depreciation (amortisation) charge for the cash- from the sale of an asset in an arm’s-length transaction generating asset is adjusted in future periods to allocate between knowledgeable, willing parties, less the costs of the cash-generating asset’s revised carrying amount, less disposal. its residual value (if any), on a systematic basis over its Recoverable service amount is the higher of a non- remaining useful life. cash-generating asset’s fair value less costs to sell and A reversal of an impairment loss for a cash-generating its value in use. unit is allocated to the cash-generating assets of the unit Useful life is either: pro-rata with the carrying amounts of those assets. These l The period of time over which an asset is expected to increases in carrying amounts are treated as reversals be used by the entity; or of impairment losses for individual assets. No part of the l The number of production or similar units expected to amount of such a reversal is allocated to a non-cash- be obtained from the asset by the entity. generating asset contributing service potential to a cash- generating unit. Identification In allocating a reversal of an impairment loss for a When the carrying amount of a non-cash-generating asset cash-generating unit, the carrying amount of an asset is exceeds its recoverable service amount, it is impaired. not increased above the lower of: The entity assesses at each reporting date whether l Its recoverable amount (if determinable); and there is any indication that a non-cash-generating asset l The carrying amount that would have been determined may be impaired. If any such indication exists, the entity (net of amortisation or depreciation) had no impairment estimates the recoverable service amount of the asset. loss been recognised for the asset in prior periods. Irrespective of whether there is any indication of impairment, the entity also tests a non-cash-generating The amount of the reversal of the impairment loss that intangible asset with an indefinite useful life, or a non- would otherwise have been allocated to the asset is cash-generating intangible asset not yet available for use allocated pro-rata to the other assets of the unit. for impairment annually, by comparing its carrying amount with its recoverable service amount. This impairment test Redesignation is performed at the same time every year. If an intangible The redesignation of assets from a cash-generating asset asset was initially recognised during the current reporting to a non-cash-generating asset or from a non-cash- period, that intangible asset was tested for impairment generating asset to a cash-generating asset only occur before the end of the current reporting period. when there is clear evidence that such a redesignation is appropriate. Value in use Value in use of an asset is the present value of the asset’s 1.9 Impairment of non-cash-generating remaining service potential. assets The present value of the remaining service potential of Non cash-generating assets are assets other than cash- an asset is determined using the following approach: generating assets. Impairment is a loss in the future economic benefits Depreciated replacement cost approach or service potential of an asset, over and above the The present value of the remaining service potential systematic recognition of the loss of the asset’s of a non-cash-generating asset is determined as future economic benefits or service potential through the depreciated replacement cost of the asset. The depreciation (amortisation). replacement cost of an asset is the cost to replace the Carrying amount is the amount at which an asset is asset’s gross service potential. This cost is depreciated
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 79 accounting policies continued for the year ended 31 March 2011
to reflect the asset in its used condition. An asset may be generating asset is less than its carrying amount, the replaced either through reproduction (replication) of the carrying amount of the asset is reduced to its recoverable existing asset or through replacement of its gross service service amount. This reduction is an impairment loss. potential. The depreciated replacement cost is measured An impairment loss is recognised immediately in as the reproduction or replacement cost of the asset, surplus or deficit. whichever is lower, less accumulated depreciation When the amount estimated for an impairment loss calculated on the basis of such cost, to reflect the already is greater than the carrying amount of the non-cash- consumed or expired service potential of the asset. generating asset to which it relates, the entity recognises The replacement cost and reproduction cost of an a liability only to the extent that is a requirement in the asset is determined on an “optimised” basis. The rationale Standards of GRAP. is that the entity would not replace or reproduce the asset After the recognition of an impairment loss, the with a like asset if the asset to be replaced or reproduced depreciation (amortisation) charge for the non-cash- is an overdesigned or overcapacity asset. Overdesigned generating asset is adjusted in future periods to allocate assets contain features which are unnecessary for the the non-cash-generating asset’s revised carrying amount, goods or services the asset provides. Overcapacity less its residual value (if any), on a systematic basis over assets are assets that have a greater capacity than is its remaining useful life. necessary to meet the demand for goods or services the asset provides. Determining the replacement cost or Reversal of an impairment loss reproduction cost of an asset on an optimised basis thus The entity assesses at each reporting date whether there reflects the service potential required of the asset. is any indication that an impairment loss recognised in prior periods for a non-cash-generating asset may no Restoration cost approach longer exist or may have decreased. If any such indication Restoration cost is the cost of restoring the service exists, the entity estimates the recoverable service amount potential of a cash-generating asset to its pre impaired of that asset. level. The present value of the remaining service potential An impairment loss recognised in prior periods for a of the asset is determined by subtracting the estimated non-cash-generating asset is reversed if there has been restoration cost of the asset from the current cost of a change in the estimates used to determine the asset’s replacing the remaining service potential of the asset recoverable service amount since the last impairment before impairment. The latter cost is determined as the loss was recognised. The carrying amount of the asset is depreciated reproduction or replacement cost of the increased to its recoverable service amount. The increase asset, whichever is lower. is a reversal of an impairment loss. The increased carrying amount of an asset attributable to a reversal of an Service units approach impairment loss does not exceed the carrying amount The present value of the remaining service potential of that would have been determined (net of depreciation or the asset is determined by reducing the current cost amortisation) had no impairment loss been recognised for of the remaining service potential of the asset before the asset in prior periods. impairment, to conform to the reduced number of service A reversal of an impairment loss for a non-cash- units expected from the asset in its impaired state. The generating asset is recognised immediately in surplus or current cost of replacing the remaining service potential deficit. of the asset before impairment is determined as the After a reversal of an impairment loss is recognised, depreciated reproduction or replacement cost of the the depreciation (amortisation) charge for the non-cash- asset before impairment, whichever is lower. generating asset is adjusted in future periods to allocate the non-cash-generating asset’s revised carrying amount, Recognition and measurement less its residual value (if any), on a systematic basis over If the recoverable service amount of a non-cash- its remaining useful life.
80 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Redesignation 1.11 Leases
The redesignation of assets from a cash-generating asset A lease is classified as a finance lease if it transfers P ORT to a non-cash-generating asset or from a non-cash- substantially all the risks and rewards incidental to generating asset to a cash-generating asset only occur ownership. A lease is classified as an operating lease if when there is clear evidence that such a redesignation is it does not transfer substantially all the risks and rewards appropriate. incidental to ownership. The determination of whether an arrangement is, F INANCIAL RE 1.10 Provisions and contingencies or contains, a lease is based on the substance of the Provisions are recognised when: arrangement at inception date of whether the fulfilment l The entity has a present obligation as a result of a past of the arrangement is dependent on the use of a specific event; asset or assets or the arrangement conveys a right to use l It is probable that an outflow of resources embodying the asset. economic benefits or service potential will be required to settle the obligation; and Finance leases – lessee l A reliable estimate can be made of the obligation. Finance leases are recognised as assets and liabilities in the statement of financial position at amounts equal to the The amount of a provision is the best estimate of the fair value of the leased property or, if lower, the present expenditure expected to be required to settle the present value of the minimum lease payments. The corresponding obligation at the reporting date. liability to the lessor is included in the statement of Where the effect of time value of money is material, financial position as a finance lease obligation. the amount of a provision is the present value of the The discount rate used in calculating the present value expenditures expected to be required to settle the of the minimum lease payments is the interest rate implicit obligation. in the lease. The discount rate is a pre tax rate that reflects current Minimum lease payments are apportioned between market assessments of the time value of money and the the finance charge and reduction of the outstanding risks specific to the liability. liability. The finance charge is allocated to each period Where some or all of the expenditure required to settle during the lease term so as to produce a constant periodic a provision is expected to be reimbursed by another party, rate on the remaining balance of the liability. the reimbursement is recognised when, and only when, Any contingent rents are expensed in the period in it is virtually certain that reimbursement will be received which they are incurred. if the entity settles the obligation. The reimbursement is treated as a separate asset. The amount recognised for Operating leases – lessor the reimbursement does not exceed the amount of the Operating lease revenue is recognised as revenue on a provision. straight line basis over the lease term. Provisions are reviewed at each reporting date and Initial direct costs incurred in negotiating and arranging adjusted to reflect the current best estimate. Provisions operating leases are added to the carrying amount of the are reversed if it is no longer probable that an outflow leased asset and recognised as an expense over the lease of resources embodying economic benefits or service term on the same basis as the lease revenue. potential will be required to settle the obligation. Income for leases is disclosed under revenue in the Where discounting is used, the carrying amount of a statement of financial performance. provision increases in each period to reflect the passage of time. This increase is recognised as an interest expense. Operating leases – lessee A provision is used only for expenditures for which the Operating lease payments are recognised as an expense provision was originally recognised. on a straight line basis over the lease term. The difference Provisions are not recognised for future operating between the amounts recognised as an expense and the deficits. contractual payments are recognised as an operating If an entity has a contract that is onerous, the present lease asset or liability. obligation (net of recoveries) under the contract is recognised and measured as a provision. 1.12 Revenue from exchange transactions Contingent assets and contingent liabilities are not Revenue is the gross inflow of economic benefits or recognised. Contingencies are disclosed in note 32. service potential during the reporting period when those inflows result in an increase in net assets.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 81 accounting policies continued for the year ended 31 March 2011
An exchange transaction is one in which the entity reporting date can be measured reliably; and receives assets or services, or has liabilities extinguished, l The costs incurred for the transaction and the costs to and directly gives approximately equal value (primarily in complete the transaction can be measured reliably. the form of goods, services or use of assets) to the other When services are performed by an indeterminate number party in exchange. of acts over a specified time frame, revenue is recognised Fair value is the amount for which an asset could be on a straight line basis over the specified time frame exchanged, or a liability settled, between knowledgeable, unless there is evidence that some other method better willing parties in an arm’s-length transaction. represents the stage of completion. When a specific act is much more significant than any other acts, the Measurement recognition of revenue is postponed until the significant Revenue is measured at the fair value of the consideration act is executed. received or receivable, net of trade discounts and volume When the outcome of the transaction involving rebates. the rendering of services cannot be estimated reliably, revenue is recognised only to the extent of the expenses Sale of goods recognised that are recoverable. Revenue from the sale of goods is recognised when all Service revenue is recognised by reference to the stage of the following conditions have been satisfied: completion of the transaction at the reporting date. Stage l The entity has transferred to the purchaser the of completion is determined by services performed to date significant risks and rewards of ownership of the as a percentage of total services to be performed. goods; Rendering of services includes parking at the NZG l The entity retains neither continuing managerial and providing tours to the public. involvement to the degree usually associated with ownership nor effective control over the goods sold; Interest l The amount of revenue can be measured reliably; Revenue arising from the use by others of the entity’s l It is probable that the economic benefits or service assets yielding interest is recognised when: potential associated with the transaction will flow to l It is probable that the economic benefits or service the entity; and potential associated with the transaction will flow to l The costs incurred or to be incurred in respect of the the entity, and transaction can be measured reliably. l If the amount of the revenue can be measured reliably. Interest is recognised, in surplus or deficit, using the Sale of goods includes the sale of food, curios and effective interest rate method. isotopes. Entrance fees Rendering of services The NZG charges patrons an entrance fee. This revenue When the outcome of a transaction involving the rendering is recognised at the time the tickets are sold. of services can be estimated reliably, revenue associated with the transaction is recognised by reference to the 1.13 Revenue from non-exchange transactions stage of completion of the transaction at the reporting Revenue comprises gross inflows of economic benefits date. The outcome of a transaction can be estimated or service potential received and receivable by an entity, reliably when all the following conditions are satisfied: which represents an increase in net assets. l The amount of revenue can be measured reliably; Conditions on transferred assets are stipulations l It is probable that the economic benefits or service that specify that the future economic benefits or service potential associated with the transaction will flow to potential embodied in the asset is required to be consumed the entity; by the recipient as specified or future economic benefits or l The stage of completion of the transaction at the service potential must be returned to the transferor.
82 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Control of an asset arise when the entity can use or economic benefits or service potential will flow to the entity
otherwise benefit from the asset in pursuit of its objectives and the fair value of the assets can be measured reliably. P ORT and can exclude or otherwise regulate the access of others to that benefit. Government grants and contract income Non exchange transactions are transactions that are Government grants and contract income are recognised not exchange transactions. In a non-exchange transaction, in the statement of financial performance in the period
an entity either receives value from another entity without to which the grant or contract income relates. The F INANCIAL RE directly giving approximately equal value in exchange, or government grant and contract income is recognised if gives value to another entity without directly receiving there is reasonable assurance that the entity will comply approximately equal value in exchange. with the conditions attached to the grant or contract and Restrictions on transferred assets are stipulations that that the grant or contract income will be received. limit or direct the purposes for which a transferred asset The portion of government grants and contract income may be used, but do not specify that future economic that are earmarked for a specific purpose, relating to benefits or service potential are required to be returned to expenditure that will be incurred in future financial years, the transferor if not deployed as specified. is transferred to income received in advance. This is done Stipulations on transferred assets are terms in laws or in order to match the income with the related costs which regulation, or a binding arrangement, imposed upon the use they are intended to compensate. of a transferred asset by entities external to the reporting entity. 1.14 Cost of sales Transfers are inflows of future economic benefits or When inventories are sold, the carrying amount of those service potential from non-exchange transactions. inventories is recognised as an expense in the period in which the related revenue is recognised. The amount of Recognition any write down of inventories to net realisable value and An inflow of resources from a non-exchange transaction all deficits of inventories are recognised as an expense recognised as an asset is recognised as revenue, except to in the period the write down or loss occurs. The amount the extent that a liability is also recognised in respect of the of any reversal of any write down of inventories, arising same inflow. from an increase in net realisable value, is recognised as As the entity satisfies a present obligation recognised a reduction in the amount of inventories recognised as an as a liability in respect of an inflow of resources from a non- expense in the period in which the reversal occurs. exchange transaction recognised as an asset, it reduces the The related cost of providing services recognised as carrying amount of the liability recognised and recognises an revenue in the current period is included in cost of sales. amount of revenue equal to that reduction. 1.15 Grants and bursaries Measurement Grants and bursaries granted are recognised as expenditure Revenue from a non-exchange transaction is measured at in the statement of financial performance in the period that the amount of the increase in net assets recognised by the the grants and bursaries are claimed. entity. When, as a result of a non-exchange transaction, the 1.16 Research and development expenditure entity recognises an asset, it also recognises revenue Research costs are charged against operating surplus as equivalent to the amount of the asset measured at its fair incurred. Development costs are recognised as an expense value as at the date of acquisition, unless it is also required in the period in which they are incurred unless the following to recognise a liability. Where a liability is required to be criteria are met: recognised it will be measured as the best estimate of the l The product or process is clearly defined and the costs amount required to settle the obligation at the reporting attributable to the process or product can be separately date, and the amount of the increase in net assets, if any, identified and measured reliably; recognised as revenue. When a liability is subsequently l The technical feasibility of the product or process can reduced, because a condition is satisfied, the amount of the be demonstrated; reduction in the liability is recognised as revenue. l The existence of a market or, if to be used internally rather than sold, its usefulness to the entity can be Gifts and donations, including demonstrated; goods in kind l Adequate resources exist, or their availability can be Gifts and donations, including goods in kind, are recognised demonstrated, to complete the project and then market as assets and revenue when it is probable that the future or use the product or process; and
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 83 accounting policies continued for the year ended 31 March 2011
l The asset must be separately identifiable. in which the employees render the related employee service; Where development costs are deferred, they are written l Bonus, incentive and performance-related payments off on a straight line basis over the life of the process payable within 12 months after the end of the or product, subject to a maximum of five years. The reporting period in which the employees render the amortisation begins from the commencement of the related service; and commercial production of the product or use of the l Non-monetary benefits (for example, medical care, process to which they relate. and free or subsidised goods or services such as housing, cars and cellphones) for current employees. 1.17 Employee benefits When an employee has rendered service to the entity Employee benefits are all forms of consideration given by during a reporting period, the entity recognises the an entity in exchange for service rendered by employees. undiscounted amount of short-term employee benefits Termination benefits are employee benefits payable expected to be paid in exchange for that service: as a result of either: l As a liability (accrued expense), after deducting l An entity’s decision to terminate an employee’s any amount already paid. If the amount already paid employment before the normal retirement date; or exceeds the undiscounted amount of the benefits, l An employee’s decision to accept voluntary the entity recognises that excess as an asset (prepaid redundancy in exchange for those benefits. expense) to the extent that the prepayment will lead to, for example, a reduction in future payments or a Other long-term employee benefits are employee cash refund; and benefits (other than post-employment benefits and l As an expense, unless another Standard requires or termination benefits) that are not due to be settled permits the inclusion of the benefits in the cost of an within 12 months after the end of the period in which the asset. employees render the related service. Vested employee benefits are employee benefits that The expected cost of compensated absences is are not conditional on future employment. recognised as an expense as the employees render A constructive obligation is an obligation that derives services that increase their entitlement or, in the case of from an entity’s actions whereby an established pattern of non-accumulating absences, when the absence occurs. past practice, published policies or a sufficiently specific The entity measures the expected cost of accumulating current statement, the entity has indicated to other parties compensated absences as the additional amount that the that it will accept certain responsibilities and, as a result, the entity expects to pay as a result of the unused entitlement entity has created a valid expectation on the part of those that has accumulated at the reporting date. other parties that it will discharge those responsibilities. The entity recognises the expected cost of bonus, incentive and performance-related payments when Short-term employee benefits the entity has a present legal or constructive obligation Short-term employee benefits are employee benefits to make such payments as a result of past events and (other than termination benefits) that are due to be settled a reliable estimate of the obligation can be made. A within 12 months after the end of the period in which the present obligation exists when the entity has no realistic employees render the related service. alternative but to make the payments. Short-term employee benefits include items such as: l Wages, salaries and retirement fund contributions; Post-employment benefits l Short-term compensated absences (such as Post-employment benefits are employee benefits (other paid annual leave and paid sick leave) where the than termination benefits) which are payable after the compensation for the absences is due to be settled completion of employment. within 12 months after the end of the reporting period Post-employment benefit plans are formal or informal
84 | NRF ANNUAL PERFORMANCE REPORT 2010/11 arrangements under which an entity provides post- beyond those terms) at the reporting date; and l
employment benefits for one or more employees. Estimated future changes in the level of any state P ORT benefits that affect the benefits payable under a Post-employment benefits: Defined defined benefit plan, if, and only if, either: contribution plans l Those changes were enacted before the reporting Defined contribution plans are post-employment benefit date; or
plans under which an entity pays fixed contributions into a l Past history, or other reliable evidence, indicates that F INANCIAL RE separate entity (a fund) and will have no legal or constructive those state benefits will change in some predictable obligation to pay further contributions if the fund does not manner, for example, in line with future changes in hold sufficient assets to pay all employee benefits relating general price levels or general salary levels. to employee service in the current and prior periods. When an employee has rendered service to the Assumptions about medical costs take account of entity during a reporting period, the entity recognises estimated future changes in the cost of medical services, the contribution payable to a defined contribution plan in resulting from both inflation and specific changes in exchange for that service: medical costs. l As a liability (accrued expense), after deducting any contribution already paid. If the contribution already Post-retirement health care benefits paid exceeds the contribution due for service before The entity provides post-retirement health care benefits the reporting date, an entity recognises that excess upon retirement to some retirees. as an asset (prepaid expense) to the extent that the The entitlement to post-retirement health care prepayment will lead to, for example, a reduction in benefits is based on the employee remaining in service future payments or a cash refund; and up to retirement age and the completion of the minimum l As an expense, unless another Standard requires or service period. The expected costs of these benefits are permits the inclusion of the contribution in the cost of accrued over the period of employment. Independent an asset. qualified actuaries carry out valuations of these obligations at least every three years. Where contributions to a defined contribution plan The amount recognised as a liability for other long- do not fall due wholly within 12 months after the end of term employee benefits is the net total of the following the reporting period in which the employees render the amounts: related service, they are discounted. The rate used to l The present value of the defined benefit obligation at discount reflects the time value of money. The currency the reporting date; and and term of the financial instrument selected to reflect the l Minus the fair value at the reporting date of plan time value of money is consistent with the currency and assets (if any) out of which the obligations are to be estimated term of the obligation. settled directly. The entity shall recognise the net total of the following Actuarial assumptions amounts as expense or revenue, except to the extent that Actuarial assumptions are unbiased and mutually another Standard requires or permits their inclusion in the compatible. cost of an asset: Financial assumptions are based on market expectations, l Current service cost; at the reporting date, for the period over which the l Interest cost; obligations are to be settled. l The expected return on any plan assets and on any The rate used to discount post-employment benefit reimbursement right recognised as an asset; obligations (both funded and unfunded) reflect the time l Actuarial gains and losses, which shall all be value of money. The currency and term of the financial recognised immediately; instrument selected to reflect the time value of money is l Past service cost, which shall all be recognised consistent with the currency and estimated term of the immediately; and post-employment benefit obligations. l The effect of any curtailments or settlements. Post employment benefit obligations are measured on a basis that reflects: 1.18 Translation of foreign currencies l Estimated future salary increases; Foreign currency transactions l The benefits set out in the terms of the plan (or A foreign currency transaction is recorded, on initial resulting from any constructive obligation that goes recognition in Rands, by applying to the foreign currency
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 85 accounting policies continued for the year ended 31 March 2011
amount the spot exchange rate between the functional 1.21 Irregular expenditure currency and the foreign currency at the date of the Irregular expenditure as defined in section 1 of the PFMA transaction. is expenditure other than unauthorised expenditure, At each reporting date: incurred in contravention of, or that is not in accordance l Foreign currency monetary items are translated using with, a requirement of any applicable legislation, including the closing rate; this Act. l Non-monetary items that are measured in terms of historical cost in a foreign currency are translated using 1.22 Taxation the exchange rate at the date of the transaction; and The NRF is exempt from paying income taxation. l Non-monetary items that are measured at fair value in a foreign currency are translated using the exchange 1.23 Related parties rates at the date when the fair value was determined. The NRF operates in an economic environment currently Exchange differences arising on the settlement of denominated by entities directly or indirectly owned by the monetary items or on translating monetary items at rates South African government. As a result of the constitutional different from those at which they were translated on independence of all three spheres of government in South initial recognition during the period or in previous annual Africa, only parties within the national sphere of government financial statements are recognised in surplus or deficit in will be considered to be related parties. Only transactions the period in which they arise. with such parties which are not at arm’s length and not on When a gain or loss on a non-monetary item is normal commercial terms are disclosed. recognised directly in net assets, any exchange component Key management is defined as being individuals with of that gain or loss is recognised directly in net assets. the authority and responsibility for planning, directing When a gain or loss on a non-monetary item is recognised and controlling the activities of the entity. All individuals in surplus or deficit, any exchange component of that gain from the level of Corporate Executives up to the Board of or loss is recognised in surplus or deficit. Directors are regarded as key management. Cash flows arising from transactions in a foreign Close family members of key management are considered currency are recorded in Rands by applying to the foreign to be those family members who may be expected to currency amount the exchange rate between the Rand and influence, or be influenced by, key management individuals or the foreign currency at the date of the cash flow. other parties related to the entity.
1.19 Comparative figures 1.24 Significant judgements and sources of Where necessary, comparative figures have been estimation uncertainty reclassified to conform to changes in presentation in the In preparing the annual financial statements, management current year. is required to make estimates and assumptions that affect the amounts represented in the annual financial 1.20 Fruitless and wasteful expenditure statements and related disclosures. Use of available Fruitless expenditure means expenditure which was made information and the application of judgement is inherent in vain and would have been avoided had reasonable care in the formation of estimates. Actual results in the future been exercised. could differ from these estimates which may be material All expenditure relating to fruitless and wasteful to the annual financial statements. Significant judgements expenditure is recognised as an expense in the statement include: of financial performance in the year that the expenditure was incurred. The expenditure is classified in accordance Trade receivables and loans and with the nature of the expense and, where recovered, it is receivables subsequently accounted for as revenue in the statement The entity assesses its trade receivables and loans of financial performance. and receivables for impairment at the end of each
86 | NRF ANNUAL PERFORMANCE REPORT 2010/11 reporting period. In determining whether an impairment Property and equipment
loss should be recorded in surplus or deficit, the entity and Intangible assets P ORT makes judgements as to whether there is observable The entity’s management determines the estimated data indicating a measurable decrease in the estimated useful lives and residual values of property and equipment future cash flows from a financial asset. Each receivable and intangible assets. These assessments are made on is reviewed individually at year-end. an annual basis and use historical evidence and current economic factors to estimate the values. F INANCIAL RE Fair value estimation Administrative computer equipment, office furniture The carrying value less impairment provision of trade and equipment, exhibits and motor vehicles are not receivables and payables are assumed to approximate componentised. These assets do not have significant their fair values. The fair value of financial liabilities for parts that are considered to have an estimated useful disclosure purposes is estimated by discounting the life different to the estimated useful life of the asset as a future contractual cash flows at the current market whole. interest rate that is available to the entity for similar financial instruments. The carrying amount of cash and Post-retirement benefits cash equivalents, trade and other receivables and trade The present value of the post-retirement obligation and other payables approximated their fair values due to depends on a number of factors that are determined the short-term maturities of these assets and liabilities. on an actuarial basis using a number of assumptions. The assumptions used in determining the net cost Impairment testing (income) include the discount rate. Any changes in these The recoverable amounts of cash-generating units assumptions will impact on the carrying amount of post- and individual assets have been determined based on retirement obligations. the higher of value in use calculations and fair values less costs to sell. These calculations require the use of Effective interest rate estimates and assumptions. The entity used the prime interest rate as basis to discount The entity reviews and tests the carrying value of assets future cash flows. when events or changes in circumstances suggest that the carrying amount may not be recoverable. Assets are National Zoological Gardens animals grouped at the lowest level for which identifiable cash flows Zoological animals have not been included as an asset are largely independent of cash flows of other assets and on the statement of financial position due to the essential liabilities. If there are indications that impairment may have recognition criteria of measurement that cannot be met. occurred, estimates are prepared of expected future cash On the basis that many species cannot be valued and that flows for each group of assets. Expected future cash flows a reliable value cannot be obtained for other species, it used to determine the value in use of tangible assets are was considered that any assessment of value would be inherently uncertain and could materially change over time. misleading to the users of the financial statements.
Provisions Development costs Provisions were raised and management determined an Initial capitalisation of costs is based on management’s estimate based on the information available. Additional judgement that technological and economical feasibility disclosure of these estimates of provisions are included is confirmed, usually when a product development in note 13 – Provisions. project has reached a defined milestone according to an established project management model.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 87 notes to the annual financial statements for the year ended 31 March 2011
2. New standards and interpretations The entity expects to adopt the Standard for the first 2.1 Standards and Interpretations issued, time in the 2013 annual financial statements. but not yet effective It is unlikely that the Standard will have a material The entity has not applied the following standards and impact on the entity’s annual financial statements. interpretations, which have been published and are mandatory for the entity’s accounting periods beginning GRAP 23: Revenue from Non exchange on or after 1 April 2011 or later periods: Transactions Revenue from non-exchange transactions arises when an GRAP 21: Impairment of non-cash- entity receives value from another entity without directly generating assets giving approximately equal value in exchange. An asset Non cash-generating assets are assets other than cash- acquired through a non-exchange transaction shall initially generating assets. be measured at its fair value as at the date of acquisition. When the carrying amount of a non-cash-generating This revenue will be measured at the amount of asset exceeds its recoverable service amount, it is increase in net assets recognised by the entity. impaired. An inflow of resources from a non-exchange An entity assesses at each reporting date whether transaction recognised as an asset shall be recognised as there is any indication that a non-cash-generating asset revenue, except to the extent that a liability is recognised may be impaired. If any such indication exists, an entity for the same inflow. As an entity satisfies a present estimates the recoverable service amount of the asset. obligation recognised as a liability in respect of an inflow The present value of the remaining service potential of of resources from a non-exchange transaction recognised a non-cash-generating asset is determined using one of as an asset, it will reduce the carrying amount of the the following approaches: liability recognised as an amount equal to that reduction. l Depreciated replacement cost approach; The effective date of the standard is for years l Restoration cost approach; or beginning on or after 1 April 2012. l Service units approach. The entity expects to adopt the Standard for the first If the recoverable service amount of a non-cash- time in the 2013 annual financial statements. generating asset is less than its carrying amount, the It is unlikely that the Standard will have a material carrying amount of the asset is reduced to its recoverable impact on the entity’s annual financial statements. service amount. This reduction is an impairment loss. An impairment loss is recognised immediately in surplus GRAP 24: Presentation of Budget or deficit. Any impairment loss of a revalued non-cash- Information in the Financial Statements generating asset is treated as a revaluation decrease. Subject to the requirements of paragraph 19, an entity An entity assesses at each reporting date whether shall present a comparison of the budget amounts for there is any indication that an impairment loss recognised which it is held publicly accountable and actual amounts in prior periods for a non-cash-generating asset may no either as a separate additional financial statement or as longer exist or may have decreased. If any such additional budget columns in the financial statements indication exists, an entity estimates the recoverable currently presented in accordance with Standards of service amount of that asset. GRAP. The comparison of budget and actual amounts A reversal of an impairment loss for a non-cash- shall present separately for each level of legislative generating asset is recognised immediately in surplus or oversight: deficit. Any reversal of an impairment loss of a revalued l The approved and final budget amounts; non-cash-generating asset is treated as a revaluation l The actual amounts on a comparable basis; and increase. l By way of note disclosure, an explanation of material The effective date of the standard is for years differences between the budget for which the entity is beginning on or after 1 April 2012. held publicly accountable and actual amounts, unless
88 | NRF ANNUAL PERFORMANCE REPORT 2010/11 such explanation is included in other public documents or constructive obligation to pay further contributions
issued in conjunction with the financial statements, if the fund does not hold sufficient assets to pay all P ORT and a cross reference to those documents is made in employee benefits relating to employee service in the the notes. current and prior periods; Where an entity prepares its budget and annual financial l Defined benefit plans as post-employment benefit statements on a comparable basis, it includes the plans other than defined contribution plans;
comparison as an additional column in the primary annual l Multi-employer plans as defined contribution plans F INANCIAL RE financial statements. Where the budget and annual (other than state plans and composite social security financial statements are not prepared on a comparable programmes) or defined benefit plans (other than basis, a separate statement is prepared called the state plans) that: “Statement of Comparison of Budget and Actual Amounts”. – pool the assets contributed by various entities that This statement compares the budget amounts with the are not under common control; and amounts in the annual financial statements adjusted to be – use those assets to provide benefits to employees of comparable to the budget. more than one entity, on the basis that contribution A comparable basis means that the budget and annual and benefit levels are determined without regard to financial statements: the identity of the entity that employs the employees l Are prepared using the same basis of accounting concerned; (either cash or accrual); l Other long-term employee benefits as employee l Include the same activities and entities; benefits (other than post-employment benefits and l Use the same classification system; and termination benefits) that are not due to be settled l Are prepared for the same period. within 12 months after the end of the period in which the employees render the related service; The effective date of the Standard is for years beginning l Post-employment benefits as employee benefits on or after 1 April 2012. (other than termination benefits) that are payable after The entity expects to adopt the Standard for the first the completion of employment; time in the 2013 annual financial statements. l Post-employment benefit plans as formal or informal It is unlikely that the Standard will have a material arrangements under which an entity provides post- impact on the entity’s annual financial statements. employment benefits for one or more employees; l Short-term employee benefits as employee benefits GRAP 25: Employee benefits (other than termination benefits) that are due to be The objective of GRAP 25 is to prescribe the accounting settled within 12 months after the end of the period in and disclosure for employee benefits. The Standard which the employees render the related service; requires an entity to recognise: l State plans as plans other than composite social l A liability when an employee has provided service security programmes established by legislation, which in exchange for employee benefits to be paid in the operate as if they are multi employer plans for all future; and entities in economic categories laid down in legislation; l An expense when an entity consumes the economic l Termination benefits as employee benefits payable as benefits or service potential arising from service a result of either: provided by an employee in exchange for employee – an entity’s decision to terminate an employee’s benefits. employment before the normal retirement date; or – an employee’s decision to accept voluntary GRAP 25 must be applied by an employer in accounting redundancy in exchange for those benefits; and for all employee benefits, except share-based payment l Vested employee benefits as employee benefits that transactions. are not conditional on future employment.
GRAP 25 defines, among others: The Standard states the recognition, measurement and l Employee benefits as all forms of consideration given disclosure requirements of: by an entity in exchange for service rendered by l Short-term employee benefits: employees; – all short-term employee benefits; l Defined contribution plans as post-employment benefit – short-term compensated absences; and plans under which an entity pays fixed contributions – bonus, incentive and performance-related payments; into a separate entity (a fund) and will have no legal and
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 89 notes to the annual financial statements continued for the year ended 31 March 2011
l Post-employment benefits: Defined contribution plans; The standard also deals with Entity combinations and l Other long-term employee benefits; and Curtailments and settlements. l Termination benefits. This Standard has been approved by the Board but its effective date has not yet been determined by the Minister The Standard states post-employment benefits: Distinction of Finance. The effective date indicated is a provisional between defined contribution plans and defined benefit date and could change depending on the decision of the plans: Minister of Finance. l Multi-employer plans; It is unlikely that the Standard will have a material l Defined benefit plans where the participating entities impact on the entity’s annual financial statements. are under common control; l State plans; GRAP 26: Impairment of cash-generating l Composite social security programmes; and assets l Insured benefits. Cash-generating assets are those assets held by an entity with the primary objective of generating a commercial The Standard states, for post-employment benefits: return. When an asset is deployed in a manner consistent Defined benefit plans, the following requirements: with that adopted by a profit orientated entity, it generates l Recognition and measurement; a commercial return. l Presentation; When the carrying amount of a cash-generating asset l Disclosure; exceeds its recoverable amount, it is impaired. l Accounting for the constructive obligation; An entity assesses at each reporting date whether l Statement of financial position; there is any indication that a cash-generating asset l Asset recognition ceiling; may be impaired. If any such indication exists, an entity l Asset recognition ceiling: When a minimum funding estimates the recoverable amount of the asset. When requirement may give rise to a liability; and estimating the value in use of an asset, an entity estimates l Statement of financial performance. the future cash inflows and outflows to be derived from continuing use of the asset and from its ultimate disposal The Standard prescribes recognition and measurement and an entity applies the appropriate discount rate to for: those future cash flows. l Present value of defined benefit obligations and If the recoverable amount of a cash-generating asset current service cost: is less than its carrying amount, the carrying amount of the – actuarial valuation method; asset is reduced to its recoverable amount. This reduction – attributing benefits to periods of service; is an impairment loss. An impairment loss is recognised – actuarial assumptions; immediately in surplus or deficit. Any impairment loss of a – actuarial assumptions: Discount rate; revalued cash-generating asset is treated as a revaluation – actuarial assumptions: Salaries, benefits and medical decrease. costs; If there is any indication that an asset may be impaired, – actuarial gains and losses; and the recoverable amount is estimated for the individual – past service cost. asset. If it is not possible to estimate the recoverable l Plan assets: amount of the individual asset, an entity determines the – fair value of plan assets; recoverable amount of the cash-generating unit to which – reimbursements; and the asset belongs (the asset’s cash-generating unit). – return on plan assets. If an active market exists for the output produced by an asset or group of assets, that asset or group of assets is
90 | NRF ANNUAL PERFORMANCE REPORT 2010/11 identified as a cash-generating unit, even if some or all of items, thus assets which are retained indefinitely and
the output is used internally. If the cash inflows generated cannot be disposed of without consent as required by law P ORT by any asset or cash-generating unit are affected by or otherwise. internal transfer pricing, an entity use management’s best A heritage asset should be recognised as an asset estimate of future price(s) that could be achieved in arm’s only if: length transactions in estimating: l It is probable that future economic benefits or service
l The future cash inflows used to determine the asset’s potential associated with the asset will flow to the F INANCIAL RE or cash-generating unit’s value in use; and entity; and l The future cash outflows used to determine the value l The cost of fair value of the asset can be measured in use of any other assets or cash-generating units reliably. that are affected by the internal transfer pricing. The Standard requires judgement in applying the initial Cash-generating units are identified consistently from recognition criteria to the specific circumstances period to period for the same asset or types of assets, surrounding the entity and the assets. unless a change is justified. GRAP 103 states that a heritage asset should be An impairment loss is recognised for a cash- measured at its cost unless it is acquired through a non- generating unit if the recoverable amount of the unit is exchange transaction which should then be measured at less than the carrying amount of the unit. The impairment its fair value as at the date of acquisition. is allocated to reduce the carrying amount of the cash- In terms of the Standard, an entity has a choice generating assets of the unit on a pro-rata basis, based between the cost and revaluation model as accounting on the carrying amount of each asset in the unit. These policy for subsequent recognition and should apply the reductions in carrying amounts are treated as impairment chosen policy to an entire class of heritage assets. losses on individual assets. The cost model requires a class of heritage assets to Where a non-cash-generating asset contributes be carried at its cost less any accumulated impairment to a cash-generating unit, a proportion of the carrying losses. amount of that non-cash-generating asset is allocated to The revaluation model requires a class of heritage the carrying amount of the cash-generating unit prior to assets to be carried at its fair value at the date of the estimating the recoverable amount of the cash-generating revaluation less any subsequent impairment losses. The unit. Standard also states that a restriction on the disposal An entity assesses at each reporting date whether of a heritage asset does not preclude the entity from there is any indication that an impairment loss recognised determining the fair value. in prior periods for a cash-generating asset may no longer GRAP 103 prescribes that when determining the fair exist or may have decreased. If any such indication exists, value of a heritage asset that has more than one purpose, an entity estimates the recoverable amount of that asset. the fair value should reflect both the asset’s heritage value A reversal of an impairment loss for a cash-generating and the value obtained from its use in the production or asset is recognised immediately in surplus or deficit. supply of goods or services or for administrative purposes. Any reversal of an impairment loss of a revalued cash- GRAP 103 states that a heritage asset should not be generating asset is treated as a revaluation increase. depreciated but an entity should assess at each reporting The effective date of the Standard is for years date whether there is an indication that it may be impaired. beginning on or after 1 April 2012. In terms of the Standard, compensation from third The entity expects to adopt the Standard for the first parties for heritage assets that have been impaired, lost time in the 2013 annual financial statements. or given up, should be included in surplus or deficit when It is unlikely that the Standard will have a material the compensation becomes receivable. impact on the entity’s annual financial statements. The carrying amount of a heritage asset should be derecognised: GRAP 103: Heritage Assets l On disposal, or GRAP 103 defines heritage assets as assets which l When no future economic benefits or service potential have a cultural, environmental, historical, natural, are expected from its use or disposal. scientific, technological or artistic significance and are held indefinitely for the benefit of present and future The gain or loss arising from the derecognition of a generations. heritage asset should be determined as the difference Certain heritage assets are described as inalienable between the net disposal proceeds, if any, and the
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 91 notes to the annual financial statements continued for the year ended 31 March 2011
carrying amount of the heritage asset. Such difference is the instrument into its component parts. recognised in surplus or deficit when the heritage asset is Financial assets and financial liabilities are initially derecognised. recognised at fair value. Where an entity subsequently The effective date of the Standard is for years measures financial assets and financial liabilities at beginning on or after 1 April 2012. amortised cost or cost, transaction costs are included in The entity expects to adopt the Standard for the first the cost of the asset or liability. time in the 2013 annual financial statements. The transaction price usually equals the fair value at It is unlikely that the Standard will have a material initial recognition, except in certain circumstances, for impact on the entity’s annual financial statements. example, where interest-free credit is granted or where credit is granted at a rate of interest below market rate. GRAP 104: Financial Instruments Concessionary loans are loans either received by or The Standard prescribes recognition, measurement, granted to another entity on concessionary terms, that presentation and disclosure requirements for financial is, at low interest rates and flexible repayment terms. On instruments. Financial instruments are defined as those initial recognition, the fair value of a concessionary loan contracts that result in a financial asset in one entity and is the present value of the agreed contractual cash flows, a financial liability or residual interest in another entity. discounted using a market-related rate of interest for a A key distinguishing factor between financial assets similar transaction. The difference between the proceeds and financial liabilities and other assets and liabilities, is either received or paid and the present value of the that they are settled in cash or by exchanging financial contractual cash flows is accounted for as non-exchange instruments rather than through the provision of goods or revenue by the recipient of a concessionary loan in services. accordance with the Standard of GRAP on Revenue One of the key considerations in initially recognising from Non-exchange Revenue Transactions (Taxes and financial instruments is the distinction, by the issuers of Transfers), and using the Framework for the Preparation those instruments, between financial assets, financial and Presentation of Financial Statements (usually as an liabilities and residual interests. Financial assets and expense) by the grantor of the loan. financial liabilities are distinguished from residual interests Financial assets and financial liabilities are because they involve a contractual right or obligation subsequently measured either at fair value or amortised to receive or pay cash or another financial instrument. cost or cost. An entity measures a financial instrument at Residual interests entitle an entity to a portion of another fair value if it is: entity’s net assets in the event of liquidation and to l A derivative; dividends or similar distributions paid at management’s l A combined instrument designated at fair value, i.e. discretion. an instrument that includes a derivative and a non- In determining whether a financial instrument is a derivative host contract; financial asset, financial liability or a residual interest, an l Held for trading; entity considers the substance of the contract and not just l A non-derivative instrument with fixed or determinable the legal form. payments designated at initial recognition to be Where a single instrument contains both a liability and measured at fair value; a residual interest component, the issuer allocates the l An investment in a residual interest for which fair value instrument into its component parts. The issuer recognises can be measured reliably; and the liability component at its fair value and recognises the l Other instruments that do not meet the definition of residual interest as the difference between the carrying financial instruments at amortised cost or cost. amount of the instrument and the fair value of the liability component. No gain or loss is recognised by separating Derivatives are measured at fair value. Combined
92 | NRF ANNUAL PERFORMANCE REPORT 2010/11 instruments that include a derivative and non-derivative l Despite having retained significant risks and rewards, an entity has transferred control of the asset to
host contract are accounted for as follows: P ORT l Where an embedded derivative is included in a host another entity. contract that is a financial instrument within the scope of this Standard, an entity can designate the entire An entity derecognises a financial liability when the contract to be measured at fair value, or it can account obligation is extinguished. Exchanges of debt instruments
for the host contract and embedded derivative between a borrower and a lender are treated as the F INANCIAL RE separately using GRAP 104. An entity is, however, extinguishment of an existing liability and the recognition required to measure the entire instrument at fair value of a new financial liability. Where an entity modifies the if the fair value of the derivative cannot be measured term of an existing financial liability, it is also treated as the reliably. extinguishment of an existing liability and the recognition l Where the host contract is not a financial instrument of a new liability. within the scope of this Standard, the host contract An entity cannot offset financial assets and financial and embedded derivative are accounted for separately liabilities in the statement of financial position unless a using GRAP 104 and the relevant Standard of GRAP. legal right of set off exists, and the parties intend to settle on a net basis. Financial assets and financial liabilities that are non- GRAP 104 requires extensive disclosures on the derivative instruments with fixed or determinable significance of financial instruments for an entity’s payments (for example, deposits with banks, receivables statement of financial position and statement of financial and payables) are measured at amortised cost. At initial performance, as well as the nature and extent of the recognition, an entity can, however, designate such an risks that an entity is exposed to as a result of its annual instrument to be measured at fair value. financial statements. Some disclosures – for example, An entity can only measure investments in residual the disclosure of fair values for instruments measured at interests at cost where the fair value of the interest cannot amortised cost or cost and the preparation of a sensitivity be determined reliably. analysis – are encouraged rather than required. Once an entity has classified a financial asset ora GRAP 104 does not prescribe principles for hedge financial liability either at fair value or amortised cost or accounting. An entity is permitted to apply hedge cost, it is only allowed to reclassify such instruments in accounting as long as the principles in IAS 39 are applied. limited instances. This Standard has been approved by the Board but its An entity derecognises a financial asset, or the effective date has not yet been determined by the Minister specifically identified cash flows of an asset, when: of Finance. The effective date indicated is a provisional l The cash flows from the asset expire, are settled or date and could change depending on the decision of the waived; Minister of Finance. l Significant risks and rewards are transferred to It is unlikely that the amendment will have a material another party; or impact on the entity’s annual financial statements.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 93 notes to the annual financial statements continued for the year ended 31 March 2011
2011 2010 R’000 R’000 Cost Accumulated depreciation Carrying value Cost Accumulated depreciation Carrying value
3. Property and equipment Land 36 347 – 36 347 36 347 – 36 347 Buildings 83 636 (18 076) 65 560 78 094 (15 539) 62 555 Office furniture 13 968 (5 574) 8 394 12 003 (4 717) 7 286 Motor vehicles 24 132 (9 494) 14 638 23 381 (7 791) 15 590 Office equipment 36 157 (18 524) 17 633 32 925 (15 632) 17 293 IT equipment 48 734 (32 133) 16 601 41 336 (26 269) 15 067 Exhibits 2 256 (286) 1 970 904 (142) 762 Capital work in progress 189 402 – 189 402 150 796 – 150 796 Research equipment 241 769 (127 613) 114 156 202 865 (107 762) 95 103 Total 676 401 (211 700) 464 701 578 651 (177 852) 400 799 Reconciliation of property and equipment – 2011 Opening balance Additions Disposals Transfers Depreciation Total Land 36 347 – – – – 36 347 Buildings 62 555 4 452 (2) 1 095 (2 540) 65 560 Office furniture 7 286 2 353 (77) 1 (1 169) 8 394 Motor vehicles 15 590 1 945 (368) – (2 529) 14 638 Office equipment 17 293 4 506 (138) (2) (4 026) 17 633 IT equipment 15 067 9 345 (158) (314) (7 339) 16 601 Exhibits 762 1 353 – – (145) 1 970 Capital work in progress 150 796 57 566 (497) (18 463) – 189 402 Research equipment 95 103 22 147 (16) 17 683 (20 761) 114 156 400 799 103 667 (1 256) – (38 509) 464 701 Depreciation includes R1,17m (2010: R1,43m) relating to leased assets. Transfers during the year relate to assets capitalised from capital work in progress upon completion of the assets. Reconciliation of property and equipment – 2010 Opening balance Additions Disposals Transfers Depreciation Impairment loss Total
Land 36 347 – – – – – 36 347 Buildings 58 313 1 684 – 4 851 (2 293) – 62 555 Office furniture 6 703 1 732 (145) – (1 004) – 7 286 Motor vehicles 7 557 10 317 (152) – (1 993) (139) 15 590 Office equipment 14 856 6 353 (136) – (3 780) – 17 293 IT equipment 11 515 9 735 (438) – (5 745) – 15 067 Exhibits 620 219 – – (77) – 762 Capital work in progress 69 378 92 050 – (10 632) – – 150 796 Research equipment 94 233 13 003 (243) 5 781 (17 671) – 95 103 299 522 135 093 (1 114) – (32 563) (139) 400 799 Transfers during the year relate to assets capitalised from capital work in progress upon completion of the assets.
94 | NRF ANNUAL PERFORMANCE REPORT 2010/11 2011 2010
R’000 R’000 P ORT
3. Property and equipment (continued) Assets subject to finance lease (Net carrying amount) Motor vehicles 13 80 Office equipment 2 252 3 156 F INANCIAL RE IT equipment – 7 2 265 3 243 Details of properties Portion 1 of the farm Scientia No 627, Pretoria, with buildings thereon Land 1 277 1 277 Building 14 591 14 398 15 868 15 675 Portion 4 of the farm No 996, Blue Downs, Stellenbosch, with buildings thereon Land 9 717 9 717 Building 20 620 20 527 30 337 30 244 Portion 6 of the farm Kuilenburg No 96, Sutherland, with buildings thereon Land 336 336 Building 5 820 5 819 6 156 6 155 Erf 26423, Observatory, Cape Town, with buildings thereon Land 273 273 Building 5 737 5 145 6 010 5 418 Erf 9875, Hermanus, with buildings thereon Land 4 308 4 308 Building 7 923 5 186 12 231 9 494 Stand No 2859, Pretoria, with buildings thereon Land 92 92 Building 1 513 1 508 1 605 1 600 Observatory, Johannesburg Land 1 685 1 685 Building 9 404 9 404 11 089 11 089 Portion 1 of the farm Losberg No 73, Fraserburg Regional District Land 8 860 8 860 Mey’s Dam Farm No 68, Fraserburg Regional District Land 9 800 9 800 Leasehold improvements, HartRAO – Capitalised expenditure 131 183 Leasehold improvements, SAIAB – Capitalised expenditure 17 896 15 923 Total cost of land and buildings 119 983 114 441
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 95 notes to the annual financial statements continued for the year ended 31 March 2011
2011 2010 R’000 R’000
3. Property and equipment (continued) Land and buildings were valuated by an independent valuator as at 1 April 2010. The market values of land and buildings are: Portion 1 of the farm Scientia No 627, Pretoria 43 400 43 400 Portion 4 of the farm No 996, Blue Downs, Stellenbosch 36 000 36 000 Portion 6 of the farm Kuilenburg No 96, Sutherland * 8 674 8 674 Erf 26423, Observatory, Cape Town 40 600 40 600 Erf 9875, Hermanus 23 700 23 700 Stand No 2859, Pretoria 16 500 16 500 Portion 1 of Erf 1 Observatory, Johannesburg 8 900 8 900 Portion 1 of the farm Losberg No 73, Fraserberg and the farm Mey’s Dam No 68, Carnarvon 24 330 24 330 Total market value 202 104 202 104 * This property was valued on 1 April 2007. No major infrastructure projects were undertaken since then. The split of the cost between land and buildings has been adjusted in accordance with the valuation dated 1 April 2007. The land and buildings situated in Pretoria are subject to a pre-emptive right in favour of the CSIR should the NRF decide to sell the property and will revert back to the CSIR for no consideration should the NRF be disbanded. Land and buildings of the NZG are situated in Boom Street, Pretoria. This property is not reflected in the records of the NRF as ownership thereof resides with the Department of Public Works. The NZG occupies the property for no consideration.
2011 2010 Zoo animal collection No. of No. of specimens specimens
Mammals 2 997 3 167 Aves 1 364 1 320 Reptiles 420 470 Pisces 4 350 3 466 Amphibia 48 48 Invertebrates 525 900 9 704 9 371
96 | NRF ANNUAL PERFORMANCE REPORT 2010/11 P ORT
2011 2010
R’000 R’000 F INANCIAL RE Accumulated Accumulated amortisation amortisation Cost Carrying value Cost Carrying value and accumulated and accumulated impairment impairment
4. Intangible assets Computer software 1 168 (275) 893 584 (66) 518 Computer software, internally generated 41 835 – 41 835 27 086 – 27 086 Total 43 003 (275) 42 728 27 670 (66) 27 604 Reconciliation of intangible assets – 2011 Opening balance Additions Amortisation Total
Computer software 518 584 (209) 893 Computer software, internally generated 27 086 14 749 – 41 835 27 604 15 333 (209) 42 728 Reconciliation of intangible assets – 2010 Opening balance Additions Disposals Amortisation Total
Computer software 125 457 – (64) 518 Computer software, internally generated 19 900 7 191 (5) – 27 086 20 025 7 648 (5) (64) 27 604 Listed/ % holding % holding Carrying amount Carrying amount Fair value Fair value Name of entity Unlisted 2011 2010 2011 2010 2011 2010
5. Investments in associates SALT Foundation (Pty) Ltd Unlisted 36.78% 36.78% 38 150 41 168 38 150 41 168 The carrying amounts of associates are shown net of impairment losses. Movements in carrying value Opening balance 41 168 46 141 Share of surplus/(deficit) (3 018) (4 973) 38 150 41 168 Principal activities, country of incorporation and voting power
Legal name Principal activity Country of incorporation Proportion of voting power
SALT Foundation (Pty) Ltd Construction & operation of an 11 metre telescope SA 36.78% for optical astronomy research Summary of associate’s financial statements: 2011 2010 R’000 R’000
SALT Foundation (Pty) Ltd. Current assets 23 701 27 547 Long–term assets 130 678 135 027 Current liabilities 3 673 3 662 Revenue 17 940 17 940 Loss for the year after taxation (8 205) (9 483)
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 97 notes to the annual financial statements continued for the year ended 31 March 2011
2011 2010 R’000 R’000
6. Inventory Consumable stores and maintenance spares 3 170 2 730 Restaurant stock 514 553 3 684 3 283
Loans and Total receivables
7. Financial assets by category The accounting policies for financial instruments have been applied to the line items below: 2011 Loans to employees 123 123 Trade and other receivables 78 586 78 586 Cash and cash equivalents 795 424 795 424 Grants and bursaries paid in advance 429 991 429 991 1 304 124 1 304 124 2010 Loans to employees 28 28 Trade and other receivables 58 647 58 647 Cash and cash equivalents 1 313 906 1 313 906 Grants and bursaries paid in advance 194 047 194 047 1 566 628 1 566 628
2011 2010 R’000 R’000 8. Trade and other receivables from exchange transactions Trade debtors 22 561 38 289 Employee costs in advance 16 20 Prepayments 24 883 12 189 Deposits 6 690 5 129 Sundry debtors 56 025 20 358 110 175 75 985
Credit quality of trade and other receivables Credit risk with respect to trade and other receivables is limited due to the large number of customers comprising the NRF’s customer base and their dispersion across different industries and geographical areas.
98 | NRF ANNUAL PERFORMANCE REPORT 2010/11 2011 2010
R’000 R’000 P ORT
8. Trade and other receivables from exchange transactions (continued) Trade receivables None of the financial assets that are fully performing have been renegotiated in the last year. F INANCIAL RE Trade and other receivables past due but not impaired Trade and other receivables which are generally less than three months past due are not considered to be impaired. At 31 March 2011, R7,095m (2010: R3,337m) was past due but not impaired. The ageing of amounts past due but not impaired is as follows: 1 month past due 3 300 36 2 months past due 444 203 3 months past due 3 351 3 098 Trade and other receivables impaired As of 31 March 2011, trade and other receivables of R1,098m (2010: R1,140m) were impaired and provided for. The amount of the provision was R1,098m as of 31 March 2011 (2010: R1,140m). The ageing of these impaired debtors is as follows: Less than 3 months – 26 3 to 6 months 1 098 1 114 Reconciliation of provision for impairment of trade and other receivables Opening balance 1 140 1 495 Provision for impairment 332 – Amounts written off as uncollectible (213) (249) Unused amounts reversed (161) (106) 1 098 1 140 The creation and release of provision for impaired receivables have been included in operating expenses in surplus or deficit (note 27). Amounts charged to the allowance account are generally written off when there is no expectation of recovering additional cash. The maximum exposure to credit risk at the reporting date is the fair value of each class of receivable mentioned above. The entity does not hold any collateral as security.
9. Grants and bursaries paid in advance The original grant deposits are repayable to the NRF on 30 days’ notice in an event of the funding being discontinued. Grants and bursaries payments in advance to Higher Education and Research Institutions 429 991 194 047
10. Other loans 0% (2010: 0,5%) of the total staff loans consists of interest bearing loans. Included in the total staff loans is R104 624 (2010: R21 693) relating to the reimbursement of study fees paid by the NRF due to employees not complying with conditions. The short-term portion of staff loans is repayable within the next 12 months, while the long-term portion is repayable within the next 24 months. Staff loans Long term portion of other loans 7 4 Short-term portion of other loans 116 24 123 28
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 99 notes to the annual financial statements continued for the year ended 31 March 2011
2011 2010 R’000 R’000
11. Cash and cash equivalents Cash and cash equivalents consist of cash on hand and balances with banks and investments in fixed deposits. Cash on hand 129 119 Short-term deposits 731 219 1 262 661 Bank balance 64 076 51 126 795 424 1 313 906 These monies relate primarily to designated income received in advance. Credit quality of cash at bank and short–term deposits, excluding cash on hand Cash equivalents and short-term deposits are placed with high-credit quality financial institutions.
12. Employee benefit obligations Post–retirement medical benefits The NRF recognises the importance of providing for this liability. To date the NRF has set aside R80m towards this liability, providing a funding coverage level of 72%. Carrying value Present value of the defined benefit obligation – partially or wholly funded (110 200) (106 784) Changes in the present value of the defined benefit obligation are as follows: Opening balance 106 784 92 218 Contributions by plan participants (6 826) (5 519) Net expense recognised in the statement of financial performance 10 242 20 085 Closing balance 110 200 106 784 Net expense recognised in the statement of financial performance Current service cost 680 706 Interest cost 9 562 7 827 Actuarial (gains)/losses – 11 552 Total included in employee–related costs 10 242 20 085 Key assumptions used Assumptions used at the reporting date: Discount rates used 9.25% 9.25% Consumer Price Inflation (CPI) 5.75% 5.75% Real discount rate 0.92% 0.92% Expected increase in salaries 6.75% 6.75% Expected increase in healthcare costs 8.25% 8.25% Normal retirement age 65 65
100 | NRF ANNUAL PERFORMANCE REPORT 2010/11 One Two
percentage percentage P ORT point point decrease decrease
12. Employee benefit obligations (continued)
Other assumptions F INANCIAL RE Assumed health care cost trend rates have a significant effect on the amounts recognised in surplus or deficit. A one and two percentage point change in assumed health care cost trend rates would have the following effects: Effect on the aggregate of the service cost and interest cost (10,20%) (18,90%) Effect on defined benefit obligation (9,50%) (17,60%) Amounts for the current and previous four years are as follows: 2011 2010 2009 2008 2007 R’000 R’000 R’000 R’000 ‘R’000 Defined benefit obligation (110 200) (106 784) (92 218) (91 018) (88 967) Defined contribution plan It is the policy of the entity to provide retirement benefits to all its employees through the National Research Foundation Pension Fund, which are subject to the Pensions Fund Act. The fund is administered by Alexander Forbes Consultants and Actuaries. The entity is under no obligation to cover any unfunded benefits. The amount recognised as an expense for defined contribution plans is 27 088 24 452
Opening Utilised during Reversed balance the year during the year Total R’000 R’000 R’000 R’000
13. Provisions Reconciliation of provisions – 2010 Other provisions 2 500 (3 050) 550 – The provision represents a portion of the municipal billing in respect of water and electricity, which is in dispute.
Financial liabilities at amortised cost Total R’000 R’000
14. Financial liabilities by category The accounting policies for financial instruments have been applied to the line items below: 2011 Trade and other payables 34 465 34 465 Designated income received in advance 1 095 956 1 095 956 Finance leases 2 825 2 825 1 133 246 1 133 246 2010 Trade and other payables 41 290 41 290 Designated income received in advance 1 359 007 1 359 007 Finance leases 3 861 3 861 1 404 158 1 404 158
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 101 notes to the annual financial statements continued for the year ended 31 March 2011
2011 2010 R’000 R’000 15. Finance lease obligation Minimum lease payments due – within one year 1 401 1 704 – in second to fifth year inclusive 1 900 3 033 3 301 4 737 less: future finance charges (476) (876) Present value of minimum lease payments 2 825 3 861 Present value of minimum lease payments due – within one year 1 208 1 258 – in second to fifth year inclusive 1 617 2 603 2 825 3 861 Non-current liabilities 1 617 2 603 Current liabilities 1 208 1 258 2 825 3 861 It is entity policy to lease certain motor vehicles and equipment under finance leases. The average lease term was 3 to 5 years and the average effective borrowing rate was 13% (2010: 13%). The entity’s obligations under finance leases are secured by the lessor’s charge over the leased assets. Refer note 3. Interest costs on finance leases charged to the statement of financial performance for the year amounted to R0,494m (2010: R 0,582m). Market risk The carrying amounts of finance lease liabilities are denominated in the following currencies: Rand 2 825 3 861 For details of sensitivity of exposures to market risk related to finance lease liabilities, as well as liquidity risk, refer to note 35. The fair value of finance lease liabilities approximates their carrying amounts.
16. Trade and other payables from exchange transactions Trade payables 27 507 35 916 Accrued leave pay 28 672 21 329 Accrued bonus 3 830 5 123 Other payables 6 958 5 374 66 967 67 742 17. Designated income received in advance Designated income advances 1 095 956 1 359 007
18. SALT fund The SALT fund represents income received from the DST for the purpose of investing the funds in the SALT Foundation (Pty) Ltd. The balance is reduced with post-acquisition losses of the SALT Foundation (Pty) Ltd.
102 | NRF ANNUAL PERFORMANCE REPORT 2010/11 2011 2010
R’000 R’000 P ORT 19. Capital fund The portion of income utilised to acquire property, equipment and intangible assets is transferred to the capital fund from the accumulated fund and is allocated back to the accumulated fund in the proportions and over the periods in which depreciation/
amortisation on such property and equipment or intangible asset is charged, or when the asset is retired. F INANCIAL RE Opening balance 427 303 318 453 Net acquisition of assets 79 026 108 850 Acquisition of property, equipment and intangible assets 3 & 4 119 000 142 741 Allocation to income 3 & 4 (39 974) (33 891) 506 329 427 303
20. Sale of goods and services Sale of isotopes 24 026 18 454 NZG sales 15 030 13 207 Other sales 440 360 39 496 30 021
21. Designated income Department of Science and Technology 1 018 649 558 996 Other government organisations 65 613 68 243 Other 33 616 44 039 1 117 878 671 278 The NRF manages a number of projects/programmes for government departments and local as well as international organisations on a contractual basis. These funds are designated for specific projects. Excluded from this amount are contracts with the dti for the THRIP programme amounting to R148,4m (2010: R164,5m) as well as the Innovation Fund for R0m (2010: R110m).
22. Parliamentary grant Parliamentary grant received 761 766 719 290 Prior year unspent ring fenced funds released 5 767 4 810 Grant received in prior year for grant awards released current year 1 980 5 225 769 513 729 325
23. Other income Sundry income 5 957 9 972 Rent received 893 1 582 Services rendered 2 184 2 629 Donations received 1 065 609 Management fees received 2 162 3 301 12 261 18 093 24. Investment revenue Interest revenue Bank 77 299 67 222 Interest charged on trade and other receivables 57 12 Impaired financial assets – 79 Interest received – other 1 117 77 357 67 430 The amount included in investment revenue arising from exchange transactions amounted to R58 000.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 103 notes to the annual financial statements continued for the year ended 31 March 2011
2011 2010 R’000 R’000
25. Auditors’ remuneration Current year audit 509 – Prior year audit 1 718 2 129 Other services 173 45 2 400 2 174
26. Finance costs Finance leases 494 582
27. Operating surplus Operating surplus for the year is stated after accounting for the following: Operating lease charges Premises Contractual amounts 3 888 2 182
Loss on sale of property and equipment (682) (51) Loss on sale of intangible assets – (5) Impairment on property and equipment – 139 Impairment on trade and other receivables 213 249 Loss on exchange differences 1 222 808 Amortisation on intangible assets 209 64 Depreciation on property and equipment 38 509 32 563 Employee costs 388 703 334 445 Defined contribution plan 27 088 24 452 Research and development 6 571 8 007 Cost of sales 5 811 4 317
104 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Short-term Total package Total package
benefits 2011 2010 P ORT Non-Executive Members (Board Members) R’000 R’000 R’000
28. Board and Corporate Executive members’ remuneration Prof B Bozzoli (Chairperson) 36 36 31 Prof JW Fedderke 14 14 12 F INANCIAL RE Mr TS Gcabashe 16 16 12 Dr NM Magau 14 14 12 Dr IR May (up to 31 December 2010) 18 18 21 Mr TM Netsianda 14 14 12 Prof T Nyokong 14 14 12 Prof V Pillay 14 14 12 Ms T Ramano 7 7 - Ms NZ Yokwana 14 14 12 161 161 136
Retirement Total Total Short–term Fund Medical Other package package benefits contributions contributions benefits 2011 2010 Members of the Corporate Executive R’000 R’000 R’000 R’000 R’000 R’000
Dr AS van Jaarsveld (President of the NRF)* 1 807 255 33 28 2 123 1 835 Dr D Pillay (from February 2010) 1 315 181 – 15 1 511 220 Dr G Mazithulela 1 453 82 28 10 1 573 1 450 Mr B Singh 1 075 161 49 16 1 301 1 197 Mr PB Thompson 1 099 141 57 19 1 316 1 212 6 749 820 167 88 7 824 5 914 Total remuneration 6 910 820 167 88 7 985 6 050 * Denotes ex officio member of the NRF Board. Corporate Executive members are considered to be key management personnel as they are the delegated key decision–makers.
2011 2010 R’000 R’000
29. Cash (used in)/generated from operations Surplus 89 602 98 625 Adjustments for: Depreciation and amortisation 38 718 32 628 Loss on sale of assets and liabilities 682 56 Deficit from equity accounted investments 3 018 4 973 Finance costs – Finance leases 494 582 Finance costs (494) (582) Impairment loss – 139 Debt impairment 52 249 Movements in retirement benefit assets and liabilities 3 416 14 566 Movements in provisions – (2 500)
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 105 notes to the annual financial statements continued for the year ended 31 March 2011
2011 2010 R’000 R’000
29. Cash (used in)/generated from operations (continued) Changes in working capital: Inventory (401) 594 Trade and other receivables from exchange transactions (34 190) (24 372) Debt impairment (52) (249) Grants and bursaries paid in advance (235 944) 19 305 Other loans (95) 2 Trade and other payables from exchange transactions (775) 10 023 Designated income received in advance (263 051) 544 348 (399 020) 698 387
30. Reconciliation between budget and statement of financial performance Reconciliation of budget surplus/(deficit) with the surplus/(deficit) in the statement of financial performance: Net surplus per the statement of financial performance 89 602 98 625 Adjusted for: Change in accounting policy: Transfer to capital fund – (108 850) Payment to convert NZG pension fund to NRF pension fund – 5 502 Loss in associate 3 018 4 973 Additional provision for post-retirement medical benefit liability – 12 891 Vacancies and delayed recruitment – (11 293) Additional recovery of SALT expenses – (1 700) Savings on grant and bursaries expenditure – (13 265) Higher than expected salary increases – 5 540 Higher than expected interest earned (11 387) (10 340) Delay in SKA SA capital expenditure 248 575 – Capitalisation of computer software under development (14 749) – Additional capital expenditure (59 209) – Net surplus/(deficit) per approved budget 255 850 (17 917)
31. Commitments Authorised capital expenditure Already contracted for but not provided for • Property and equipment 26 977 9 771 The capital expenditure will be financed from internal funds.
106 | NRF ANNUAL PERFORMANCE REPORT 2010/11 2011 2010
R’000 R’000 P ORT
31. Commitments (continued) Operating leases – as lessee (expense) Minimum lease payments due – within one year 6 360 3 558 F INANCIAL RE – in second to fifth year inclusive 9 163 7 337 15 523 10 895 Operating lease payments represent rentals payable by the entity for certain of its office properties. These non-cancellable leases are negotiated for a term of between 3-4 years and rentals escalate between 8% and 10% annually. No contingent rent is payable. Operating leases – as lessor (income) Minimum lease payments due – within one year 128 40 – in second to fifth year inclusive 224 205 – later than five years – 31 352 276 The NRF has entered into non-cancellable commercial property leases. These leases are negotiated for a term of between 2-10 years and rentals escalate between 0% and 10% annually. There are no contingent rents receivable.
32. Contingencies Future grant commitments awarded 1 598 633 1 686 052 The NRF has awarded multi-year grants for up to five years with subsequent years’ payments conditional upon receipt of progress reports.
City of Johannesburg 966 1 252 The amount represents municipal billing in respect of rates, taxes and water charges, which is in dispute. The NRF does not consider itself liable for this amount.
2011 2010 R’000 R’000 33. Related parties Relationships; Associates (Refer to note 5) Members of key management (Refer to note 28) The remuneration of key management is included in employees’ remuneration (refer to note 28 for Corporate Executive members’ remuneration). By virtue of the fact that the NRF is a national public entity and controlled by national government, any other controlled entity of the national government is a related party. All transactions with such entities are at arm’s-length and on normal commercial terms. Related party balances Amounts included in Trade Receivables/(Trade Payables) regarding related parties SALT Foundation (Pty) Ltd. 1 888 1 671 The outstanding balance at year-end is unsecured, interest-free and settlement occurs in cash. There have been no guarantees received. No impairment has been recorded of the amount owed. The NRF paid SALT Foundation (Pty) Ltd a levy for the use of the telescope 6 702 6 702 SALT Foundation (Pty) Ltd paid the NRF for the recovery of monthly services 19 678 14 794
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 107 notes to the annual financial statements continued for the year ended 31 March 2011
2011 2010 R’000 R’000 34. Prior year error An amount was incorrectly transferred to Capital work in progress in the prior year, instead of being allocated to operating expenditure on the SKA SA project. The correction of the error(s) results in adjustments as follows: Statement of financial position Capital work in progress decreased – (3 771) Capital fund decreased – 3 771 Accumulated surplus increased – (3 771) Statement of Financial Performance Operating expenses increased – 3 771 35. Risk management Financial risk management The entity’s activities expose it to a variety of financial risks: market risk (including currency risk and interest rate risk), credit risk and liquidity risk. The entity’s overall risk management programme focuses on the unpredictability of financial markets and seeks to minimise potential adverse effects on the entity’s financial performance. Risk management is carried out by a central treasury department under policies approved by the accounting authority. Entity treasury identifies, evaluates and hedges financial risks in close cooperation with the entity’s business units. The accounting authority provides written principles for overall risk management, as well as written policies covering specific areas, such as foreign exchange risk, interest rate risk, credit risk and investment of excess liquidity. Liquidity risk Prudent liquidity risk management implies maintaining sufficient cash and the availability of funding.T he entity’s risk to liquidity is a result of the funds available to cover future commitments. The entity manages liquidity risk through an ongoing review of future commitments, through proper management of working capital, capital expenditure and actual vs. forecasted cash flows and its investment policy. Adequate reserves and liquid resources are also maintained. The table below analyses the entity’s financial liabilities into relevant maturity groupings based on the remaining period at the statement of financial position to the contractual maturity date. The amounts disclosed in the table are the contractual undiscounted cash flows. Balances due within 12 months equal their carrying balances as the impact of discounting is not significant. Less than Between 1 Between 2 Over 5 1 year and 2 years and 5 years years
At 31 March 2011 Trade and other payables 34 465 – – – Designated income received in advance 1 095 956 – – – Finance leases 1 401 1 900 – – At 31 March 2010 Trade and other payables 41 290 – – – Designated income received in advance 1 359 007 – – – Finance leases 1 704 3 033 – – Interest rate risk Interest rate risk results from the cash flow and financial performance uncertainty arising from interest rate fluctuations. Financial assets and liabilities affected by interest rate fluctuations include bank and cash deposits. Interest rate exposure and investment strategies are evaluated by management on a regular basis. Interest-bearing investments are held with reputable banks in order to minimise exposure. The entity furthermore manages its interest rate risk by obtaining competitive rates from different banks. No significant risks have been identified with regards to interest rates.
108 | NRF ANNUAL PERFORMANCE REPORT 2010/11 35. Risk management (continued Current Due in less Due in one Due in two Due in three Due after P ORT Financial instrument interest rate than a year to two years to three years to four years five years
Cash flow interest rate risk Trade and other receivables – normal credit terms – 56 025 – – – – Trade and other receivables – normal credit terms 8,00% 22 561 – – – – F INANCIAL RE Loans to employees – 116 7 – – – Cash in current banking institutions 2,00% 64 076 – – – – Short-term deposits 5,50% 731 219 – – – – Trade and other payables – 34 465 – – – – Grants and bursaries paid in advance – 429 991 – – – – Designated income received in advance – 1 095 956 – – – – Finance leases 13,00% 1 208 1 617 – – – Credit risk Credit risk arises from the risk that a counter party may default or not meet its obligations timeously. The entity is exposed to risk from its operating and financing activities. Credit risk consists mainly of cash deposits, cash equivalents and trade debtors. The entity only deposits cash with major banks with high-quality credit standing and limits exposure to any one counterparty. Trade receivables comprise a widespread customer base. Management evaluates credit risk relating to customers on an on-going basis. Risk control assesses the credit quality of the customer, taking into account its financial position, past experience and other factors. The entity has no significant concentration of credit risk. The carrying amounts of the financial assets included in the statement of financial position represent the entity’s maximum exposure to credit risk in relation to these assets. The entity does not have any significant exposure to any individual customer or counterparty. Foreign exchange risk Foreign exchange risk arises on financial instruments that are denominated in a foreign currency (in a currency other than the functional currency in which they are measured). For the purposes of GRAP, currency risk does not arise from financial instruments that are non-monetary items or from financial instruments denominated in the functional currency. There were no foreign currency transactions covered by forward exchange contracts at the end of the year. The entity transacts with foreign entities on a minimal basis and therefore the balance on foreign exchange debtors and creditors are considered immaterial and therefore minimal risk is involved. The entity does not use derivative financial instruments for speculative purposes.
36. Irregular expenditure 2011 2010 R’000 R’000 Finance lease payments on contracts in excess of a 36-month contract period 1 542 1 483 In terms of section 66 of the PFMA, Treasury Regulation 32 and Practice Note 5 of 2006/2007, finance leases for office equipment may not exceed a period of 36 months without National Treasury approval. An oversight occurred and the approval from National Treasury was not requested.
37. Financial information by segment For management purposes, the NRF is currently organised into the following segments and these segments are the basis on which the NRF reports its primary segment information. All segment revenue and expenses are directly attributable to the segments. Segment assets include all operating assets used by a segment and consist principally of property and equipment, as well as current assets. Segment liabilities include all operating liabilities and consist principally of trade creditors. These assets and liabilities are all directly attributable to the segments. Segment revenue, expenses and results include transfers between business segments and between geographical segments. Such transfers are accounted for at competitive market prices charged to unaffiliated customers for similar goods. These transfers are eliminated on consolidation.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 109 notes to the annual financial statements continued for the year ended 31 March 2011
37. Financial information by segment (continued) Research and Innovation Support and Advancement (RISA) and Corporate This segment’s main business is to provide for the promotion and support of research and research capacity development in all fields of knowledge and technology through investing in knowledge, people and infrastructure; developing research capacity and advancing equity and equality to unlock the full creative potential of researchers; assisting with the development of institutional capacity; facilitating strategic national and international partnerships and knowledge networks; and supporting science advancement through science awareness platforms, communication and education. The corporate office provides general leadership, coordinates new initiatives and acts as liaison and reporting centre for the entire NRF. iThemba Laboratory for Accelerator Based Sciences (iThemba LABS) This National Research Facility provides advanced, viable, multidisciplinary facilities for training, research and services in the fields of sub-atomic nuclear science and applied radiation medicine. South African Astronomical Observatory (SAAO) This National Research Facility performs fundamental research in astronomy and astrophysics at a national and international level. SAAO is the national research facility for optical and infrared astronomy in South Africa. SAAO is also responsible for managing the operations of the Southern African Large Telescope (SALT). Hartebeesthoek Radio Astronomy Observatory (HartRAO) This National Research Facility was established as the national research facility for radio astronomy research in South Africa. Its primary function is the support of research and training in radio astronomy and space geodesy. South African Institute for Aquatic Biodiversity (SAIAB) This National Research Facility serves as a research hub for aquatic biodiversity in southern Africa by housing and developing the National Fish Collection and associated resource collections as research tools and sources of aquatic biodiversity data. It also generates knowledge on aquatic biodiversity through interactive and collaborative scientific research, and disseminates scientific knowledge at all levels. Hermanus Magnetic Observatory (HMO) This National Research Facility is part of a world wide network of magnetic observatories that monitor and model variations on the Earth’s magnetic field.HMO ’s activities also include fundamental and applied space physics research, and the provision of geomagnetic field related services on a commercial basis. This facility will be transferred to the South African National Space Agency (SANSA) with effect from 1 April 2011. South African Agency for Science and Technology Advancement (SAASTA) SAASTA is positioned as an agency in advancing the public awareness, appreciation and understanding of science, engineering and technology in South Africa, as well as the integration of science promotion activities across the NRF. National Zoological Gardens of South Africa (NZG) The NZG is a National Research Facility for research in terrestrial biodiversity and an active participant in terrestrial biodiversity research. The NZG houses one of the largest animal collections in the world, operates three breeding centres and covers an area of over 7 103 hectares. South African Environmental Observatory Network (SAEON) SAEON is a National Research Facility that establishes and maintains nodes (environmental observatories, field stations or sites) linked by an information management network to serve as research and education platforms for long-term studies of ecosystems that will provide for incremental advances in our understanding of ecosystems and our ability to detect, predict and react to environmental change. Square Kilometre Array South Africa (SKA SA) Project The international astronomy community is developing proposals for a major (€1.5bn) investment in a new radio telescope, the Square Kilometre Array (SKA). It will be the largest telescope in the world for the foreseeable future. South Africa and Australia have been shortlisted as potential sites for this telescope. Both countries are building smaller versions of the SKA as “pathfinders”, aimed partly at developing and testing the new science and technology for the SKA as well as showcasing the countries’ competence with regard to bulk infrastructure delivery and mission-driven innovation. These pathfinders (the MeerKAT in South Africa and ASKAP in Australia) are designed to be world-class instruments in their own right. The South African SKA pathfinder project includes the construction of the KAT-7 prototype telescope array (seven antennae) and the MeerKAT radio telescope (64 antennae) in the Karoo. Once operating, MeerKAT will be the largest radio telescope in the world for many years. The MeerKAT is a project of the DST, executed through the NRF and the South African SKA project office.
110 | NRF ANNUAL PERFORMANCE REPORT 2010/11 37. Financial information by segment (continued)
RISA and Corporate iThemba LABS SAAO HartRAO SAEON P ORT 2011 2010 2011 2010 2011 2010 2011 2010 2011 2010 R’000 R’000 R’000 R’000 R’000 R’000 R’000 R’000 R’000 R’000
Revenue Parliamentary grant 475 338 455 576 125 109 117 323 30 724 28 597 19 886 19 310 20 799 16 989 F INANCIAL RE Designated income 875 111 457 508 7 768 2 381 29 372 17 654 2 665 226 1 300 964 Other revenue 40 128 41 525 24 028 18 456 377 305 63 90 – – 1 390 577 954 609 156 905 138 160 60 473 46 556 22 614 19 626 22 099 17 953 Other income 3 260 4 914 3 149 3 922 1 746 3 665 29 1 026 895 76 Total income 1 393 837 959 523 160 054 142 082 62 219 50 221 22 643 20 652 22 994 18 029 Expenses Employee costs 103 850 93 161 87 972 81 473 40 230 33 149 10 014 11 574 7 870 5 348 Grants and bursaries 1 139 797 774 442 1 317 (1 359) 4 128 1 446 1 004 54 5 669 6 256 Other expenses 80 484 73 626 70 569 71 878 19 239 18 927 7 703 4 428 6 587 5 166 Finance costs 13 6 285 363 41 42 25 27 1 – Total expenses 1 324 144 941 235 160 143 152 355 63 638 53 564 18 746 16 083 20 127 16 770 Net (deficit)/ unspent funds 69 693 18 288 (89) (10 273) (1 419) (3 343) 3 897 4 569 2 867 1 259 Property, equipment and intangible assets – Additions 20 539 13 623 25 773 10 989 11 448 3 098 10 690 3 315 2 635 2 069 – Depreciation (4 798) (4 123) (18 945) (16 878) (2 734) (2 142) (2 122) (1 311) (698) (202) Assets 773 413 932 347 165 843 134 342 50 238 37 961 36 357 28 353 12 369 9 177 Liabilities 511 895 684 838 34 769 22 665 16 009 12 591 11 198 16 063 3 992 6 848 Post-retirement health care liability 12 749 12 522 52 392 51 195 15 627 15 395 7 382 7 301 – – No. of employees (excluding interns) 231 226 272 285 116 117 44 43 32 9
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 111 notes to the annual financial statements continued for the year ended 31 March 2011
37. Financial information by segment (continued)
SKA SAIAB HMO SAASTA NZG TOTAL 2011 2010 2011 2010 2011 2010 2011 2010 2011 2010 2011 2010 R’000 R’000 R’000 R’000 R’000 R’000 R’000 R’000 R’000 R’000 R’000 R’000 Revenue Parliamentary grant 12 624 12 000 11 921 10 922 9 519 8 767 15 443 14 970 48 150 44 871 769 513 729 325 Designated income 139 814 139 190 10 610 14 881 6 738 5 944 40 940 29 968 3 560 2 562 1 117 878 671 278 Other revenue 37 225 25 788 1 – – – 1 1 37 741 33 698 139 564 119 863 189 663 176 978 22 532 25 803 16 257 14 711 56 384 44 939 89 451 81 131 2 026 955 1 520 466 Other income 7 130 324 913 1 172 786 930 1 708 749 953 12 261 18 093 Total income 189 670 177 108 22 856 26 716 17 429 15 497 57 314 46 647 90 200 82 084 2 039 216 1 538 559 Expenses Employee costs 44 336 25 769 13 700 13 053 11 069 9 644 12 711 9 807 56 951 51 467 388 703 334 445 Grants and bursaries 37 925 4 964 2 030 358 2 228 1 611 15 982 11 529 – – 1 210 080 799 301 Other expenses 72 052 47 937 11 706 11 159 6 686 6 722 29 796 26 345 45 515 39 418 350 337 305 606 Finance costs 33 17 2 6 65 56 – 4 29 61 494 582 Total expenses 154 346 78 687 27 438 24 576 20 048 18 033 58 489 47 685 102 495 90 946 1 949 614 1 439 934 Net (deficit)/ unspent funds 35 324 98 421 (4 582) 2 140 (2 619) (2 536) (1 175) (1 038) (12 295) (8 862) 89 602 98 625 Property, equipment and intangible assets – Additions 36 060 95 050 3 652 6 930 4 787 4 866 1 817 755 1 599 2 046 119 000 142 741 – Depreciation (2 939) (2 729) (1 885) (1 637) (1 649) (984) (939) (812) (2 009) (1 810) (38 718) (32 628) Assets 687 368 787 584 37 774 40 850 32 942 25 228 54 771 36 806 33 901 24 172 1 884 976 2 056 820 Liabilities 495 570 628 605 12 245 15 286 11 306 7 100 37 394 18 305 31 371 18 308 1 165 749 1 430 609 Post–retirement health care liability – – 830 792 – – – – 21 220 19 579 110 200 106 784 No. of employees (excluding interns) 95 82 40 56 32 38 41 38 317 328 1,220 1,222
112 | NRF ANNUAL PERFORMANCE REPORT 2010/11 financial highlights: income and the resultant expenditure increased significantly due to designated income and R52.7 expenditure million
Monies were received from DST to supplement bursary values.
There was a financial “emergency” injection from DST to the amount of R255m to deal with, inter alia, expansion of bursary support for honours, Master’s, doctoral and postdoctoral fellowships; support for women and young researchers; upgrading ageing infrastructure; and providing bandwidth connectivity within the NSI. Monies were received from DST to supplement bursary values and R255 R52,7 million was used for this purpose. MILLION
Cash holdings at the end of the year decreased significantly as more There was a financial “emergency” grants were awarded and deposits were made, resulting in an increased injection from DST. flow of funds to HEIs.
Cost efficiencies improved substantially with operating expenditure as a percentage of total expenditure decreasing from 19% in the previous year to 17% in 2010/11. This decrease was due to existing resources being leveraged to deal with once-off injections of funds suggesting that greater value for money is obtained as income increases.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 113 114 | NRF ANNUAL PERFORMANCE REPORT 2010/11 key performance indicator Report
Introduction ...... 117 Human capital development: RISA support for the next generation of researchers . . . . 133 KEY PERFORMANCE MEASUREMENTS . . . 118 Human capital development: Student Approach to measurement ...... 118 support by the National Research Performance tables ...... 118 Facilities ...... 133 Table 13: NRF performance according to the Human capital development: Emerging Balance Scorecard Framework ...... 118 and established researchers ...... 134 Table 14: NRF Corporate performance Demographics in the science and (including THRIP) according to the NRF technology strategic goals ...... 120 workforce ...... 134 Table 15: RISA AND SAASTA performance Providing cutting-edge research, technology according to the NRF strategic goals . . . . . 122 and innovation platforms ...... 134 Table 16: National Research Facilities Investment into infrastructure ...... 134 performance according to the NRF The National Research Facilities ...... 135 strategic goals ...... 124 RISA infrastructure and equipment Table 17: Sustainability performance indicators provision ...... 136 based on Global Reporting Initiative (GRI) RISA research information infrastructure 136 Guidelines ...... 126 Operating world-class evaluation and grant-making systems ...... 136 Performance Report: Stakeholder Evaluating and rating system ...... 136 Perspective ...... 128 Contributing to a vibrant national Key result area: Fulfilling the mandate of the innovation system ...... 137 NRF ...... 128 Key result area: Quality of decision-making ...... 137 Key result area: Support for and implementation Key result area: Compliance to standards . . . . 137 of strategies within the NSI ...... 128 Key result area: NRF Strategic investments ...... 130 Performance Report: Financial Key result area: Performance against perspective ...... 140 strategic goals ...... 131 Key result area: Income and expenditure . . . . . 140 Promoting internationally competitive research as basis for a knowledge economy 131 PERFORMANCE REPORT: ORGANISATIONAL RISA grant support for research ...... 131 PERSPECTIVE ...... 143 Benchmarking internationally competitive Key result area: Best practices – business research ...... 131 processes and procedures ...... 143 RISA supported research outputs . . . . . 132 Research outputs from the National Performance Report: Organisational Research Facilities ...... 132 Learning and growth PERSPECTIVE . . 144 Growing a representative science and Key result area: Suitably qualified staff ...... 144 technology workforce in South Africa ...... 132 Key result area: Proportion of researchers Human capital development through to total number of staff ...... 145 SAASTA science advancement activities 132 Human capital development through science PERFORMANCE REPORT: HUMAN advancement platforms of the National RESOURCES AND TRANSFORMATION Research Facilities ...... 133 PERSPECTIVE ...... 146 Human capital development through granting ...... 133
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 115 headKey p erin fhereormance indicator report
The NRF’s Vision 2015 underscores the need for excellence as a mind-set, inspiring whatever we do. The barometer of this collective attitude is the Key Performance Indicator (KPI) Report in which we measure our performance against the targets set in the system and those that we set for ourselves.
116 | NRF ANNUAL PERFORMANCE REPORT 2010/11 introduction introduction | This KPI report gives a high-level summary of the performance To create synergy between the respective divisions of the NRF, of the NRF during the 2010/11 financial year. The report is a common set of corporate strategic goals has been set. Not kP I s structured according to the requirements of the DST as set out in all business divisions and programmes contribute equally to the the Review of the 2001/2002 Indicator Reports. The structure strategic goals, as each division obviously has its own focus and includes the five perspectives of the Balanced Scorecard as purpose. adapted by the DST in May 2003. comparison of kpis across the NSI use of kpis and balanced The performance of the NRF is not directly comparable to that scorecard by the nrf of other Science Councils that undertake research in a specific Of the five Balanced Scorecard perspectives, four are regarded science domain or knowledge area. In the case of RISA, for as internal NRF performance areas that support the ability of example, the outcomes and impact of the NRF’s activities and the NRF to achieve its strategic goals. These four perspectives outcomes – such as the disbursement of funds – are only include the: achieved through the success of third parties: the research and l Financial/investment perspective; innovation community and institutions. In the case of the National l Organisational perspective; Research Facilities, research is conducted in-house but the l Organisational learning and growth perspective; and the facilities are also mandated to encourage other researchers to l Human resources and transformation perspective. use the facilities to further independent research objectives.
The fifth perspective – the Stakeholder perspective – is used Therefore, many of the performance indicators in this report to measure the performance of the NRF within the context of focus on the performance of the NRF stakeholder community its mandate provided by the National Research Foundation Act, that acts as a proxy of the effectiveness of the NRF. Act No. 23 of 1998. This unique mandate requires the NRF to provide three main functions: structure of the report l Science and technology advancement: SAASTA carries The document presents tables containing a summary of the responsibility to advance science in South Africa and to the performance of the organisation against targets as set coordinate the NRF science advancement agenda across the in the 2010/11 Shareholder Compact. This is followed by business divisions of the NRF; an exposition of the performance of the NRF against the l Research and innovation support: RISA)promotes and perspectives of the Balanced Scorecard. supports research through funding programmes and a variety of other supporting initiatives; and l Research and research infrastructure provision: The National Research Facilities undertake research and encourage the use of the National Research Facilities by other researchers in South Africa.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 117 key performance measurements approach to measurement l Corporate performance against the Balanced Scorecard This section of the document contains tables on the performance perspectives; l targets and actual performance of the organisation against Corporate performance against organisational goals; l these targets. Business divisions performance against organisational goals; and l Four approaches have been used in organising the data in the Sustainability performance according to the Global Reporting tables: Initiatives (GRI). Table 13: NRF Performance according to the Balanced Scorecard Framework Balanced Actual Performance 2010/11 Summary Scorecard Target Perspective Indicator description Performance Total Ratio 2010/11 Variance Rating OR Stakeholder perspective Average number of ISI publications per NRF-supported researcher across disciplines 1,8 1,8 Average number of IBSS publications per NRF-supported researcher across disciplines 1,8 Comparison of average ISI publications per NRF-employed researcher with national average 1,8 65% Proportion of active researchers supported by NRF (ISI active ~ 3 000) 2 927 3 000 98% 85% 13% NRF-rated researchers as a proportion of active researchers in the country (ISI active ~ 3 000) 2 285 3 000 76% 65% 11% Proportion of NRF-funded PhDs to total PhDs registered nationally 1 937 11 467 17% 14% 3% Proportion of NRF investment in providing research platforms at National Research 367 497 673 668 55% 22% 33% Facilities (R’000) Proportion of RISA grant investment (excluding Scholarships) in research equipment at 186 057 1 026 601 18% 10% 8% Research Institutions and National Research Facilities (R’000) Proportion of RISA competitive grants investment (excluding Scholarships) in 54 887 1 026 601 5% 2% 3% National Research Facilities (R’000) Proportion of RISA expenses invested in RISA information services and platforms (R’000) 29 334 1 546 669 1,9% 1,5% 0,4% Proportion investment in CAPEX (R’000) 107 938 2 267 899 4,8% 3,5% 1,3% Ratio of RISA expenses allocated to researchers and HEIs for access to National Research 1 633 1 026 601 0,16% 0,005% 0,15% Facilities and equipment Ratio of RISA grant investment in Social Sciences and Humanities (R’000) 140 694 1 026 601 14% 25% (11%) Proportion of RISA grant investment in international initiatives to total RISA grant 66 809 1 026 601 7% 7,0% (0%) expenditure (R’000) Financial perspective Proportion of contract income to total income (R’000) 1 277 178 2 288 147 56% 50% 6% Proportion of operating expenditure to total expenditure (R’000) 357 297 2 267 899 16% 20% (4%) Proportion of remuneration to total expenditure (R’000) 391 727 2 267 899 17% 20% (3%) Ratio of IT expenditure to total expenditure (R’000) 30 786 2 267 899 1,4% 4,0% (2,6%) Proportion of grant expenditure (including Scholarships) to total RISA expenditure (R’000) 1 325 037 1 546 669 86% 80% 6% Proportion of RISA grant expensed to the R4 billion per annum total income target (2015) (R’000) 1 325 037 4 000 000 33% 26% 7% Organisational perspective Proportion of available grant funding disbursed (R’000) 1 325 037 1 639 279 81% 70% 11% Proportion of rated researchers funded by NRF (R’000) 1 716 2 285 75% 60% 15%
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Table 13: NRF Performance according to the Balanced Scorecard Framework (continued) Balanced Actual Performance 2010/11 Summary Scorecard Target
Perspective Indicator description Performance Total Ratio 2010/11 Variance Rating OR f ormance mea Organisational learning and growth perspective p er Proportion of training expenditure to total salary budget (R’000) 7 301 391 727 1,9% 1,8% 0,1% |
Proportion of NRF staff with postgraduate qualifications 315 1 220 26% 19% 7% P I s K Proportion of seconded staff employed (to provide additional internal expertise) to total NRF staff 3 1 220 0,2% 0,1% 0,1% Human Resources and Transformation perspective External Percentage/number of students from designated groups supported 3rd year/4th year Black 228 425 54% 39% 15% Women 190 425 45% 47% (2%) BTech/Honours Black 2 043 2 718 75% 70% 5% Women 1 465 2 718 54% 50% 4% Master’s Black 1 925 3 566 54% 40% 14% Women 1 799 3 566 50% 50% 0% Doctoral Black 1 065 1 937 55% 40% 15% Women 933 1 937 48% 50% (2%) Postdoctoral Black 160 405 40% 35% 5% Women 169 405 42% 45% (3%) Proportion of NRF grantholders from designated groups to total number of NRF Black 839 2 927 29% 30% (1%) grantholders Women 991 2 927 34% 38% (4%) Proportion of NRF-rated researchers from designated groups to total number of rated Black 433 2 285 19% 17% 2% researchers Women 634 2 285 28% 26% 2% Human Resources and Transformation perspective Internal Proportion of NRF staff members from designated groups to total NRF staff Black 832 1 220 68% 70% (2%) Women 484 1 220 40% 40% (0%) Disabilites 14 1 220 1,1% 1,3% (0,2%) Proportion of South Africans from designated groups in three highest employment Black 75 240 31% 46% (15%) categories Women 50 240 21% 34% (13%) Proportion of foreign nationals employed to total NRF staff 43 1 220 3,5% 3,0% 0,5% Staff turnover: below 5% 126 1 220 10% 7,9% 2,4%
Ratings, as described in the legend below, are given at different levels: l Individual indicators are rated; and l Respective NRF objectives and Balance Scorecard perspectives are given an overall rating (OR)
LEGEND FOR RATING OF PERFORMANCE The following legend is applicable to the ratings: Green indicates that performance equals or exceeds the target Blue indicates that performance data was not available at the time of printing Sub-total of performance that is equal or had exceeded the target White indicates that baseline data were collected during 2010/11 but no targets have been O range indicates that performance is less than 10% lower than the target set. The baseline data will be used to set future targets R ed indicates that performance is more than 10% lower than the target
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 119 key performance measurements continued
Table 14: NRF Corporate performance (including THRIP) according to the NRF strategic goals Actual Performance 2010/11 Summary Strategic Target goal Indicator description Performance Total Ratio 2010/11 Variance Rating OR Promoting internationally competitive research as basis for a knowledge economy Percentage of total resources expensed to grants (including Scholarships) as proportion of RISA 1 325 037 1 546 669 86% 80% 6% expenditure (R’000) RISA Grant expenditure (including Scholarships) as % of R4 billion per annum target (2015) (R’000) 1 325 037 4 000 000 33% 26% 8% Average number of ISI publications per NRF-supported researcher per annum across all disciplines 1.77 – 1.8 Average number of IBSS publications per NRF-supported researchers per annum across all disciplines – – 1.8 Comparison of average ISI publications per NRF-employed researcher with national average 1.75 – 65% Growing a representative science and technology workforce in South Africa (externally) Proportion of active researchers supported by NRF (ISI active ~ 3 000) 2 927 3 000 98% 85% 13% NRF-rated researchers as a proportion of active researchers in the country (ISI active ~ 3 000) 2 285 3 000 76% 65% 11% Proportion of NRF-rated researchers from designated groups to total number of rated Black 433 2 285 19% 17% 2% researchers Women 634 2 285 28% 26% 2% Proportion of NRF-funded PhDs to total PhDs registered nationally 1 937 11 467 17% 14% 3% Proportion of NRF grantholders from designated groups to total number of NRF Black 839 2 927 29% 30% (1%) grantholders Women 991 2 927 34% 38% (4%) Growing a representative science and technology workforce in South Africa: Corporate human resources and transformation (NRF internally) Proportion of NRF staff members from designated groups to total NRF staff Black 832 1 220 68% 70% (2%) Women 484 1 220 40% 40% (0%) Disabilities 14 1 220 1,1% 1,3% (0,2%) Proportion of South Africans from designated groups in three highest employment Black 75 240 31% 46% (15%) categories Women 50 240 21% 34% (13%) Proportion of foreign nationals employed to total NRF staff 43 1 220 3,5% 3,0% 0,5% Staff turnover: below 5% 126 1 220 10,3% 7,9% 2,5% Proportion of seconded staff employed (to provide additional internal expertise) to total NRF staff 3 1 220 0,2% 0,1% 0,1% Proportion of training expenditure to total salary budget (R’000) 7 301 391 727 1,9% 1,8% 0,1% Proportion of NRF staff with postgraduate qualifications 315 1 220 26% 19% 7%
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Table 14: NRF Corporate performance (including THRIP) according to the NRF strategic goals (continued) Actual Performance 2010/11 Summary Strategic Target goal Indicator description Performance Total Ratio 2010/11 Variance Rating OR f ormance mea Providing cutting-edge research, technology and innovation platforms p er Proportion of NRF investment in providing research platforms at National Research Facilities (R’000) 367 497 673 668 55% 22% 33% |
Proportion of RISA grant investment (excluding Scholarships) in research equipment at Research 186 057 1 026 601 18% 10% 8% P I s K Institutions and National Research Facilities (R’000) Proportion of RISA competitive grants investment (excluding Scholarships) in National Research Facilities 54 887 1 026 601 5% 2% 3% (R’000) Proportion of RISA expenses invested in RISA information services and platforms (R’000) 29 334 1 546 669 1,9% 1,50% 0,4% Proportion investment in CAPEX (R’000) 107 938 2 267 899 4,8% 3,5% 1,3% Proportion of RISA grant expenses (excluding Scholarships) allocated to researchers and HEIs for 1 633 1 026 601 0,16% 0,005% 0,15% access to National Research Facilities and equipment (R’000) Operating world-class evaluation and grant-making systems Proportion of available grant funding disbursed (R’000) 1 325 037 1 639 279 81% 70% 11% Proportion of rated researchers funded by NRF 1 716 2 285 75% 60% 15% Contributing to a vibrant national innovation system Proportion of contract income to total income (R’000) 1 277 178 2 288 147 56% 50% 6% Proportion of operating expenditure to total expenditure (R’000) 357 297 2 267 899 16% 20% (4%) Proportion of remuneration to total expenditure (R’000) 391 727 2 267 899 17% 20% (3%) Ratio of ICT expenditure to total expenditure (R’000) 30 786 2 267 899 1,4% 4.0% (2,6%) Ratio of RISA grant investment in Social Sciences and Humanities (R’000) 140 694 1 026 601 14% 25% (11%) Proportion of RISA grant investment in international initiatives to total RISA grant expenditure (R’000) 66 809 1 026 601 7% 7.0% (0%)
Ratings, as described in the legend below, are given at different levels: l Individual indicators are rated; and l Respective NRF objectives and Balance Scorecard perspectives are given an overall rating (OR)
LEGEND FOR RATING OF PERFORMANCE The following legend is applicable to the ratings: Green indicates that performance equals or exceeds the target Blue indicates that performance data was not available at the time of printing Sub-total of performance that is equal or had exceeded the target White indicates that baseline data were collected during 2010/11 but no targets have been O range indicates that performance is less than 10% lower than the target set. The baseline data will be used to set future targets R ed indicates that performance is more than 10% lower than the target
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 121 key performance measurements continued
Table 15: RISA and SAASTA performance according to the NRF strategic goals Actual Performance 2010/11 Summary Strategic Target goal Indicator description Performance Total Ratio 2010/11 Variance Rating OR Promoting internationally competitive research as basis for a knowledge economy No. of research grants with reported expenditure 4 468 3 400 1 068 Total value of grants expensed (R’000) 1 026 601 900 000 126 601 Research outputs by RISA grantholders Peer-reviewed journal articles (ISI and others) 3 935 3 500 435 Books 61 150 (89) Chapters in books 221 260 (39) Presentations and keynote/plenary addresses 184 1 400 (1 216) Articles in non-refereed/non-peer reviewed journals 52 100 (48) Technical and policy reports 159 110 49 Patents 47 23 24 Products, prototypes and artefacts 105 160 (55) Growing a representative science and technology workforce in South Africa (Externally) SAASTA Interaction with learners No. of learners reached 420 467 305 000 115 467 Interaction with educators No. of educators reached 15 151 11 000 4 151 Interaction with public at large No. of visitors to science awareness infrastructure 8 763 4 500 4 263 No. of public reached 49 385 45 000 4 385 Participation in science festivals 57 450 220 000 (162 550) RISA funding programme for grantholders No. of grantholders supported by RISA 2 927 2 600 327 Proportion of grantholders from designated groups supported Black 839 2 927 29% 30% (1%) Women 991 2 927 34% 38% (4%) Proportion of NRF-rated researchers from designated groups to total rated Black 433 2 285 19% 17% 2% researchers Women 634 2 285 28% 26% 2% Support for students No. of students supported through RISA scholarships and student 3rd year/4th year 425 200 225 nominations. BTech/Honours 2 718 1 400 1 318 Master’s 3 566 2 230 1 336 Doctoral 1 937 1 220 717 Postdoctoral 405 210 195
Ratings, as described in the legend below, are given at different levels: l Individual indicators are rated; and l Respective NRF objectives and Balance Scorecard perspectives are given an overall rating (OR)
LEGEND FOR RATING OF PERFORMANCE The following legend is applicable to the ratings: Green indicates that performance equals or exceeds the target Blue indicates that performance data was not available at the time of printing Sub-total of performance that is equal or had exceeded the target White indicates that baseline data were collected during 2010/11 but no targets have been O range indicates that performance is less than 10% lower than the target set. The baseline data will be used to set future targets R ed indicates that performance is more than 10% lower than the target
122 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Table 15: RISA and SAASTA performance according to the NRF strategic goals (continued) s Actual Performance 2010/11 Summary Strategic Target goal Indicator description Performance Total Ratio 2010/11 Variance Rating OR urement s Support for students (continued) Proportion of students from designated groups 3rd year/4th year Black 228 425 54% 39% 15% supported Women 190 425 45% 47% (2%) BTech/Honours Black 2 043 2 718 75% 70% 5% Women 1 465 2 718 54% 50% 4% f ormance mea Master’s Black 1 925 3 566 54% 40% 14% p er
Women 1 799 3 566 50% 50% 0% | Doctoral Black 1 065 1 937 55% 40% 15% P I s Women 933 1 937 48% 50% (2%) K Postdoctoral Black 160 405 40% 35% 5% Women 169 405 42% 45% (3%) Growing a representative science and technology workforce (RISA & SAASTA internally) Proportion of RISA and SAASTA staff with postgraduate qualifications 99 272 36% 31% 5% Proportion of RISA and SAASTA staff enrolled Master’s 18 272 6,6% 6,0% 1% for higher degrees Doctoral 13 272 4,8% 1,5% 3% Proportion of staff complying with requirements for obtaining postgraduate qualifications during the 5 272 1,8% 0,1% 2% financial year Providing cutting-edge research, technology and innovation platforms Equipment support Proportion of RISA grant investment in research equipment (excluding scholarships) at Research 186 057 1 026 601 18% 10% 8% Institutions and National Research Facilities (R’000) RISA research information services and platforms Proportion of RISA expenses invested in RISA information services and platforms (R’000) 29 334 1 546 669 1,9% 1,5% 0,4% Requests received for the datasets of the South African Data Archive 429 500 (71) Requests received to Nexus Database System 191 610 168 800 22 810 Science Advancement platforms Proportion of Capex investment for Science Advancement through SAASTA (R’000) 548 768 71% 16% 55% No. of science advancement products Educator resources 10 10 – generated Learner resources 20 10 10 Technical manuals 12 8 4 Exhibits 16 2 14 Science promotion publications 16 20 (4) Operating world-class evaluation and grant-making systems Evaluation systems Average turnaround time (months) 8,3 8 0 Completion rate of applications for NRF rating per annum 519 520 99,8% 95% 5% Grant-making systems Standard turnaround time (months) – grant and scholarship applications 3 3 – Proportion of available grant funding disbursed (R’000) 1 325 037 1 639 279 81% 70% 11% Proportion of active researchers supported by NRF (ISI active ~ 3000) 2 927 3 000 98% 85% 13% Contributing to a vibrant national innovation system Proportion of contract to total income (R’000) 1 029 121 1 535 091 67% 60% 7% Proportion of operating expenditure to total expenditure (R’000) 107 396 1 546 669 7% 15% (8%) Proportion of remuneration to total expenditure (R’000) 94 185 1 546 669 6% 8% (2%) Proportion of RISA grant investment in international initiatives to total RISA grant expenditure (R’000) 66 809 1 026 601 7% 7% –
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 123 key performance measurements continued
Table 16: National Facilities performance according to the NRF strategic goals Actual Performance 2010/11 Summary Strategic Target goal Indicator description Performance Total Ratio 2010/11 Variance Rating OR Promoting internationally competitive research as basis for a knowledge economy Expected research outputs by National Research Facility researchers Peer-reviewed journal 220 180 40 articles (ISI and others) Publications with external 213 168 45 co-authors Books 5 1 4 Chapters in books 16 5 11 Full-length conference 61 79 (18) proceedings Research reports 109 103 6 Patents – 0 – Growing a representative science and technology workforce in South Africa (externally) Science Advancement Proportion of NRF investment in providing science advancement at National Research Facilities (R’000) 28 476 103 879 27% 4% 23% Interaction with learners (*2008/09 excludes NZG) No. of learners reached 197 646 250 000 (52 354) Interaction with educators No. of educators reached 6 135 3 691 (2 444) Interaction with public at large Visitors to facility science 627 171 656 533 (29 362) awareness platforms Community projects in collaboration with disadvantaged communities 33 14 19 Support to graduate students Experiential training: No. of students spending time at and participating in work of Facilities as part of 615 362 253 their formal training No. of research staff of Facilities providing short-term student training 71 76 (5) No. of students employed to undertake temporary research-related work 38 60 (22) No. of students involved in summer schools/practicals/vacation schools 240 207 33 Support to postgraduate students Postgraduate students making use of facilities for training 523 400 123 Students supervised by staff of Facilities: Honours/Btech 54 Master’s 138 Doctoral 80 Total 272 208 64 No. of research staff involved in supervision /co-supervision of Honours/Btech 33 postgraduate students Master’s 55 Doctoral 47 Total 110 71 39 No. of postgraduate schools linked to Facilities 32 6 26 No. of funded collaborations with institutions abroad 149 150 No. of students who complied with requirements for obtaining their postgraduate qualification during 54 42 12 the financial year
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Table 16: National Facilities performance according to the NRF strategic goals (continued) Actual Performance 2010/11 Summary Strategic Target goal Indicator description Performance Total Ratio 2010/11 Variance Rating OR f ormance mea Growing a representative science and technology workforce in South Africa ( NRF internally) p er Proportion of South African black staff members to total staff 630 948 66% 62% 4% |
Proportion of South African women staff members to total staff 303 948 32% 36% (4%) P I s K Proportion of staff with disabilities to total staff 8 948 1% 2% (1%) Proportion of South African black staff in three highest employment levels 35 179 20% 40% (20%) Proportion of South African women staff in three highest employment levels 27 179 15% 30% (15%) Proportion of researchers to total staff 101 948 11% 11% – Proportion of facility staff with postgraduate qualifications 216 948 23% 18% 5% Proportion of staff enrolled for higher degrees Master’s 28 948 3% 2% 1% Doctoral 16 948 1,7% 1,5% 0,2% Proportion of staff who complied with requirements for obtaining their Master’s 3 948 0,3% 0,5% (0,2%) postgraduate qualification during the financial year Doctoral 3 948 0,3% 0,5% (0,2%) No. of postdoctoral posts at Facilities 19 18 1 No. of staff spending time (3-12 months) as visiting fellows elsewhere 3 9 (6) No. of joint appointments co-sponsored by other Research Institutions 16 11 5 Providing cutting-edge research, technology and innovation platforms Proportion of investment in providing research platforms at National 367 497 673 668 55% 22% 33% Research Facilities (R’000) Science Advancement platforms Proportion of Capex investment in Science Advancement (R’000) 4 761 133 045 4% 16% (12%) Pilot indicators: No. of science advancement products generated Educator resources 31 15 16 Learner resources 30 17 13 Technical manuals 1 2 (1) Exhibits 28 14 14 Science promotion 32 14 18 publications Contributing to a vibrant national innovation system Proportion of contract to total income (*2008/09 excludes SKA) (R’000) 247 971 693 401 36% 50% (14%) Proportion of operating expenditure to total expenditure (R’000) 225 361 673 668 33% 36% (3%) Proportion of remuneration to total expenditure (R’000) 275 224 673 668 41% 53% (12%)
Ratings, as described in the legend below, are given at different levels: l Individual indicators are rated; and l Respective NRF objectives and Balance Scorecard perspectives are given an overall rating (OR)
LEGEND FOR RATING OF PERFORMANCE The following legend is applicable to the ratings: Green indicates that performance equals or exceeds the target Blue indicates that performance data was not available at the time of printing Sub-total of performance that is equal or had exceeded the target White indicates that baseline data were collected during 2010/11 but no targets have been O range indicates that performance is less than 10% lower than the target set. The baseline data will be used to set future targets R ed indicates that performance is more than 10% lower than the target
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 125 key performance measurements continued
Table 17: Sustainability performance indicators based on Global Reporting Initiative (GRI) Guidelines Baseline Strategic goal Indicator description 2010/11 Actuals ENVIRONMENTAL PERFORMANCE Actual EN4 Energy: Quantity of electricity used (Unit: kWh) 35 180 561 EN8 Water: Quantity of water used (Unit: ML) 339 583* EN14 Biodiversity: Does the business unit have a biodiversity impact reduction plan (Yes/ No) Yes, three of the National Research Facilities are specifically mandated with issues on biodiversity impact reduction and research. SOCIAL PERFORMANCE: Labour Practices and Decent Work Actual Total % Employment LA1 Total workforce by employment type, employment contract and region: Total permanent 1 179 1 220 97% Non-permanent 41 1 220 3% employees LA2 Proportion of full-time employees who leave the business unit for any reason – resignations AND dismissals AND retirements AND 126 1 220 10% medical boarded AND deaths in service – to the total full-time staff complement Labour/Management Relations LA4 Proportion of full-time employees who are union (any union) members to the total full-time staff complement 615 1 135 54% Occupational Health and Safety LA6 Proportion of full-time employees who participated in SHE committees to the total full-time staff complement 118 1 220 10% LA7 Number of fatalities in reporting period – Training and Education LA10 Proportion of expenditure on total training in the reporting period to the total salary expenditure in the same period (R’000) 7 301 391 727 2% LA12 Proportion of full-time staff members who had formal performance reviews, in terms of the Integrated Performance Management System 1 179 1 179 100% (IPMS) in the reporting period Diversity and Equal Opportunity LA13 Proportion of top and senior management team of business units who are: Women 4 28 14% Black 18 28 64% Male Female Ratio LA14 Ratio of the average cost to company of full-time male employees to the average cost to company salary of full-time female employees Only males in this category of the organisation – Top Management (Peromnes grades 1-2) (R) Ratio of the average cost to company of full-time male employees to the average cost to company salary of full-time female employees 859 934 959 151 0,90 of the organisation – Senior Management (Peromnes grades 3-4) (R) Ratio of the average cost to company of full-time male employees to the average cost to company salary of full-time female employees 550 832 527 101 1,05 of the organisation– Professionally qualified (Peromnes grades 5-6, and Scientists) (R) Ratio of the average cost to company of full-time male employees to the average cost to company salary of full-time female employees 284 096 252 678 1,12 of the organisation – Skilled Technical (Peromnes grades 7-12) (R) Ratio of the average cost to company of full-time male employees to the average cost to company salary of full-time female employees 103 608 105 382 0,98 of the organisation – Semi-skilled (Peromnes grades 13-14) (R) Ratio of the average cost to company of full-time male employees to the average cost to company salary of full-time female employees 112 039 90 506 1,24 of the organisation – Unskilled (Peromnes grades 15) (R)
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Table 17: Sustainability performance indicators based on Global Reporting Initiative (GRI) Guidelines (continued) Baseline Strategic goal Indicator description 2010/11 Actuals
SOCIAL PERFORMANCE: Society f ormance mea Corruption p er SO3 Proportion of full-time staff members who participated in a formal presentation concerning financial policy and the whistle-blowing hot The NRF has different |
line to the total number of full-time employees in the business unit communication channels per P I s facility on policy. Platforms such K as induction and presentations, are used for this purpose. ECONOMIC PERFORMANCE Actual Total % EC3 Proportion of post-retirement medical aid liability to total income 110 200 2 039 216 5% Proportion of business unit contributions towards retirement plans of its full-time employees to the total income for the period 27 088 2 039 216 1% EC4 Proportion of (government – DST and other) contract income to total income (R’000) 1 018 649 2 039 216 50% Proportion of (government – other) contract income to total income (R’000) 65 613 2 039 216 3% * Hartrao used ground water and is therefore not included in the figure for water consumption. Note: The SKA SA Project is not included in the GRI data and will be accounted for in the next reporting cycle.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 127 stakeholder perspective key result area: Figure 15: The South African science landscape fulfilling the mandate LevelLevel 1: 1: High-levelHigh-level policy policy of the nrf Government Advisory: CHE, NACI, ASSAf Level 2: Ministry Mandate of the NRF National According to Section 3 of the National DST DHET the dti DME DoH DAFF DWEA Treasury Research Foundation Act, Act No. 23 Other of 1998, the object of the NRF is to Departments promote and support research through Level 3: Agency funding, developing human resources and providing the necessary facilities NRF DC SANERI MRC WRC to facilitate the creation of knowledge, innovation and development in all fields TIA/BRICS SEDA of science and technology, including indigenous knowledge, and thereby to Level 4: Research and Innovation Performers contribute to improving the quality of life NRF HEIs SABS Mintek MRC ARC Weather Business of all the people of the Republic. Service Enterprise HSRC Council Oceans and The NRF response to the Geoscience Coasts mandate CSIR NECSA SANBI The mandate of the NRF, as provided by the NRF Act, has been interpreted and AISA The role played by the NRF as a Level translated into the NRF Vision, Mission 3 Agency, with some responsibility as and Strategic Plan: NRF Vision 2015. research performer in the National Facilities at Level 4 (Adapted from OECD, 2007). Vision The NRF has a vision of ensuring research excellence, a transformed technology and innovation platforms; functions are aligned with key national society and a sustainable environment. l Operate world-class evaluation and policies and imperatives that shape the grant-making systems; and NSI. Examples of alignment to major Mission statement l Contribute to a vibrant national system policies are described below. The mission of the NRF is to contribute of innovation. to the knowledge economy in South key result area: Africa by attaining at least 1% of global Position of the NRF in the NSI support for and R&D output by 2015. The NRF is mandated to fulfil a dual role implementation of in the NSI. Figure 15 above illustrates strategies within the The NRF Strategic Goals the system by depicting key role players nsi In the NRF strategic plan Vision 2015, distributed across four separate tiers. five strategic goals are identified for the Support for the National NRF namely to: The NRF not only fulfills the role of an Research and Development l Promote internationally competitive agency that implements policy, adding Strategy (NRDS) research as basis for a knowledge as much value as possible (through This strategy recognises the strengths economy; the RISA and SAASTA functions), but and weaknesses inherent in the NSI. l Grow a representative science and it also performs research and provides Much attention is paid to the ageing technology workforce in South Africa; research infrastructure through the cohort of researchers and the innovation l Provide cutting-edge research, National Research Facilities. Both chasm between a good research base
128 | NRF ANNUAL PERFORMANCE REPORT 2010/11 and economic development. In order Table 18: Breakdown of NRF funding per Centre of Excellence: 2008-2010 to address some of the issues raised 2010/11 2009/10 2008/09 within the NRDS, the NRF has specific Grant Awarded (NRF)
R’m R’m R’m sp ective programmes and initiatives. CoE in Birds as Keys to Biodiversity Conservation 5,6 2,9 2,2 CoE in Catalysis 6,9 6,6 6 Centres of Excellence CoE for Invasion Biology (CIB) 7,4 7,1 6,5 The R&D strategy plans to maximise CoE in Epidemiological Modelling and Analysis (SACEMA) 6 5,8 5,3 strengths and minimise weaknesses through a variety of initiatives, such as CoE in Strong Materials 10,2 9,8 8,9 CoE for Biomedical TB Research 7,3 7 6,4 the creation of “centres and networks s takeholder p er | of excellence” that will raise the bar on CoE in Tree Health Biotechnology 5,1 2,4 2,2 P I s existing excellence. In support of this, the TOTAL 48,5 41,6 37,5 K NRF manages the DST/NRF Centres of Excellence (CoEs) programme, which disburses almost R50m per annum into seven Centres. After six years of operation these Centres are receiving Figure 16: Total number of black postgraduate students supported outstanding reviews by independent through Centres of Excellence from 2004-2010 peers, confirming that the investment 300 has realised the objective of promoting excellent research outputs. Table 18 250 shows a detailed breakdown of NRF grant-funding to each Centre. 200 Between 2004 to 2010 the CoEs had a significant increase in the number of 150 postgraduate students with a total of 476 supported. The summary graphs, Figure 100 16 and Figure 17, show the growth trend of the previously disadvantaged groups. 50
Areas of geographic 0 2010/112010 2009/102009 2008/092008 2007/082007 2006/072006 2005/062005 2004/052004 advantage The R&D strategy also identified a number of research areas where South Africa has a geographic advantage that are to be exploited by the country’s Figure 17: Total number of female postgraduate students supported researchers. When the RISA grant through Centres of Excellence from 2004-2010 investment is mapped against the fields 250 of Astronomy, Human Paleoanthropology, Biodiversity, Antarctic Research and 200 Indigenous Knowledge, it is clear that considerable investment is made across these areas to a total amount of 150 approximately R324m. 100
50
0 2010/112010 2009/102009 2008/092008 2007/082007 2006/072006 2005/062005 2004/052004
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 129 stakeholder perspective continued
Support for the 10-Year Table 19: Percentage of RISA grant investment mapped against Grand Innovation Plan Challenges and cross-cutting enablers: 2009/10 and 2010/11 The DST’s 10-Year Innovation Plan, 2009/10 4% entitled “Towards a Knowledge-based Energy Security Economy” is based on the premise that 2010/11 3% a country’s economic growth is driven 2009/10 1% Space, Science and Technology by innovation, specifically technological 2010/11 3% innovation. 2009/10 1% Bio-economics To address the social and economic 2010/11 2% challenges it faces, South Africa needs to 2009/10 8% transform its resource-based economy Global Change 2010/11 8% into a knowledge-based economy that will result in technology innovation. This 2009/10 2% Human and Social Dynamics transformation of the economy requires 2010/11 3% three building blocks: 2009/10 21% l The generation of new knowledge, Human Capacity Development 2010/11 30% l By high-end, skilled human resources, and 2009/10 52% Institutional Environments for Knowledge Production l Support by a sophisticated research 2010/11 51% infrastructure to improve South Africa’s competitiveness. of the grants can be mapped against key result area: NRF two or more challenges and/or cross- strategic investments Grand Challenges cutters. The NRF receives income from Vote 31 The DST has identified five critical areas, of Parliament. This income is used at called Grand Challenges, which offer the Intellectual property its own discretion to fulfill its mandate potential to steer the “developmental The protection and exploitation of intellectual and vision. The NRF also receives state” towards a knowledge-based capital are key elements of the 10-Year contributions that are ring-fenced for economy. These challenges are: Innovation Plan strategy. The funding specific purposes. Finally, the NRF l Bio-economics; programmes directly managed by the manages a number of grant-funding l Space science and technology; NRF support the protection of knowledge programmes on behalf of a variety of l Energy security; through patenting. Table 20 indicates the government departments. These funding l Global change; and stage and number of protections that were programmes are managed via contracts l Human and social dynamics. registered during the 2010/11 period and in line with the mandate of the NRF. by researchers funded through RISA More detailed information on income The NRF has invested in these Grand discretionary funds (excluding all contract and investments is provided throughout Challenges and also devoted substantive funding programmes). the report. amounts of its budget to cross-cutting enablers: human capital development and enhancing the institutional environment for knowledge production. Table 20: Patent development stages (RISA-funded programmes, excluding all If the total RISA grant investment is contract funding programmes) taken and grants are mapped against the respective challenges and cross- Performance indicators 2010/11 2009/10 2008/09 cutters, we can obtain an indication of Complete patent application (including PCT application) 23 14 11 the trends with regard to this investment Provisional patent application 16 23 55 (Table 19). It should be noted that many Granted 8 12 14
130 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Table 21: Percentage of investment into the NRF strategic investment areas from NRF discretionary budget Contract Core Special Ring- Total
funding funding Allocation Fenced funding sp ective Investment area R’m % R’m % R’m % R’m % R’m % Established researchers 180 71 75 29 0 0 0 0 255 19 Human capital development and unrated researchers 115.5 33 134.6 38 99.9 29 0.2 0 350 26 Strategic knowledge fields 95 37 102 40 0 0 58 23 255 19 Strategic platforms (including research at the National Research Facilities) 123 51 6.3 3 110.7 45 0 0 240 18 International initiatives 7 9 6 8 0 0 61 82 74 6 s takeholder p er Research on community SET engagement 0 0 8 100 0 0 0 0 8 1 |
Applied and Industrial research and Innovation 151 100 0,4 0 0 0 0 0 151 11 P I s K Total investment 672 352 211 119 1 334 100
Strategic investment areas Figure 18: Percentage of investment into the five NRF strategic goals from the The NRF uses its discretionary budget NRF discretionary budget 2009/10 to 2010/11 (total discretionary budget) to boost areas of investment (identified 60 in the NRF Strategic Plan: Vision 2015) 57 that are not adequately supported by 50 49 contract funding. Table 21 lists the broad strategic investment areas of the 40 NRF and indicates the split between contract and discretionary funding for 30 32 each investment area. The low level of funding invested in community SET 20 22 engagement does not indicate its lack 13 13 of importance. On the contrary, by 10 recognising community engagement 4 6 in SET as a separate investment 1 1 0 area we highlight the importance of International Representative World-class Leading Vibrant Competitive Science and evaluation edge NSI understanding how best to engage the Science Technology and technology community in research. Workforce grant-making n 2010/11 n 2009/10 NRF investment into the strategic goals key result area: RISA expenditure on research grants. Within the greater context of the national performance against An increased number of research policies and imperatives described strategic goals grants were taken up by the Higher above, the NRF invests its discretionary Education Institutions (HEIs) with proof budget along the lines of its five strategic Strategic goal: Promoting of expenditure, indicative of improved goals (see Figure 18). It should be noted internationally competitive efficiencies in the system. that investment can be met against more research as basis for a than one strategic goal. knowledge economy Benchmarking By and large, the overall performance of internationally competitive the NRF and the research community research against the goal of “Promoting In order for the country to benchmark internationally competitive research as and fund internationally competitive basis for a knowledge economy” for the research, the NRF facilitates and 2010/11 financial year was satisfactory. manages the peer evaluation of the research outputs of South African RISA grant support researchers by national and international for research experts in the respective fields of Against the target of 80%, the NRF research. The peer review process leads expensed 86% (R1,3b) of the total to the eventual rating of researchers.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 131 stakeholder perspective continued
This process is one of the measures to Table 22: Number of peer-reviewed publications supported through RISA assure the international competitiveness discretionary funding. of South African research. 2010/11 2009/10 2008/09 Performance indicator Performance Performance Performance RISA-supported research Peer-reviewed articles (ISI and others) 3 935 2 753 5 354 outputs During 2010/11 the average Books 61 43 146 International Science Information Chapters in books 221 216 568 (ISI) publications per NRF-supported Patents 47 12 14 researcher reached 1,8 per researcher per annum. Table 23: Research outputs by National Research Facility Researchers 2010/11 2009/10 2008/09 Performance indicator The research outputs listed in annual Performance Performance Performance reports supplied by those researchers Journal articles (ISI and others) 220 181 180 who are supported through RISA Research reports (including technical and policy reports) 109 27 71 discretionary funding indicated that the total number of peer-reviewed Full-length conference proceedings 61 77 94 research articles published was 3 935. Chapters in books 16 11 17 This number is higher than the previous Books 5 1 1 financial year. Table 22 indicates a Patents 0 0 0 multi-year analysis of the number of peer-reviewed publications supported Research Facilities is an average of next generation of researchers, grants to through RISA discretionary funding. 220 ISI publications per annum. emerging researchers and established researchers, and support to research Research outputs from the Table 23 depicts how the National institutions. National Research Facilities Research Facilities performed in The National Research Facilities are generating research outputs. Human capital development mandated to conduct research and though SAASTA science they contribute to internationalising key result area: advancement activities South African research by producing performance against SAASTA is the institutional arm that internationally recognised research strategic goals facilitates the promotion of SET by outputs. At the National Research offering the public opportunities to Facilities, five books were published. The Strategic goal: Growing a engage with and appreciate the wonder 213 publications produced with external representative science and and application of science, thereby co-authors exceeded the target by 45. TECHNOLOGY WORKFORCE in addressing the divide between science Full-length conference proceedings South Africa and society. In its quest to attain its goal, were below the target of 79 at 61. The NRF places a premium on SAASTA engages and interacts with the ISI and other peer-reviewed articles developing appropriately skilled human public, learners and educators. exceeded the target of 180, as 220 resources. The NRF contributes to articles were produced. growing a representative science and In the financial year under review, the technology workforce by providing a NRF, through SAASTA, reached most Researchers at the National Research diversity of development and support of targets laid out by the four indicators Facilities were able to access 5% of the programmes. These programmes range (refer to Table 24 on the next page). competitive RISA investment in research from science awareness and education However, due to a lack of corporate grants to the total amount of R54m. programmes at schools level to bursary sponsorship, three science festivals The productivity of staff of the National and scholarships programmes for the had to be postponed or cancelled, and
132 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Table 24: Science outreach activities by SAASTA (2009/10 to 2010/11) graduate students. Below are specific supporting indicators to this effect: Performance 2010/11 2010/11 2010/11 2009/10 2008/09 Activities l The number of students who
measures/outputs Target Performance Variance Performance Performance sp ective participated in experiential training far Interaction Number of learners 305 000 420 467 115 467 226 198 322 546 exceeded the target of 362, as 615 with learners students participated in experiential Interaction Number of educators 11 000 15 151 4 151 12 345 10 536 with educators reached training (2009/10: 382). l The number of research staff who Number of visitors to 4 500 8 763 4 263 11 070 569 Interaction with science awareness provided short-term student training
was five short of the target on 76 s takeholder p er public at large Participation in | 220 000 57 450 (162 550) 140 807 260 389 science festivals (2009/10: 86). P I s
l The number of students involved in K summer schools/practicals/vacation SAASTA managed to reach only 57 450 its total resources. schools was 240, 33 more than the people which is below the target of 2010/11 target. 220 000. Human capital development: RISA support for the next The National Research Facilities also Human capital development generation of researchers provided support to postgraduate through the science It is pleasing to note that targets for students. Indicators to this effect reveal advancement platforms students supported through RISA for the following: of the National Research the next generation of researchers l An increased number of research staff Facilities through scholarships and bursaries at the National Research Facilities The National Research Facilities use were all exceeded (refer to Table 25 were involved in supervision or co- their research infrastructure platforms below). This is largely due to R205,4m supervision of postgraduate students: to reach learners and the public. The additional funding from the DST which 33 supervised 40 Honours and NRF invested R28,5m (27% of its was received late in the financial BTech students; 38 supervised 93 total investment) to provide science year. Part of these funds (R52,5m) Master’s students; and 32 supervised advancement platforms at the National was allocated to GMSA and HICD 61 doctoral students. A total of 194 Research Facilities. directorates, where R19,5m was used to students were supervised and 54 increase the bursary values for Honours, complied with the requirements for The National Research Facilities reached Master’s and Doctoral degrees. R5,6m obtaining a postgraduate qualification. 197 464 learners, which is short of the was used for needs-based top-ups l Postgraduate students making use target by 52 354. This is mainly due to existing bursaries and R27,4m was of Facilities for training were 523 to schools being closed during the allocated to new freestanding bursaries (2009/10: 446) well above the target time of the FIFA Soccer World Cup. for 2010/11. The full amount of R52,5m of 400. This performance can be With regard to the National Research was either claimed or expensed. attributed to a once-off VLBI training Facility programmes for educators, school at HartRAO and additional 6 135 educators were reached, which Human capital development: students participating via the is almost double the number targeted. student support by National MEDRAD and Radiation Biophysics This good performance is attributed Research Facilities programme at iThemba LABS. to the introduction of a new teacher The National Research Facilities tracking mechanism at the NZG and performed well in their support of schools focusing more on an increasing interest in science. Of the general public, Table 25: RISA’s support for the next generation of researchers through 627 171 people visited the science bursaries and scholarships (excluding THRIP and CoEs) awareness platforms of the Facilities. 2010/11 2010/11 2010/11 2009/10 Level supported Targeted Number Number Supported Target exceeded Performance Human capital development 3rd /4th year 200 425 225 286 through granting BTech/Hons 1 400 2 718 1 318 1 663 The NRF invested R1,3bn in research Master’s 2 230 3 566 1 336 2 203 grants (including bursaries and Doctoral 1 220 1 973 753 1 265 scholarships), which constitutes 86% of Postdoctoral 210 405 195 255
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 133 stakeholder perspective continued
Figure 19: RISA support for designated groups (29%) are black and 991 (34%) are 1000 100010001000 1000 women. 991 l Of the number of rated researchers (2 285), 1 067 are from designated 800 800800800839 844 800 groups – 433 (19%) are black and 634 (28%) are women. 600 600600600 625 600 634 578 In striving to achieve the NRF strategic goals, one of the major hurdles has been 400 400400400 400 433 367 the issue of transformation and delivery of quality researcher outputs. The NRF 200 200200200 200 has taken major strides in addressing this challenge by putting in place measures to ensure that there is greater uptake of 0 0 0 0 0 Black Women BlackBlackBlackBlack WomenWomenWomenWomen BlackBlackBlackBlack WomenWomenWomen Blackgrants by the previouslyWomen disadvantaged Number of grantholders in NumberNumber ofNumber ratedNumber of researchersgrantholders of grantholders of grantholders in in in in NumberNumberNumberNumber of rated of ofrated of researchersgrantholders rated researchers researchers in in in in Numbergroups of rated as illustrated researchers in in Figure 19 left. designated groups designateddesignateddesignateddesignated groups groups groups groups designateddesignateddesignated groups groups groups designated groups This is an ongoing process for the NRF. n 2010/11 n 2009/10
Human capital development: improving transformation and quality key result area: emerging and established research in South Africa. This is performance against researchers evidenced by the growth and increase in strategic goal The overall performance against the women and black researchers supported goal of “Growing a representative through the RISA grantholder support. STRATEGIC GOAL: PROVIDING science and technology workforce in The NRF has exceeded its target for this CUTTING-EDGE RESEARCH, South Africa” in the financial year under outcome in the 2010/11 financial year. TECHNOLOGY AND INNOVATION review was fairly good. PLATFORMS l The NRF supported 2 927 (2009/10: Much work still needs to be done in 2 442) grantholders, representing order to grow a representative science Investment into 98% of the approximately 3 000 ISI- and technology workforce. research infrastructure active researchers. l The number of researchers supported South Africa is an international role player l The NRF ensures that South by NRF was 2 927 of which 839 in strategically important research areas African research is benchmarked through the National Research Facilities’ internationally and 2 285 (2009/10: Table 26: RISA student support 2 142) of its grantholders have an NRF rating, which means that their 2010/11 2009/10 research outputs had been peer- Description Performance Performance Black 228 217 reviewed and ranked. 3rd year/4th year l Some 4 493 grants were expensed to Women 190 161 the value of R1b (2009/10: R821m). Black 2 043 1 216 B Tech Honours l The total PhDs registered in South Women 1 465 980 Africa is 9 992. Of these 1 973 are Proportion of students from Black 1 925 1 166 Master’s NRF-funded PhDs. designated groups supported Women 1 799 1 149 Black 1 065 661 Doctoral Demographics in science and Women 933 645 technology workforce Black 160 105 Postdoctoral The NRF has been actively involved in Women 169 122
134 | NRF ANNUAL PERFORMANCE REPORT 2010/11 ability to avail and provide state-of-the-art only completed after the signing of the The National research infrastructure. The overall NRF Shareholder’s Compact. Research Facilities performance for this goal was excellent In alignment to the science missions with all Key Performance Indicators In addition, the NRF invested 10% identified in the National Research sp ective exceeding targets. (R186m) (2009/10: 12% and R101,9m) and Development Strategy (NRDS) of from the RISA grant budget (excluding August 2002, the National Research The National Research Facilities spent scholarships) on providing research Facilities are clustered into three broad 55% (R367m) (2009/10: 43%) of their equipment at the National Research categories, according to their areas of total investment of R673m (2009/10: Facilities and other research institutions. specialisation, namely: l R360m) on providing research This performance is 8% above the target Astro/Space/Geosciences; s takeholder p er | platforms. This is 33% above the target of 10% set for 2010/11. l Biodiversity/Conservation/ P I s set for 2010/11. Environment; and K Of the additional R255m received l Nuclear Sciences. It should be noted that the significant from the DST later in the financial year, variance between the target of 22% and R50m was spent on upgrading research For more information on the National performance of 55% (2010/11) is a result platforms at the National Research Research Facilities, please refer to page of an audit finding from the previous cycle. Facilities. 46 in the Annual Performance Report. The calculation of the KPI was incorrect and had to be redefined. The target could not be changed to be in line with the newly defined KPI as the modification was
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 135 stakeholder perspective continued
RISA infrastructure and the e-Resources subscriptions in support and Human Health – http://wdc. equipment provision of the NSI request for bibliometrics and qsens.net/ The NRF, through RISA, serves as a central scientometrics in the peer review process. – Heritage Repository (Carnegie node for infrastructure and data provision Project) – http://digi.nrf.ac.za/; and in the National Research Information The data and information provided by l Support collaboration platforms Management Systems (RIMS) project, RISA to the research community are between professionals, researchers and which currently involves all National intended to: the diaspora through the South African Research Facilities, seven universities and l Promote and facilitate the production Network of Skills Abroad (SANSA). nine Science Councils. RIMS is intended to of knowledge through subscription provide access to accurate and up-to-date databases such as the South African Figure 20 shows an increase of information on research inputs and outputs. Information Network (SABINET) 28 485 searches for 2010/2011 Information and reports collected from the Online; the Current and Completed when compared to the same period of RIMS system will enable government to Research Database within the Nexus 2009/2010. formulate policies that will drive the NSI. Database; l Promote data sharing and repurposing key result area: From the total RISA expenses, 1% through the Uniform Resource Locators performance against (R14m) was invested in RISA information (URLs) of Information Resources and strategic goals services and databases. Services (IRS) databases and portals such as the: Strategic goal: Operating RISA research information – Current and Completed Research world-class evaluation and infrastructure Projects – http://www.nrf.ac.za/ grant-making systems As a national resource, the NRF takes nexus An important component of many of responsibility for obtaining and sharing – National Electronic Theses and the activities within the NRF, especially data that is of importance within the NSI. Dissertations Portal – http://www. RISA, but also to a degree of the The NRF maintains various databases netd.ac.za/ National Research Facilities, is the that are published on the Internet at – South African Data Archive – http:// need to operate effective and efficient http://www.nrf.ac.za/nexus. Access to all sada.nrf.ac.za/ evaluation and grant-making processes. these databases is administered through – World Data Centre for Biodiversity The overall NRF performance for this goal was good.
Figure 20: Comparison of access of the Nexus Database System: It took the NRF 8,3 months to complete 2007/08 – 2010/11 the evaluation and rating process. 200 The ideal is to complete this work in 191 610 eight months. The completion rate 183 256 of applications for rating per annum 163 125 164 235 150 (measured annually) exceeded the target by 5% – the NRF had expected to complete 95% of applications during the financial year under review. However, 100 99,8% of applications were completed.
Evaluating and rating system 50 The evaluation and rating of the outputs of individual researchers remain a key activity. The system was exposed to a 0 rigorous review in 2008/09 that was 2010/11 2009/10 2008/09 2007/08
136 | NRF ANNUAL PERFORMANCE REPORT 2010/11 co-convened by Higher Education Table 28: Demographic breakdown of rated researchers South Africa (HESA) and the NRF. The 2010/11 2009/10 2008/09 findings of the review (http://evaluation. Number % of Total Number % of Total Number % of Total nrf.ac.za/Content/Documents/ Black 433 19 367 17 316 16 rsc_findings_recom.pdf) included the Women 634 28 578 27 499 26 following points: l The rating system should be retained that the number of rated researchers use of external expertise from academia, and its focus on research excellence increased by 6%. The increase was industry and government to guide sharpened; across all rating categories, which is internal policy and decision-making. l The NRF should take full responsibility encouraging. Several Advisory Panels or Boards for disseminating accurate information provided scientific guidance to the about how the NRF rating system The number of rated researchers who National Research Facilities and funding works; received funding from the NRF in programmes. The input of external peer l Funding should be directly linked to 2010/11 amounts to 1 716. The Rated reviewers formed the backbone of the rating; Researchers Incentive Funding (RRIF) decision-making processes in RISA and l The NRF, in consultation with its programme received additional funding to the National Research Facilities. stakeholders, should address the fund all rated researchers in the 2010/11 criticisms regarding various aspects financial year. Of the 2 285 rated Sound and auditable business of the rating system, such as rating researchers, 75% accepted invitations procedures and processes, in line with categories, simplification of processes, for funding – a figure significantly higher international best practice, have been transparency, feedback, and so forth; than the 44% of rated researchers adopted to ensure the implementation of l The NRF and HESA should lobby for funded in 2009/10. The demographic these decisions. For example, assessors sufficient levels of funding to sustain breakdown of rated researchers shows attended panel meetings to ensure the rating system; and a small but encouraging growth among consistency when applying evaluation l The DST, Department of Higher designated groups (Table 28). and decision-making tools across Education and Training (DHET), research fields. HESA and the NRF should interact key result area: to align the recognition and reward of performance against Performance information monitors the research outputs. strategic goals impact of internal policies, especially funding decisions. Amendments are In line with the above recommendations, Strategic goal: Contributing made if trends are detected that may not the NRF has retained and sought to to a vibrant nSI be to the benefit of the NSI. strengthen the rating system. The NRF This strategic goal is by definition a evaluation and rating of the ouputs of cross-cutting goal and therefore all For their decision-making processes, individual researchers are designed performance is relevant to this goal. The SAASTA used external expertise as to encourage quality improvement by overall performance against the goal follows: continuously benchmarking (every five of “Contributing to a vibrant national l Panel members on funding proposals to six years) research outputs against innovation system” was good. Out of for all open calls issued, especially on international standards. Table 27 shows seven indicators, four of the indicators national programmes such as Public exceeded target. This performance Understanding of Biotechnology Table 27: Number of rated can be improved by investing in ICT for (PUB), National Science Week and researchers in all disciplines NRF purposes, more research projects Science Platform Months; as at 30 March 2011 in the Social Sciences and Humanities l Examiners and moderators for the and, most importantly, research projects National Science Olympiad; and Rating 2010/11 2009/10 2008/07 aligned with current strategies such l Content advisors for specific science A 85 85 77 as the 10-Year Innovation Plan (Grand and education publications. B 502 474 443 Challenges) and emerging knowledge C 1 308 1 209 1 070 fields. Key result area: P 16 17 16 Compliance to Y 324 296 256 Key result area: Quality standards L 50 61 60 of decision-making The first carbon footprint study to Total 2 285 2 142 1 922 All business divisions of the NRF make calculate the greenhouse gas (GHG)
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 137 stakeholder perspective continued
Table 29: NRF’s Greenhouse Gas (GHG) Emissions efficiency actions across the rest of
(April 2009 – March 2010) in tonnes (CO2e is CO2 equivalent). the organisation. Other direct Total % of Facility Scope 1 emissions Scope 2 Scope 3 CO e Total The adherence of the National Research 2 Facilities’ to quality is apparent from the SAIAB 22,3 4,16 172,4 130,34 329,21 0,74% following listed examples. SAEON 1,83 0 23,03 31,54 56,41 0,13% SAAO 103,65 0 1 473 249,77 1 826,77 4,08% Hartebeesthoek Radio RISA 4,53 3,62 836,46 1 588,3 2432,9 5,44% Astronomy Observatory iTHEMBA LABS 903,45 90,5 28 994,85 1 120,89 31 109,69 69,51% This entity is acknowledged HMO 22,5 0 190,55 1 38,63 351,68 0,79% internationally and complies to HartRAO 140,76 0 866,06 131,61 1 138,43 2,54% standards: NZG 135,94 0 4 805,60 2 567,83 7 509,37 16,78% l Very Long Baseline Interferometry Totals 1 334,96 98,28 37 361,95 5 958,91 44 754,46 100% (VLBI) data is validated by the Percentage 2,98% 0,22% 83,48% 13,31% 100% International VLBI Service; l GPS (Global Positioning System) data emissions of the NRF was conducted accounted for the majority of these is transmitted to the International GPS during the 2010/11 financial year using emissions (83,48% total measured Service; and baseline data collected from the period emissions). l Satellite Laser Ranging (SLR) is April 2009 to March 2010. Studies benchmarked against the International are currently under way to analyse the iThemba LABS made the largest Laser Ranging System. 2010/11 data for carbon footprint. contribution (69,51%) by far to total Efforts to improve the processes of data measured emissions. This was mainly due Hermanus Magnetic collection and analysis are ongoing. to their very high electricity consumption. Observatory l Is an INTERMAGNET (INTERnational The summary results are shown in Table The next largest contributor was NZG MAGnetic observatory NETwork)- 29 below. The results were measured in with 16,78% of total emissions, with accredited observatory; terms of different scopes as per the GHG electricity and waste being NZG’s higher l Has obtained Armscor registration; and Protocol, and definitions are given below: contributors. l Has received South African Civil l Scope 1 emissions are direct Aviation Authority (SACAA) recognition emissions (i.e emissions from fuels Electricity (83,48%), Employee for adherence to specified standards burned by organisation-owned Commute (4,51%), Waste (4,07%) and practices. stationary and mobile sources); and Business Travel (3,69%) were l Scope 2 emissions are a result of responsible for 95,75% of all emissions iThemba Laboratory for indirect emissions from purchased measured. Accelerated Based Sciences electricity used on site; and l Subscribes to the international l Scope 3 emissions are indirect During 2011/12 NRF will: standards for Radiation Protection, emissions from other sources l Set emission reduction targets for which are adopted by the National (reporting on Scope 3 is optional). both absolute emissions and intensity Nuclear Regulator; and emissions; l Has embarked on International For the period April 2009 to March l Conduct energy-efficiency audits, Standardisation Organisation (ISO) 2010 the NRF operations were found to prioritising both iThemba LABS and certification through its Total Quality Management Programme. have a total of 44 754,46 tonnes CO2e. the NZG and implement energy reduction actions based on the findings of the audits; and Emissions from electricity usage l Roll out energy (mainly electricity)
138 | NRF ANNUAL PERFORMANCE REPORT 2010/11 The South African Institute according to South African Bureau of National Zoological for Aquatic Biodiversity Standards (SABS). Gardens l Complies with the standards of the l The NZG is an accredited member Water Research Commission; and The South African of Pan African Association of Zoos sp ective l Has built its wet-collection facility Environmental and Aquaria (PAAZAB) and holds a to the highest international Observation Network current gold rating for environmental standards after a rigorous process l Is developing its information management by the Heritage of benchmarking the design against management system to be South Environmental Rating Programme; and various recently constructed wet- African Spatial Metadata Standard l NZG is accredited (by the Gauteng
collection facilities in Western Europe (SANS 1878)-compliant. Department of Agriculture & Rural s takeholder p er | and North America. The design was Development) as a wildlife quarantine P I s
approved for volatile liquid storage facility. K
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 139 financial perspective
Key result area: Income programmes and projects. During the Table 31: Expenditure per business and expenditure financial year under review, the following unit (including THRIP) amounts were allocated by the DST Income and the resultant expenditure 2010/11 2009/10 increased significantly due to: and other entities to enable the NRF to R’000 R’000 l achieve its objectives: Monies received from DST for bursary RISA (incl. Corporate 1 470 388 1 103 766 top-ups (R52,7m); and and THRIP) l The “emergency” injection from DST The 5,9% overall increase in the NRF’s iThemba LABS 160 143 152 355 to deal with, inter alia, expansion of parliamentary grant received from the SAAO 63 638 53 564 DST is attributed to an inflationary bursary support for Honours, Master’s, HartRAO 18 746 16 083 adjustment. The NRF also received Doctoral and Postdoctoral fellowships, SAIAB 27 438 24 576 additional funding of R1 018m support for women and young HMO 20 048 18 033 (2010: R0,558m) from the DST for researchers, ageing infrastructure and SAASTA 58 489 47 685 designated projects/programmes. (See bandwidth connectivity within the NSI NZG 102 495 90 946 (R255m). Figure 21 below). SAEON 20 127 16 770 . SKA SA 154 346 78 687 Cash holdings at the end of the year Expenditure Total expenditure 2 095 858 1 602 465 decreased significantly as more grants Within RISA and other business units, were awarded and deposits made, the increase in expenditure is relative resulting in an increased flow of funds to the additional income received for to HEIs. designated projects.
Income Figure 21: NRF Income trend Table 30: Total income per business unit (including THRIP) 2010/11 2009/10 R’000 R’000 RISA (incl. Corporate 1 540 081 1 122 054 and THRIP) iThemba LABS 160 054 142 082 SAAO 62 219 50 221 HartRAO 22 643 20 652 SAIAB 22 856 26 716 HMO 17 429 15 497 n Other income n Designated income n Parliamentary grant SAASTA 57 314 46 647 SAEON 22 994 18 029 NZG 90 200 82 084 SKA SA 189 670 177 108 Total 2 185 460 1 701 090
The NRF’s total income, including THRIP of R 148,4 million (2010: R 164,5 million), increased from R1 701 million in 2010 to R2 185 million in 2011. The increase of 28% in total income is directly attributable to additional funding received from the DST for designated
140 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Grant Expenditure as a percentage of grant expenditure. Within RISA and Corporate, there was There was also a decrease of 2% in an increase of 37% in grant expenditure programme and operating expenditure in 2011, compared to 2010, with a as a percentage of grant expenditure sp ective 2% decrease in salary expenditure (Refer to Figure 22).
Figure 22: RISA grant expenditure Figure 24: Remuneration ratios: of total expenditure; of total income;
(R’000) as percentage of total expenditure excluding grants f inancial p er | 1 400 60
37% P I s 1 200 K 53 50 52 52 1 000 48 49
800 40 600 30 400
200 23 22 20 21 21 20 20 19 19 18 18 0 RISA 2010 RISA 2011 10 n Grants and bursaries n Salaries (% of grants) 0 n Programme and operating Remuneration as % Remuneration as % Remuneration as expenditure (% of grants) of total expenditure of total income % of expenditure (excluding research grants) n 2011 n 2010 n 2009 n 2008 n 2007
Figure 23: NRF total expenditure split Figure 25: Ratio of programme and operating expenditure (OPEX) to total expenditure (%) 25
22 22 20 21 19 15 17
10
5
0 2011 2010 2009 2008 2007
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 141 financial perspective continued
Table 32: Nrf five year financial review as at 31 March 2011 2011 2010 2009 2008 2007 Financial indicators R’000 R’000 R’000 R’000 R’000 Income and expenditure Parliamentary grant 761 766 719 290 715 388 685 999 615 471 Designated income 1 266 284 835 849 699 665 453 318 316 579 Other income 157 410 145 951 168 699 86 697 84 276 Total income 2 185 460 1 701 090 1 583 752 1 226 014 1 016 326 Grants and bursaries 1 350 302 955 708 906 915 646 484 525 021 Programme, operating and other expenditure 353 481 309 552 312 363 257 858 210 017 Employees’ remuneration 392 075 337 205 290 596 245 296 223 746 Total expenditure 2 095 858 1 602 465 1 509 874 1 149 638 958 784 Statement of financial position Current assets 1 384 620 1 643 146 1 086 025 805 112 498 578 Current liabilities 1 209 362 1 483 908 936 995 707 957 460 677 Total assets 1 930 206 2 112 721 1 451 723 1 094 117 766 044 Cash flow Cash flows from operating activities (409 690) 693 673 404 373 194 124 217 789 Cash flows from investing activities (118 426) (141 678) (110 133) (57 963) (62 375) Cash flows from financing activities (1 036) 991 (486) (130) 2 636 Cash and cash equivalents at beginning of year 1 368 219 815 233 521 479 385 448 227 398 Cash and cash equivalents at end of year 839 067 1 368 219 815 233 521 479 385 448 Ratio analysis Parliamentary grant to total income 35% 42% 45% 56% 61% Designated income to total income 58% 49% 44% 37% 31% Other income (including interest and trading 7% 9% 11% 7% 8% income) to total income Remuneration as % of total expenditure 19% 21% 19% 21% 23% Remuneration as % of total income 18% 20% 18% 20% 22% Remuneration as % of expenditure (excluding 53% 52% 48% 49% 52% Research grants) Programme and operating expenditure as 17% 19% 21% 22% 22% percentage of total expenditure Research grant expenditure as percentage of total 62% 56% 57% 53% 52% income Research grant expenditure as percentage total 64% 60% 60% 56% 55% expenditure Current ratio (current assets divided by current 1,14 1,11 1,16 1,14 1,08 liabilities) Number of permanent employees 1 220 1 222 1 207 1 167 1 141 Number of interns 424 167 * The above figures include thrip while the afs excludes this programme as control thereof vests in the dti.
142 | NRF ANNUAL PERFORMANCE REPORT 2010/11 organisational perspective sp ective
Key result area: Best The NRF “Living the Values” workshops, l Human Capital Development; practices: business which are aimed at facilitating a common l Generating and promoting
understanding of practices of the values internationally competitive research; f inancial p er
processes and | procedures of the organisation among all employees, and l P I s A new improved Human Resources were continued in this reporting period, Providing research infrastructure. K (HR) system was implemented. This bringing the total number of employees new system will ensure a much more who went through this workshop to The NRF has embarked on a project to integrated payroll and HR interface and 1 055. replace NRF online with NRF online MK2 enable the organisation to comply with system, which is an improved system with the reporting requirements imposed by The NRF has aligned itself with the better capabilities. This database will changes in legislation. relevant government policies through its be available and accessible within the strategic goals which include: 2011/12 financial year.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 143 organisational learning and growth perspective key result area: Table 32: Proportion of research staff per business division Suitably qualified staff Number of % Researchers Researchers Total staff to Total Staff Research staff 2008/2009 0 233 0% Competitiveness of an organisation is RISA 2009/2010 0 226 0% largely determined by the availability 2010/2011 0 231 0% of suitably qualified staff. Especially in 2008/2009 0 35 0% the performing Science Councils, the number of researchers to total staff SAASTA 2009/2010 0 38 0% gives an indication of staff efficiencies 2010/2011 0 41 0% and effectiveness. It should be noted, 2008/2009 20 114 18% however, that the work at RISA and SAAO 2009/2010 23 111 21% SAASTA is not research-intensive and 2010/2011 23 116 20% therefore require a skills set different to 2008/2009 6 50 12% that required by a research-performing HartRAO 2009/2010 11 43 26% Science Council or a National Research 2010/2011 10 44 23% Facility. 2008/2009 10 33 30% HMO 2009/2010 11 34 32% Table 32 provides an analysis of, and 2010/2011 10 32 31% records a year-on-year change in, the 2008/2009 7 59 12% proportion of research staff by NRF SAIAB business division/National Research 2009/2010 8 47 17% Facility. 2010/2011 8 40 20% 2008/2009 0 7 0% Staff qualifications SAEON 2009/2010 0 9 0% Table 33 on the next page gives an 2010/2011 15 32 47% indication of the trends in the NRF 2008/2009 49 292 17% staff profile in terms of qualification per iThemba LABS 2009/2010 33 276 12% business division for the period from 2010/2011 25 272 9% 2006/07 to 2010/11. 2008/2009 0 329 0% NZG 2009/2010 5 315 2% 2010/2011 7 317 2% 2008/2009 0 41 0% SKA SA 2009/2010 – – – 2010/2011 3 95 3% 2008/2009 92 938 10% National Research Facilities Total 2009/2010 91 1 099 8% 2010/2011 101 948 10,6% 2008/2009 92 1 207 7,62% Overall Total 2009/2010 91 1 140 7,98% 2010/2011 101 1 220 8%
144 | NRF ANNUAL PERFORMANCE REPORT 2010/11 key result area: proportion of researchers to total number of staff
Table 33: Trends in staff profile in terms of qualifications sp ective Facilities PhD % Enrolled PhD % Master’s % Enrolled Master’s % 2006/07 92 1 141 8,06% 17 1 141 1,49% 38 1 141 3,33% 12 1 141 1,05% 2007/08 92 1 167 7,88% 12 1 167 1,03% 35 1 167 3,00% 12 1 167 1,03% 2008/09 102 1 207 8,45% 11 1 207 0,91% 50 1 207 4,14% 9 1 207 0,75% 2009/10 98 1 140 8,60% 17 1 140 1,49% 53 1 140 4,65% 23 1 140 2,02% 2010/11 115 1 220 9,43% 15 1 220 1,23% 82 1 220 6,72% 23 1 220 1,89% RISA and SAASTA 2006/07 17 1 141 1,49% 7 1 141 0,61% 37 1 141 3,24% 6 1 141 0,53% 2007/08 17 1 167 1,46% 7 1 167 0,60% 44 1 167 3,77% 18 1 167 1,54% 2008/09 23 1 207 1,91% 4 1 207 0,33% 59 1 207 4,89% 18 1 207 1,49% 2009/10 25 1 140 2,19% 4 1 140 0,35% 45 1 140 3,95% 19 1 140 1,67% 2010/11 24 1 220 1,97% 13 1 220 1,07% 57 1 220 4,67% 19 1 220 1,56% learnings ational and growth p er organi | P I s K
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 145 human resources and transformation
Employment equity on the NRF values, leadership and representation of people with disabilities. and organisational management. The results of the survey transformation will be used to bear influence on Race and gender profile Employment Equity committees across organisational development initiatives Table 34 indicates the employment level business divisions are being maintained in the next business planning cycle of NRF staff in terms of race and gender and improved on an ongoing basis. (2011/12). The NRF Code of Ethics as at 31 March 2011. The RISA committee has been re- incorporate the organisational values. established and at iThemba LABS and Figure 26 on the next page shows SAIAB, the committees are operating Progress towards achieving our long- the trends in NRF staff gender effectively. The establishment of an term employment equity targets representation by level of employment NRF-wide committee comprising continues at a steady rate. The overall between 2007/08 and 2010/11. chairpersons of the local committees is representation of designated groups under way. The committees are intended stands at 68%, slightly below our Figure 27 on the next page provides to work in partnership with management target of 70%. Female representation an indication of the trends in NRF staff to ensure that transformation and equity decreased slightly from 40,2% year-on- representation in terms of designated goals are met. year and at 39,7% it is marginally below and non-designated groups by level of the target (40%). Key challenges remain employment between 2007/08 and An employee survey was undertaken gender representation at executive 2010/11. to determine views and perceptions and senior management levels and
Table 34: The employment level of NRF staff by race and gender as at 31 March 2011 Occupational Level Designated Non-Designated Foreign Male Female Nationals White Group Grand Total Non- African Coloured Indian Total African Coloured Indian White Total Men Male Female Designated Total Top Management 2 0 2 4 0 0 0 0 0 1 0 0 1 5 Senior management 6 2 2 10 2 1 1 0 4 7 2 0 9 23 Professionally Qualified and Experienced 23 8 5 36 10 5 6 25 46 99 22 9 130 212 Specialist and Mid-management Skilled technical and academically qualified workers, junior management, 131 81 5 217 143 58 12 95 378 96 6 4 106 701 supervisors, foremen and superintendents
NRF Overall Performance Semi-skilled and discretionary decision- 158 13 0 171 59 14 2 2 77 7 0 0 7 255 making Unskilled and defined decision-making 8 9 0 17 18 15 0 1 34 2 0 0 2 53 Total Permanent 328 113 14 455 232 93 21 123 469 212 30 13 255 1 179 Non-Permanent Employees 18 1 1 20 7 4 0 4 15 6 0 0 6 41 Grand Total 346 114 15 475 239 97 21 127 484 218 30 13 261 1 220
146 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Figure 26: Trends in NRF staff gender representation by level of employment (2007/08 – 2010/11) 1400 sp ective 1200
1000
800 f mration p er o s 600
400 s and tran 200 ource
0 s Male Female Male Female Male Female Male Female Male Female Male Female Total staff Top and Senior Professional and Semi-skilled Unskilled Non-permanent Total including Management Academically foreign qualified nationals ohuman re
2010/11 2009/10 2008/09 2007/08 | P I s K Figure 27: Trends in NRF staff representation in terms of designated and non-designated groups by level of employment (2007/08 to 2010/11) 1400
1200
1000
800
600
400
200
0 Desig- Non- Desig- Non- Desig- Non- Desig- Non- Desig- Non- Desig- Non- Total nated Desig- nated Desig- nated Desig- nated Desig- nated Desig- nated Desig- staff nated nated nated nated nated nated including Top and Senior Professional and Semi-skilled Unskilled Non-permanent Total foreign Management Academically nationals qualified 2010/11 2009/10 2008/09 2007/08
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 147 human resources and transformation continued
Figure 28: Trends in the employment of people with disabilities 16 16
14 14
12 12
10 10
8 8
6 6
4 4
2 2
0 0 2002010/111 5/00/1 01 6 2 2000 2009/106/09/1 7 200 2009 7/2008/09088/0 200 2002007/088/008 7/ 9 200 2006/072007 9/16/0 0200 22005/066 010/15/0 1200
People with disabilities Figure 28 above indicates the trend in employment of people with disabiltiies.
While the 2010/11 numbers are below the target set, the trend nevertheless shows the commitment of the organisation towards correcting the situation.
148 | NRF ANNUAL PERFORMANCE REPORT 2010/11 s lication publications b S: p u relativistic explosion. Astrophysical Journal, Geophysicae, 28(9), p. 1703-1722. GOAL: 725(1), p. 922-930. Soderberg AM, Chakraborti S, Pignata G, iThemba LABS ACILITIE Promoting Bietenholz M et al. 2010. A relativistic Type Aamodt K, Abel N, Abeysekara U, Abrahantas Ibc supernova without a detected γ-ray Quintana A, Buthelezi E, Förtsch S, Steyn internationally burst. Nature, 463(7280), p. 513-515. G, Vilakazi Z et al. 2010. First proton-proton EARCH F
collisions at the LHC as observed with S competitive Hermanus Magnetic the ALICE detector: Measurement of the Observatory charged-particle pseudorapidity density at research Cilliers P, Ngwira CM, McKinnell L-A. 2010. √s = 900 GeV. European Physical Journal GPS phase scintillation observed over a C, 65(1-2), p. 111-125.
high-latitude Antarctic station during solar Aamodt K, Abel N, Abeysekara U, Abrahantas RE n ATIONAL minimum. Journal of Atmospheric and Solar- Quintana A, Buthelezi E, Förtsch S, Steyn Terrestrial Physics, 72(9-10), p. 718-725. G, Vilakazi Z et al. 2010. Alignment of the Hartebeesthoek Radio ALICE inner tracking system with cosmic- Astronomy Observatory Collier A, Avila EE, Burgesser R, Castellano ray tracks. Journal of Instrumentation, 5(3), Bietenholz M, Bartel N, Milisavljevic D, Fesen N. 2010. Correlations between deep p. 03003-1-03003-36. RA, Challis P, Kirshner RP. 2010. The first convection and lightning activity on a VLBI image of the young, oxygen-rich global scale. Journal of Atmospheric and Aamodt K, Abel N, Abeysekara U, Buthelezi E, supernova remnant in NGC 4449. Monthly Solar-Terrestrial Physics, 72(14-15), p. Förtsch S, Steyn G, Vilakazi Z et al. 2010. Notices of the Royal Astronomical Society, 1114-1121. Charged-particle multiplicity measurement 409(4), p. 1594-1600. Malinga S, Mbatha N, Pillay SR. 2010. Study in proton–proton collisions at √s = 7 TeV Bietenholz M, Bartel N, Rupen MP. 2010. on the impact of sudden stratosphere with ALICE at LHC. European Physical Supernova 1986J very long baseline warming in the upper mesosphere-lower Journal C, 68(3-4), p. 345-354. interferometry II. The evolution of the thermosphere regions using satellite and HF Aamodt K, Abel N, Abeysekara U, Buthelezi E, shell and the central source. Astrophysical radar measurements. Atmospheric Chemistry Förtsch S, Steyn G, Vilakazi Z et al. 2010. Journal, 712(1), p. 1057-1069. and Physics, 10(7), p. 3397-3404. Midrapidity antiproton-to-proton ratio in pp Bietenholz M, Soderberg AM, Bartel N, McKinnell L-A, Buresova D, Sindelarova T. collisions at √s = 0.9 and 7 TeV measured Ellingsen S, Horiuchi S, Phillips C, Tzioumis 2010. Evaluation of the STORM model by the ALICE experiment. Physical Review A, Wieringa MH, Chugai NN. 2010. VLBI storm-time corrections for middle latitude. Letters, 105(7), p. 072002-1-072002-12. observations of the Type Ib/c supernova Advances in Space Research, 46(8), p. Aamodt K, Abel N, Abeysekara U, Buthelezi E, 2009bb. Astrophysical Journal, 725(1), 1039-1046. Förtsch S, Steyn G, Vilakazi Z et al. 2010. p. 4-10. McKinnell L-A, Cilliers P, Okoh DI. 2010. Transverse momentum spectra of charged Levesque EM, Soderberg AM, Foley RJ, Developing an ionosphere map for South particles in proton–proton collisions at √s = Bietenholz M et al. 2010. The high- Africa. Annales Geophysicae, 28(7), p. 900 GeV with ALICE at the LHC, Physics metallicity explosion environment of 1431-1439. Letters B, 693(2), p. 53-68. the relativistic supernova 2009bb. McKinnell L-A, Cilliers P, Paradza MW et Aamodt K, Abel N, Abeysekara U, Buthelezi E, Astrophysical Journal Letters, 709(1), p. al. 2010. Predicting the probability of Förtsch S, Steyn G, Vilakazi Z et al. 2010. L26-L31. occurrence of spread-F over Brazil using Two-pion Bose-Einstein correlations in pp Ojha R, Kadler M, Bock M, Booth R, Quick neural networks. Advances in Space collisions at √s = 900 GeV. Physical Review J et al. 2010. TANAMI: tracking active Research, 46(8), p. 1047-1054. D, 82(5), p. 052001-1-052001-14. galactic nuclei with austral milliarcsecond McKinnell L-A, Habarulema JB, Opperman B. Aamodt K, Abelev B, Abrahantas Quintana A, interferometry. I. First-epoch 8.4 GHz 2010. TEC measurements and modelling Buthelezi E, Förtsch S, Steyn G, Vilakazi Z images. Astronomy and Astrophysics, 519, over Southern Africa during magnetic et al. 2010. Elliptic flow of charged particles p. A45.1-A45.2 storms: A comparative analysis. Journal of in Pb-Pb collisions at √sNN = 2.76 TeV. Paragi Z, Taylor GB, Kouveliotou C, Bietenholz Atmospheric and Solar-Terrestrial Physics, Physical Review Letters, 105(25), p. M et al. 2010. A mildly relativistic radio 72(5-6), p. 509-520. 252302-1-252302-11. jet from the otherwise normal Type Ic McKinnell L-A, Oyeyemi EO. 2010. Equatorial Aamodt K, Abelev B, Abrahantas Quintana A, supernova 2007gr. Nature, 463(7280), p. predictions from a new neural network Buthelezi E, Förtsch S, Steyn G, Vilakazi Z 516-518. based global foF2 model. Advances in et al. 2010. Charged-particle multiplicity Soderberg AM, Brunthaler A, Nakar E, Space Research, 46(8), p. 1016-1023. density at midrapidity in central Pb-Pb Chevalier RA, Bietenholz M et al. 2010. Sutcliffe P, Lotz SI, Verõ J, Reda J et al. collisions at √sNN = 2.76 TeV. Physical Radio and X-ray observations of the Type 2010. Empirically modelled Pc3 activity Review Letters, 105(25), p. 252031-1- Ic SN 2007gr reveal an ordinary, non- based on solar wind parameters. Annales 252301-11.
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 149 publications continued
Aamodt K, Abrahantas Quintana A, Abel N, Configuration-dependent pairing, a double Doyle T, McKenzie JF. 2010. Unstable Abeysekara U, Buthelezi E, Förtsch S, Steyn vacuum and lack of ß-vibrations. European interaction of gravity-inertial waves with G, Vilakazi Z et al. 2010. Charged-particle Physical Journal A, 47(1), p. 5-1-5-6. Rossby waves with application to solar multiplicity measurement in proton-proton Bark R, Sharpey-Schafer JF, Maliage SM, system atmospheres. Astronomy and collisions at √s = 0.9 and 2.36 TeV with Madiba TE, Komati F, Lawrie E, Lawrie Astrophysics, 509(L11), p. 1-3. ALICE at LHC, European Physical Journal J, Lindsay R, Maine P, Mullins S, Murray Fomichev AS, Ter-Akopian GM, Chudoba V, C, 68(1-2), p. 89-108. S, Ncapay NJ, Ramashidzha TM, Smit F, Daniel AV, Golovkov MS, Gorshkov VA, Aamodt K, Abrahantas Quintana A, Adamova Vymers PA. 2010. Physics at low spin Grigorenko LV, Krupko SA, Organessian D, Adare AM, Buthelezi E, Förtsch S, Steyn in the mass 160 region: The search for YT, Sidorchuk SI, Slepnev R, Stepantsov G, Vilakazi Z et al. 2011. Strange particle tetrahedral shapes. Nuclear Physics A, SV, Ershov SN, Lukyanov VK, Danilin BV, production in proton-proton collisions 834(1-4), p. 58c-61c. Korsheninnikov AA, Goldberg VZ, Pfutzner at √s = 0.9 TeV with ALICE at the LHC. Bark R, Sharpey-Schafer JF, Maliage SM, M, Mukha IG, Simon H, Tarasov OB, European Physical Journal C, 71(3), p. Madiba TE, Komati FS, Lawrie E, Lawrie Timofeyuk NK, Zhukov MV, Lawrie J. 2010. 1594-1-1594-24. J, Lindsay R, Maine P, Mullins S, Murray The suggested new fragment separator Aamodt K, Abrahantas Quintana A, Adamova S, Ncapay NJ, Ramashidza TM, Smit F, ACCULINNA-2. Acta Physica Polonica B, D, Buthelezi E, Förtsch S, Steyn G, Vilakazi Vymers P. 2010. Nonzero quadrupole 41(2), p. 475-480. Z et al. 2011. Suppression of charged moments of candidate tetrahedral bands. Freer M, Ashwood NI, Curtis N, Malcolm J, particle production at large transverse Physical Review Letters, 104(2), p. Munoz-Britton T, Wheldon C, Ziman VA, momentum in central Pb-Pb collisions 022501-1-022501-4. Carter J, Fujita H, Usman I, Buthelezi E, at √sNN = 2.76 TeV. Physics Letters B, Buck B, Merchant AC, Perez SM. 2010. Förtsch S, Neveling R, Perez SM, Smit F, 696(1-2), p. 30-39. Theory of recursive nuclear band spectra. Fearick RW, Papka P, Swartz JA, Brown S, Abiona A, Ajao JA, Chigome S, Fasasi AY, Physical Review C, 81(3), p. 034322-1- Catford WN, Wilson G, Bardayan D, Pain Osinkolu GA, Maaza M. 2010. Electric- 034322-5. SD, Chipps K, Grzywacz-Jones K, Soic´ N, Achouri NL. 2010. Cluster states in 12C magnetic field-induced aligned electrospun Buthelezi E, Förtsch S, Steyn G, Vilakazi and 14C. Modern Physics Letters A, 25(21- poly(ethylene oxide) (PEO) nanofibers. Z, Aamodt K, Abrahantas Quintana A, 23), p. 1833-1837. Journal of Materials Science, 45(9), p. Adamova D, Adare AM et al. 2011. Two- 2324-2329. pion Bose-Einstein correlations in central Heiss WD, Nazmitdinov RG, Smit F. 2010. Abiona A, Ajao JA, Chigome S, Kana JBK, Pb-Pb collisions at √sNN = 2.76 TeV. Time scales in nuclear giant resonances, Osinkolu GA, Maaza M. 2010. Synthesis Physics Letters B, 696(4), p. 328-337. Physical Review C, 81(3), p. 034604-1- 034604-5. and characterization of cobalt chloride/ Cloete K, Przybylowicz W, Mesjasz- poly(ethylene oxide) electrospun hybrid Przybylowicz J, Barnabas A, Valentine AJ, Ibrahim TT, Perez SM, Wyngaardt SM. 2010. nanofibers.Journal of Sol-Gel Science and Botha A. 2010. Micro-particle-induced Hybrid potential model of the α-cluster 212 Technology, 55(2), p. 235-241. X-ray emission mapping of elemental structure of Po. Physical Review C, Adam BAS, Buthelezi E, Nchodu MR, Smit F, distribution in roots of a Mediterranean- 82(3), p. 034302-1-034302-5. Herbert M. 2010. Monte Carlo simulations type sclerophyll, Agathosma betulina Jacobs V, Anandjiwala RD, Maaza M. of the production of neutrons at iThemba (Berg.) Pillans, colonized by Cryptococcus 2010. The influence of electrospinning LABS. Radiation Measurements, 45(10), p. laurentii. Plant Cell and Environment, parameters on the structural morphology 1193-1196. 33(6), p. 1005-1015. and diameter of electro-spun nanofibers. Ajao JA, Abiona A, Chigome S, Kana Cvitanich C, Przybylowicz W, Urbanski DF, Journal of Applied Polymer Science, JBK, Maaza M. 2010. Preparation and Jurkiewicz AM, Mesjasz-Przybylowicz 115(5), p. 3130-3136. characterization of electrospun poly(2,5- J. 2010. Iron and ferritin accumulate in Kana JBK, Ndjaka JM, Ngom BD, Manyala dicyclohexylphenylene-1,4-ethynylene) separate cellular locations in Phaseolus N, Nemraoui O, Fasasi AY, Nemutudi (C24H30)n/poly(ethylene oxide) (PEO) seeds. BMC Plant Biology, 10, p. 26-39. R, Gibaud A, Knoesen D, Maaza M. hybrid nanofibers. Journal of Materials De Blois E, Chan HS, Naidoo C, Prince 2010. Thermochromic nanocrystalline Science, 45(3), p. 713-718. D, Krenning EP, Breeman WAP. 2011. Au-VO2 composite thin films prepared 68 68 by radiofrequency inverted cylindrical Baeyens A, Slabbert J, Willem P, Jozela S. Characteristics of SnO2-based Ge/ Ga 2010. Chromosomal radiosensitivity of HIV generator and aspects of radiolabelling magnetron sputtering. Thin Solid Films, positive individuals. International Journal of DOTA-peptides. Applied Radiation and 518(6), p. 1641-1647. Radiation Biology, 86(7), p. 584-592. Isotopes, 69(2), p. 308-315. Lawrie J, Werneyer K D, Mostert FJ, Konig Bark R, Kau J, Komati F, Lawrie E, Lawrie J, De Meijer RJ, Blaauw M, Smit F. 2010. No P J 2010. The use of the gamma-ray Madiba TE, Maine P, Minkova A, Mullins evidence for antineutrinos significantly absorption technique as a quality control procedure in the manufacture of powder S, Murray S, Ncapay NJ, Vymers P. 2011. influencing exponential ß+ decay. Applied Congruent band structures in 154Gd: Radiation and Isotopes, 69(2), p. 320-326. metal shaped charge liners. Journal of
150 | NRF ANNUAL PERFORMANCE REPORT 2010/11 Applied Mechanics, Transactions of the Orlowska E, Orlowski D, Mesjasz-Przybylowicz measurements for the production of the s ASME, 77(5), p. 051701-051704. J, Turnau K. 2010. Role of mycorrhizal Auger electron emitters 77Br and 80mBr. Maaza M, Abiona A, Chigome S, Ajao JA, colonization in plant establishment on an Radiochimica Acta, 98(12), p. 749-755. alkaline gold mine tailing. International
Fasasi AY, Torto N. Osinkolu GA. 2010. Szelecsenyi F, Vermeulen C, Steyn G, Kovacs lication Synthesis and substrate-aided alignment Journal of Phytoremediation, 13(2), p. 185- Z, Aardaneh K. 2010. Excitation functions b of porphyrinated poly(ethylene oxide)(PEO) 205. of 186,187,188,189,190,192Ir formed in proton-
electrospun nanofibers, International Journal Papka P, Álvarez-Rodriguez R, Nemulodi F, induced reactions on highly enriched S: p u of Polymeric Materials, 59(10), p. 818-827. Bark R, Fox SP, Kheswa N, Lawrie E, Lawrie 192Os up to 66 MeV. Nuclear Instruments J, Mullins S, Newman R. 2010. Decay of and Methods in Physics Research Section Maaza M, Kana JBK, Chigome S, Abiona 6 6 3 3
Be populated in the Li( He, H) charge- B: Beam Interactions with Materials and ACILITIE A, Ajao JA, Guerbous L, Torto N. 2010. exchange reaction. Physical Review C, 81, Atoms, 268(20), p. 3306-3314. Synthesis and characterization of electro- p. 054308-1-054308-9. spun poly(ethylene oxide)/europium- Talha S, De Meijer RJ, Lindsay R, Newman
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Menzies J, Whitelock P, Feast MW, Matsunaga Reed MD, Harms SL, Poindexter S, Pretorius al. 2011. The XMM-Newton survey of the N. 2010. Asymptotic giant branch stars in ML et al. 2011. Whole Earth Telescope Small Magellanic Cloud: Discovery of the the Leo I dwarf spheroidal galaxy. Monthly observations of the subdwarf B star KPD 11.866 s Be/X-ray binary pulsar XMMU Notices of the Royal Astronomical Society, 1930+2752: A rich, short-period pulsator J004814.0-732204(SXP11.87). Astronomy 406(1), p. 86-94. in a close binary. Monthly Notices of the and Astrophysics, 527(A131), p. 1-7. Miyake N, Sumi T, Dong S, Menzies J et al. Royal Astronomical Society, 412(1), p. Sumi T, Bennett DP, Bond IA, Menzies J et al. 2011. A sub-Saturn mass planet, MOA- 371-390. 2010. A cold Neptune-mass planet OGLE- 2009-BLG-319Lb. Astrophysical Journal, Revnivtsev M, Burenin R, Bikmaev I, Kniazev 2007-BLG-368Lb: Cold Neptunes are 728(120), p. 1-10. A, Buckley D, Crawford S et al. 2010. A common. 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2010. Landscape-level differences in fire 2010. A new Legskate (Rajoidei: Genus Species of the Doumea chappuisi ACILITIE regime between block and patch-mosaic Cruriraja) from Southern Africa. Copeia, complex (Siluriformes, Amphiliidae) with burning strategies in Mkuzi Game Reserve, 2010(3), p. 364-372. the descriptions of new species from the
South Africa. African Journal of Range and Attwood CG, Naesje TF, Fairhurst L, Kerwath Upper Sanaga River and Nyong River EARCH F Forage Science, 27(3), p. 143-150. SE. 2010. Life-history parameters of Basins. Copeia, 2010(4), p. 705-715. S O'Connor T, De Ridder CH, Hobson FO. white stumpnose Rhabdosargus globiceps Freon P, Coetzee JC, Van der Lingen CD, 2010. Aspects of the seed ecology of (Pisces: Sparidae) in Saldanha Bay, South Connell A, O'Donoghue SH, Lamberth Acacia karroo in the Eastern Cape, South Africa, with evidence of stock separation. S, Roberts MJ, Demarcq H, Attwood CG, Africa. African Journal of Range and African Journal of Marine Science, 32(1), Hutchings L. 2010. A review and tests of RE n ATIONAL Forage Science, 27(2), p. 77-87. p. 23-35. hypotheses about causes of the KwaZulu- O'Connor T, Kuyler P, Kirkman KP, Corcoran Bernatzeder AK, Cowley P, Hecht T. 2010. Natal sardine run. African Journal of B. 2010. Which grazing management Do juveniles of the estuarine-dependent Marine Science, 32(2), p. 449-479. practices are most appropriate for dusky kob, Argyrosomus japonicus, exhibit Gon O, Bogorodsky SV. 2010. The cardinalfish maintaining biodiversity in South African optimum growth indices at reduced Fowleria isostigma in the Red Sea and grasslands? African Journal of Range and salinities? Estuarine Coastal and Shelf the validity of F. punctulata (Perciformes: Forage Science, 27(2), p. 67-76. Science, 90(3), p. 111-115. Apogonidae). Zootaxa, 2677, p. 27-37. O'Connor T, Martindale G, Morris CD, Short Booth AJ, Traas GRL, Weyl O. 2010. Adult Gouws G, Matthee CA, Stewart BA. 2010. A A, Witkowski ETF, Scott-Shaw R. 2011. African sharptooth catfish, Clarias multiple data set phylogeny for the endemic Influence of grazing management on plant gariepinus, population dynamics in a small South African freshwater phreatoicidean diversity in highland sourveld grassland, invaded warm-temperate impoundment. isopod genus Mesamphisopus: Taxonomic KwaZulu-Natal, South Africa. Rangeland African Zoology, 45(2), p. 299-308. and biogeographic implications. Molecular Ecology and Management, 64(2), p. 196- Bornman T, Adams JB. 2010. Response of Phylogenetics and Evolution, 55(2), p. 207. a hypersaline salt marsh to a large flood 541-551. Ogunmwonyi IH, Mazomba N, Mabinya L, and rainfall event along the west coast Gouws G, Stewart BA, Daniels SR. 2010. Ngwenya E, Green E, Akinpelu DA, Olaniran of southern Africa. Estuarine Coastal and Phylogeographic structure in the gilgie AO, Bernard KS, Okoh AI. 2010. Studies Shelf Science, 87(3), p. 378-386. (Decapoda: Parastacidae: Cherax on the culturable marine actinomycetes Braccini JM, Troynikov VS, Walker TI, Mollet quinquecarinatus): A south-western isolated from the Nahoon beach in the HF, Ebert D, Barnett A, Kirby N. 2010. Australian freshwater crayfish. Biological Eastern Cape province of South Africa. Incorporating heterogeneity into growth Journal of the Linnean Society, 101(2), p. African Journal of Microbiology Research, analyses of wild and captive broadnose 385-402. 4(21), p. 2223-2230. sevengill sharks Notorynchus cepedianus. Hedger RD, Naesje TF, Cowley P, Thorstad Palmer BJ, Hill TR, McGregor GK, Paterson Aquatic Biology, 9(2), p. 131-138 EB, Attwood CG, Okland F, Wilke C, A. 2011. An assessment of coastal Da Silva C, Kerwath SE, Wilke CG, Meyer Kerwath S. 2010. Residency and migratory development and land use change using M, Lamberth S. 2010. First documented behaviour by adult Pomatomus saltatrix the DPSIR framework: Case studies from southern transatlantic migration of a blue in a South African coastal embayment. the Eastern Cape, South Africa. Coastal shark Prionace glauca tagged off South Estuarine Coastal and Shelf Science, Management, 39(2), p. 158-174. Africa. African Journal of Marine Science, 89(1), p. 12-20. Palmer BJ, McGregor GK, Hill TR, Paterson 32(3), p. 639-642. Hoffmann M, Hilton-Taylor C, Tweddle D. A. 2010. A spatial assessment of coastal Dagorn L, Holland KN, Filmalter J. 2010. 2010. The impact of conservation on the development and land use change in the Are drifting FADs essential for testing status of the world’s vertebrates. Science, Eastern Cape, South Africa. South African the ecological trap hypothesis? Fisheries 330(6010), p. 1503-1509. Geographical Journal, 92(2), p. 117-128. Research, 106(1), p. 60-63. Hutchings K, Griffiths MH, Lamberth S. 2010. Shiponeni N, Allsopp N, Carrick PJ, Hoffman Ebert D, White WT, Goldman KJ, Compagno An investigation of the effect of temporal MT. 2010. Competitive interactions LJV, Daly-Engel TS, Ward RD. 2010. variation in growth rate of Umbrina between grass and succulent shrubs at the Resurrection and redescription of Squalus robinsoni on biological reference point ecotone between an arid grassland and suckleyi (Girard, 1854) from the North estimates calculated using per-recruit succulent shrubland in the Karoo. Plant Pacific, with comments on the Squalus models. African Journal of Marine Science, Ecology, 212(5), p. 795-808. acanthias subgroup (Squaliformes: 32(3), p. 633-636. Sibanda T, Mabinya L, Mazomba N, Akinpelu Squalidae). Zootaxa, 2612, p. 22-40. Hutchings L, Morris T, Van der Lingen CD, DA, Bernard KS, Olaniran AO, Okoh AI. Ellender BR, Weyl O, Winker H, Booth AJ. Lamberth S, Connell A, Taljaard S, Van
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Niekerk L. 2010. Ecosystem considerations Sauer WHH. 2010. Aspects of the biology The effect of largemouth bass Micropterus of the KwaZulu-Natal sardine run. African and fisheries of an economically important salmoides on aquatic macroinvertebrate Journal of Marine Science, 32(2), p. 413- sparid Dentex macrophthalmus (Bloch communities in the Wit River, Eastern 421. 1791) in the Namibe province, Angola. Cape, South Africa. African Journal of Iwatsuki Y, Heemstra P. 2010. Taxonomic African Journal of Marine Science, 32(3), Aquatic Science, 35(3), p. 273-281. review of the Western Indian Ocean p. 601-611. Winker H, Ellender BR, Weyl O, Booth AJ. species of the genus Acanthopagrus Potts W, Sauer WHH, Henriques R, 2010. Validation of growth zone deposition Peters, 1855 (Perciformes: Sparidae), with Sequesseque S, Santos CV, Shaw in otoliths of two large endemic cyprinids in description of a new species from Oman. PW. 2010. The biology, life history and Lake Gariep, South Africa. African Zoology, Copeia, 2010(1), p. 123-136. management needs of a large sciaenid 45(1), p. 133-138. Kemper JM, Ebert D, Compagno LJV, Didier fish, Argyrosomus coronus, in Angola. Winker H, Weyl O, Booth AJ, Ellender BR. DA. 2010. Chimaera notafricana sp. African Journal of Marine Science, 32(2), 2010. Validating and corroborating the nov. (Chondrichthyes: Chimaeriformes: p. 247-258. deposition of two annual growth zones Chimaeridae), a new species of chimaera Richardson N, Gordon AK, Muller WJ, in asteriscus otoliths of common carp from southern Africa. Zootaxa, 2532, p. Pletschke BI, Whitfield A. 2010. The use of Cyprinus carpio from South Africa’s largest 55-63. liver histopathology, lipid peroxidation and impoundment. Journal of Fish Biology, Kemper JM, Ebert D, Didier DA, Compagno acetylcholinesterase assays as biomarkers 77(10), p. 2210-2228. LJV. 2010. Description of a new species of contaminant-induced stress in the of chimaerid, Chimaera bahamaensis from Cape stumpnose, Rhabdosargus holubi the Bahamas (Holocephali: Chimaeridae). (Teleostei: Sparidae), from selected South Bulletin of Marine Science, 86(3), p. 649- African estuaries. Water SA, 36(4), p. 407- 659. 415. Kramer B, Swartz E. 2010. A new species Smith-Adao LB, Nel JL, Le Maitre D, Maherry of Slender Stonebasher within the A, Swartz E. 2010. A spatial assessment of Hippopotamyrus ansorgii complex from the riverine ecosystems and water supply in a Cunene River in southern Africa (Teleostei: semi-arid environment. River Research and Mormyriformes). Journal of Natural History, Applications, doi: 10.1002/rra.1427. 44(35-36), p. 2213-2242. Tang KL, Agnew MK, Hirt MV, Sado T, Kruger M, Strydom NA. 2010. Spatial and Schneider LM, Freyhof J, Sulaiman Z, temporal variability in the larval fish Swartz E, Vidthayanon C, Miya M, Saitoh K, assemblage of a warm temperate South Simons AM, Wood RM, Mayden RL. 2010. African estuary, with notes on the effects Systematics of the subfamily Danioninae of artificial channelling. African Zoology, (Teleostei: Cypriniformes: Cyprinidae). 45(2), p. 195-212. Molecular Phylogenetics and Evolution, 57(1), p. 189-214. Lamberth S, Branch GM, Clark BM. 2010. Estuarine refugia and fish responses to a Teske PR, Forget FRG, Cowley P, Von large anoxic, hydrogen sulphide, ‘black tide’ der Heyden S, Beheregaray LB. 2010. event in the adjacent marine environment. Connectivity between marine reserves Estuarine Coastal and Shelf Science, and exploited areas in the philopatric reef 86(2), p. 203-215. fish Chrysoblephus laticeps (Teleostei: Sparidae). Marine Biology, 157(9), p. Lutjeharms JRE, Bornman T. 2010. The 2029-2042. importance of the greater Agulhas Current is increasingly being recognised. South Turpie JK, Lamberth S. 2010. Characteristics African Journal of Science, 106(3/4), p. and value of the Thukela Banks crustacean 1-4. and linefish fisheries, and the potential impacts of changes in river flow. African Marr SM, Marchetti MP, Olden JD, Garcia- Journal of Marine Science, 32(3), p. 613- Berthou E, Morgan DL, Arismendi I, Day JA, 624. Skelton P, Griffiths CL. 2010. Freshwater fish introductions in Mediterranean- Weyl O, Ribbink AJ, Tweddle D. 2010. Lake climate regions: Are there commonalities Malawi: fishes, fisheries, biodiversity, health in the conservation problem? Diversity and and habitat. Aquatic Ecosystem Health and Distributions, 16(4), p. 606-619. Management, 13(3), p. 241-254. Potts W, Inacio LA, Santos CV, Richardson TJ, Weyl PSR, De Moor FC, Hill MP, Weyl O. 2010.
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acronyms acron y m
€ Euro FIFO First-in, First-out ACEP African Coelacanth Ecosystem Programme FY Financial Year AFS Annual Financial Statement GE Group Executives AGA Astronomy Geographical Advantage GEF Global Environmental Facilities Aids Acquired immunodeficiency syndrome GHG Greenhouse Gas AISA Africa Institute of South Africa GMSA Grant Management and Systems AOP African Origins Platforms Administration ARC Agricultural Research Council GNSS Global Navigation Satellite Systems ARI Applied Research and Innovation GPS Global Positioning System ASCLME Agulhas Somali Currents Large Marine GRAP Generally Recognised Accounting Practice Ecosystem Programme GRI Global Reporting Initiative ASKAP Australian Square Kilometre Array Pathfinder HartRAO Hartebeesthoek Radio Astronomy Observatory BBCs Biodiversity Conservation Centres HCP Human Capacity Programme BRICS Biotechnology Regional Innovation Centres HEIs Higher Education Institutions CAPEX Capital Expenditure HFC HydroHuorocarbon C-BASS C-band All Sky Survey HICD Human and Institutional Capacity CBOL Consortium for the Barcode of life Development CBSG Consevation Breeding Specialist Group HIV Human Immunodefiency Virus CIRAD Cooperation International en Recherche HMO Hermanus Magnetic Observatory Agronomique pour le Development HR Human Resource CO1 Cytochrome oxidase 1 HRTEM High Resolution Electron Microscope
CO2 Carbon Dioxide HSRC Human Science Research Council
CO2e Carbon Dioxide Equivalent iBOL International Barcode of Life project CoEs Centres of Excellence ICP Institutional Capacity Programme CPI Consumer Price Index ICT Information Communication Technology CRAD Cooperation International en Recherche IKS Indigenous Knowledge Systems Agronomique pour le Development IPMS Integrated Performance Management System CSI Crime Scene Investigation IR&C International Relationships and Cooperation CSIR Council for Scientific and Industrial Research IRSF Infrared Survey Facility CSS Computing Sub-system ISI International Science Council CUPP Community-University Partnership Programme ISO International Standardisation Organisation DA Designated Authority iThemba LABS iThemba Laboratory for Accelerator Based DAFF Department of Agriculture, Forestry and Sciences Fisheries IVCN-SSC International Union for the Conservation of DBE Digital Back-End Nature - Species Survival Commisssion DC Development Corporation KAT Karoo Array Telescope DEA Department of Environmental Affairs KFD Knowledge Fields Development DENOSA Democratic Nursing Organisation of South KM&E Knowledge Management and Evaluation Africa KPI Key Performance Indicators DHET Department of Higher Education and Training M&E Monitoring and Evaluation DME Department of Mines and Energy MEDRAD Medical Radiation Division DNA Deoxyribonucleic Acid ML Millilitre DoH Department of Health MoU Memoranda of Understanding DST Department of Science and Technology MRC Medical Research Council DWEA Department Water and Environmental Affairs M’SONE Masters’ in the Science and Organisation of ERM Enterprise Risk Management Nuclear Energy ERN Emerging Researcher Network MTSF Medium Term Strategic Framework FET Further Education and Training MWLA Multi-Wavelength Astronomy
NRF ANNUAL PERFORMANCE REPORT 2010/11 | 157 acronyms continued
NACI National Advisory Council on Innovation SALTICAM Southern African Large Telescope Imaging NASAP South African National Antarctic Programme Camera NASSP National Astrophysics & Space Science SAMWU South African Municipal Workers Union Programme SANAP South African National Antarctic Programme NECSA South African Nuclear Energy Corporation SANBI South African National Biodiversity Institute NEHAWU National Education Health and Allied Workers SANCOR South African Network for Coastal and Union Oceanic Research NEP National Equipment Programme SANERI South African National Energy Research NNEP National Nanotechnology Equipment Institute Programme SANHARP South African National Antarctic Programme NNS Die Nasionale Navorsingstigting SANSA South African National Space Agency NRDS National Research and Development Strategy SAPhD Saouth African Doctorate of Philosophy NRF National Research Foundation SARChI South African Research Chairs Initiative NSI National System of Innovation SC Specialist Committee NZG National Zoological Gardens SEDA Small Enterprise Development Agency OECD Organisation for Economic Cooperation and SET Science, Engineering and Technology Development SHE Safety, Health and Environment OPEX Operational Expenditure SHOC Sutherland High Speed Camera PAZAAB Pan African Association of Zoos and Aquaria SKA Square Kilometre Array PFMA Public Finance Management Act SLR Satellite Laser Raging PhD Doctorate of Philosophy SNIGGER South African Ionospheric Geophysics and PRMB Post-Retirement Medical Benefits Geomagnetic Experimental Resource PSA Public Servants Association of South Africa SPP Strategic Platforms Programmes PUB Pub understanding of Biotechnology SRIP Strategic Research Infrastracture Programme R&D Research and Development SSC Separated Sector Cyclotron RFE Radio Front End STAF Science and Technology Agreement Fund RFI Radio Frequency Interference SuperWASP Super Wide Angle Search for Plants RIMS Research Information Management System SWN Space Weather Unit RISA Research and Innovation Support and the dti Department of Trade and Industry Advancement THRIP Technology and Human Resources for ROV Remote Operating Vehicle Industry Programme RRIF Rated Researchers Incentive Funding TIA Technology Innovation Agency RS Scientometrics Searches TYIP Ten Year Innovation Plan RSN Research Support Unit UCT University of Cape Town S&T Science & Technology UJ University of Johannesburg SA South Africa UNDP United Nations Development Programme SAAO South African Astronomical UNESCO United Nations Educational, Scientific and SAASTA South African Agency for Science and Cultural Organisation Technology Advancement UWC University of the Western Cape SABI South African Biosytematics Initiative VLBI Very Long Baseline Interferometry SABS South African Bureau of Standards WISER Wits Institute for Social and Economic SACAA South African Civil Aviction Authority Research SADA South African Data Archives WRC Water Research Commission SAEON South African Environmental Observatory XDM eXperimental Development Model Network XRD X-ray Diffractometer SAIAB South African Institute for Aquatic Biodiversity Y-STAR Yonsei Survey Telescope for Astronomical SALT Southern African Large Telescope Research
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