Pharmaceutical potential of plantain peels in Ghana
EDITOR-IN-CHIEF
Leslie Swartz
Academy of Science of South Africa
MANAGING EDITOR
Linda Fick Academy of Science of South Africa
ONLINE PUBLISHING SYSTEMS ADMINISTRATOR
Nadia Grobler Academy of Science of South Africa
ONLINE PUBLISHING ADMINISTRATOR
Phumlani Mncwango Academy of Science of South Africa
ASSOCIATE EDITORS
Pascal Bessong
HIV/AIDS & Global Health Research Programme, University of Venda, South Africa
Chrissie Boughey
Centre for Postgraduate Studies, Rhodes University, South Africa
Teresa Coutinho
Department of Microbiology and Plant Pathology, University of Pretoria, South Africa
Thywill Dzogbewu Department of Mechanical and Mechatronics Engineering, Central University of Technology, South Africa
Jemma Finch School of Agricultural, Earth and Environmental Sciences, University of KwaZulu-Natal, South Africa
Jennifer Fitchett School of Geography, Archaeology and Environmental Studies, University of the Witwatersrand, South Africa
Vusi Gumede Faculty of Economics, University of Mpumalanga, South Africa
Stefan Lotz
South African National Space Agency
Philani Mashazi Department of Chemistry, Rhodes University, South Africa
Sydney Moyo Department of Biological Sciences, Louisiana State University, LA, USA
ASSOCIATE EDITOR
MENTEES
Simone Dahms-Verster School of Geography, Archaeology and Environmental Studies, University of the Witwatersrand, South Africa
Tim Forssman School of Social Sciences, University of Mpumalanga, South Africa
Nkosinathi Madondo Academic Literacy and Language Unit, Mangosuthu University of Technology, South Africa
Lindah Muzangwa Agricultural Sciences, Royal Agricultural University, UK
South African Journal of Science
eISSN: 1996-7489
Guest Leader
Facing unprecedented threats, the South African health research enterprise must demonstrate its relevance, responsiveness, responsibility and resilience
Pfananani Ramulifho
Department of Environmental Sciences, University of South Africa, South Africa
Shane Redelinghuys National Institute for Communicable Diseases, South Africa
EDITORIAL ADVISORY BOARD
Felix Dakora Department of Chemistry, Tshwane University of Technology, South Africa
Saul Dubow Smuts Professor of Commonwealth History, University of Cambridge, UK
Pumla Gobodo-Madikizela Trauma Studies in Historical Trauma and Transformation, Stellenbosch University, South Africa
David Lokhat Discipline of Chemical Engineering, University of KwaZulu-Natal, South Africa
Robert Morrell School of Education, University of Cape Town, South Africa
Pilate Moyo Department of Civil Engineering, University of Cape Town, South Africa
Catherine Ngila African Foundation for Women & Youth in Education, Sciences, Technology and Innovation, Nairobi, Kenya
Daya Reddy
Applied Mathematics, University of Cape Town, South Africa
Linda Richter
DST-NRF Centre of Excellence in Human Development University of the Witwatersrand, South Africa
Brigitte Senut
Natural History Museum, Paris, France
Benjamin Smith Centre for Rock Art Research and Management, University of Western Australia, Perth, Australia
Himla Soodyall Academy of Science of South Africa, South Africa
Lyn Wadley School of Geography, Archaeology and Environmental Studies, University of the Witwatersrand, South Africa
Published by the Academy of Science of South Africa (www.assaf.org.za) with financial assistance from the Department of Science, Technology & Innovation
Design and layout diacriTech Technologies
Correspondence and enquiries sajs@assaf.org.za
Tackling the complex question of transforming the South African higher education system: Decolonisation and deracialisation of knowledge Nkosinathi E.
Publishing from the South: Authenticating Southern intellectual publics while not precluding worldliness
(Re)living moments with Athol Fugard (1932–2025) Miki Flockemann
unique research and innovation partnership celebrates three decades: South
Invited Commentaries
Decarbonising road transport in Africa: Strategies for a just and sustainable transition
A first report on the Nqweba bolide and meteorite fall event in the Eastern Cape Province, South Africa, on 25 August 2024
Roger L. Gibson, Timothy Cooper, Leonidas C. Vonopartis, Carla Dodd, Peter Hers, Lewis D. Ashwal, Robyn Symons 52
Scientific Correspondence
The Taung Child (Australopithecus africanus), the Plio-Pleistocene boundary and a supernova hypothesis
The creation of debility and disability in South Africa: Colonial and apartheid encounters
Anopheles stephensi and the risk of increased urban malaria in South Africa
Maria L. Kaiser, Yael Dahan-Moss, Lizette L. Koekemoer, Mbavhalelo B. Shandukani, Delenesaw Yewhalaw, Basil D. Brooke 68
Copyright All articles are published under a Creative Commons Attribution Licence. Copyright is retained by the authors.
Disclaimer
The publisher and editors accept no responsibility for statements made by the authors.
Submissions
Submissions should be made at www.sajs.co.za
Research Articles
The state of artificial intelligence research in South Africa
Anastassios Pouris 73
“Our struggle with addressing in South Africa” – Capturing public stakeholder perspectives
Teaching human evolution: How a museum programme in the palaeosciences improved learner performance
Grizelda van Wyk, Shaw Badenhorst 88
The impact of radiation dose variability on the response of radiophotoluminescence glass dosimeters – an experimental approach
Manny Mathuthu, Samuel O.O. John, Dithole H. Seepamore, Vincent Maselesele 94
Co-combustion of tyre waste char and biomass blends using thermogravimetric-mass spectrometric analysis
Cleopatra T. Dube, Hope Baloyi
Pharmaceutical evaluation of plantain peel pectin as a disintegrant in conventional tablets
102
Desmond A.B. Otu, Frederick W.A. Owusu, Mariam E. Boakye-Gyasi, Raphael Johnson, Marcel T. Bayor, Prince G. Acquah Jnr, Yayra Edzor-Agbo, Mary-Ann Archer 110
Estimation of soil temperature for agricultural applications in South Africa using machine-learning methods
Deterioration of sleep and mental health in individuals with insomnia during South Africa’s COVID-19 lockdown
Alison Bentley, Laura Roden, Jonathan Davy, Stella Iacovides, F.Xavier Gómez-Olivé, Karine Scheuermaier, Raphaella Lewis, Gosia Lipinska, Johanna Roche, Candice Christie, Swantje Wells, Dale Rae
In Memoriam
Michael Inggs (22 December 1951 – 3 May 2025)
It is with deep sorrow that we mark the passing of Mike Inggs, who has served as SAJS Associate Editor: Engineering & Technology since 2021. Mike was a valued member of our editorial team and a generous Mentor, and he will be greatly missed.
We extend our deepest condolences to his family, friends and colleagues.
130
On the cover
A feeding Anopheles stephensi mosquito. Anopheles stephensi is a South Asian malaria vector mosquito whose range recently has expanded into some African countries. Kaiser and colleagues assessed the risk of An. stephensi to South Africa and provide recommendations for vigilance and vector surveillance.
Image: Public Health Image Library, US Centers for Disease Control and Prevention
Author: Ntobeko A.B. Ntusi1,2
AFFILIAtIoNS:
1South African Medical Research Council, Cape Town, South Africa
2Division of Cardiology, Department of Medicine, University of Cape Town, Cape Town, South Africa
CorrESPoNDENCE to: Ntobeko Ntusi
EMAIL: ntobeko.ntusi@mrc.ac.za
hoW to CItE: Ntusi NAB. Facing unprecedented threats, the South African health research enterprise must demonstrate its relevance, responsiveness, responsibility and resilience.
S Afr J Sci. 2025;121(5/6), Art. #22118. https://doi. org/10.17159/sajs.2025/22118
PubLIShED: 29 May 2025
Facing unprecedented threats, the South African health research enterprise must demonstrate its relevance, responsiveness, responsibility and resilience
Given its high burden of HIV and tuberculosis, South Africa has been one of the largest recipients of overseas development assistance from the USA for decades, through mechanisms like the US President’s Emergency Plan for AIDS Relief (PEPFAR), the US Agency for International Development (USAID), and the US Centers for Disease Control and Prevention (CDC). Similarly, for many years, South Africa has been the country that has received the largest investment in biomedical research from the US National Institutes of Health (NIH) outside of the US borders. Together, the aid and research investment contributed to the development of a high-calibre cadre of scientists and clinicians who, over the last three decades, have led pioneering scholarship, with seminal contributions that have been impactful throughout the world – making our world “safer, stronger and more prosperous” in the words of the current US administration.
Over the last few months, as in other parts of the world – including the USA – the South African health research ecosystem has faced an existential crisis that threatens its sustainability. Alongside the loss of work for 24 000 healthcare workers in the country, a pause in technical assistance, and the closure of supporting prevention and implementation programmes, stop-work orders and letters of terminations have ground research operations for many groups to a halt. The lack of notifications of award for this year from the NIH has caused greater uncertainty and panic in the sector. There are losses of livelihoods as many affected research groups are beginning to retrench staff at scale. Many postgraduate students and early career scientists are losing training opportunities as many of the grants that have supported their stipends and research costs have been abruptly terminated, leaving many young scientists bewildered and disappointed in science. Besides the obvious impact on research outputs related to important scientific questions, these changes also undermine the ability of the country to continue to produce the next generation of scientific excellence. More fundamentally, there is a risk to the country’s ability to benefit from the critical role of science as a driver of both human development and a knowledge economy.
In the face of these sudden changes, one of our key challenges is the protection of participants in biomedical research. It is essential for us as a scientific community to do all we can to prevent the development of a damaging narrative of a scientific enterprise that is seen as exploitative: recruiting the most vulnerable members of society into clinical studies and terminating the benefits of such participation at will. What is also at stake is the loss of trust in the scientific endeavour.
In addition to the direct impacts discussed above, the substantial reduction in funding from and withdrawal of the USA from the World Health Organization and other multilateral agencies and agreements will reduce global solidarity through diminished international collaboration and coordination of health and weaken public confidence in health and science.
Concerningly, the USA is not the only country reducing aid and investment in research. In the past few weeks, the United Kingdom, France, Germany, the Netherlands, Switzerland and Belgium have all reduced their foreign aid budgets as they look to reinforce their defence and military budgets. These proposed reductions in global health funding from many nations threaten to make the withdrawals of PEPFAR and USAID funding even more acute in terms of their impact.
So, what then should be done to ensure viability and sustainability of the national health research enterprise in the face of such unprecedented threats to funding? Now, more than ever, is the time for our scientists to demonstrate our value proposition to the world. South African science is world-class and the stories of our many successes and invaluable contributions need to be told abundantly. Successful research ecosystems are characterised by their relevance, responsiveness, responsibility and resilience. These were amply evident as South Africa faced the COVID-19 pandemic. As a vibrant and high-quality national research enterprise, now is the time to again exhibit these qualities that are needed for our survival.
It is abundantly clear that the South African government needs to invest more in the health of its citizens as well as the scholarship to drive evidence-based interventions and policies on health. The South African Medical Research Council (SAMRC) has an important role, not only in setting health research priorities for the country, but also in facilitating greater efficiency in research operations and in minimising duplication in research investment. As the custodian of health research in South Africa, the SAMRC is leading the efforts to lobby government through collaborations with the National Treasury, the Department of Health and the Department of Science, Technology and Innovation, as well as working with local corporate and philanthropic organisations, and global partners to provide the much-needed support to (1) large research groups to enable them to pivot to other sources of funding; (2)early- and mid-career scientists who have greater exposure and vulnerability; (3) postgraduate students and postdoctoral fellows; and (4) research groups undertaking interventional studies that need to terminate these ethically and need resources for following up with study participants.
The current crisis presents an opportunity for the South African health research sector to change culture by reducing competition and building greater solidarity through collaboration. It is an opportunity for established scientists to model ubuntu in science for their younger colleagues. It is also an opportunity to build greater efficiencies by bringing research much closer to clinical services.
In this issue of the Journal, we have a collection of articles from South African scientists documenting some of the direct and indirect consequences of the US funding withdrawals on their work. We felt it was important for posterity to document both the endeavours and solutions that enable a thriving health research ecosystem. When we
look back on this period, I have no doubt that these contributions from brave South African scientists will form an important record of our national response in a time of great uncertainty and loss. And my hope is that the relevance, responsiveness, responsibility and resilience of our national research endeavour will be patently evident to all.
AuthorS: Heidi Matisonn1 Jantina de Vries1
AFFILIAtIoN:
1The EthicsLab, Department of Medicine and Neuroscience Institute, University of Cape Town, Cape Town, South Africa
CorrESPoNDENCE to: Jantina de Vries
EMAIL: jantinadevries@uct.ac.za
hoW to CItE: Matisonn H, de Vries J. “Things fall apart; the centre cannot hold; Mere anarchy is loosed upon the world”: An old lens on a new problem. S Afr J Sci. 2025;121(5/6), Art. #21975. https://doi.org/10.17159/ sajs.2025/21975
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
KEYWorDS: global health, NIH funding, academic institutions, solidarity
FuNDING: Wellcome Trust (WT222784/Z/21/Z, WT225230/Z/22/Z), Fogarty US National Institutes of Health (1R25TW012219)
“Things fall apart; the centre cannot hold; Mere anarchy is loosed upon the world”: An old lens on a new problem
Significance:
In this reflection on the NIH funding cuts, we call attention not only to the effects of such cuts, but also to the failure of a South African university to implement policies that would have provided a buffer to soft-funded researchers and left them with an ability to cushion the effects of the sudden loss of funding. We also call attention to solidarity as one response to the current moment, to be understood as people standing together in a commitment to be and do better for each other.
The quoted text in the title1 by WB Yeats was originally written in 1919 in the aftermath of World War I to signal an apocalyptic time when humanity seemed to have lost its morality, and the forces or institutions that previously held society together were failing to maintain their functions. Almost a century later, these words so aptly describe the political reality today – one expression of which is the weaponisation of science evidenced through the devastating cuts by the US federal government that have affected the lives and livelihoods of millions across the planet.
The anarchy in our case has taken the form of deathly silence from our funders at the US National Institutes of Health (NIH). Our grant received a perfect score in 2022 (10/10), meaning that the three reviewers who ranked the proposal for review, agreed that our proposed new MSc degree in Global Health Ethics was outstanding – timely, necessary and of critical importance. Fast forward three years, and we are anticipating a termination letter to come through any day now. If that happens, we will have to pull the plug on our new degree as we will not have the resources to move towards implementation – meaning that our aspiration of training a generation of students to think critically about global health and its intersection with power and ethics, will also be lost.
Our grant was up for renewal on 1 April 2025, and, to date, we have not had any correspondence regarding its status. The lack of communication on the part of NIH also leaves two soft-funded researchers and our MSc students on bursaries in a precarious position: we do not know whether or when our programmes need to be terminated, and whether and when our salaries will come to an end. The lack of formal communication may be because the funders themselves are subject to gag orders, or because they also do not know what is happening.
Our precarity, however, is not only due to the whims and caprices of the Trump–Musk administration. Similarly, soft-funded academic research staff (SFARS) at our institution are affected by the collective decisions of executive members of our university. Firstly, unlike at some other public South African universities where researchers receive a share of the subsidy funding that the South African government pays the university for their graduates and publications, the University of Cape Town’s policy does not appear to allow this – or if it does, we, as SFARS have never benefitted from its implementation.
Secondly, to date, our executive has failed to implement a university policy that would have meant that at least some of the indirect costs paid through grants would be deposited into a ‘rainy day’ fund for the benefit of SFARS and their teams.2 Instead, our university has used funding generated through and by SFARS to cover funding gaps due to overall reductions in government subsidies. The consequence of both of these executive decisions is that SFARS – at least at our university – have not been able to build up a buffer to accommodate the sudden withdrawal of funding. As such, the precarity of our – and our students’ – situations cannot just be blamed on decisions made from afar: responsibility for that also lies at our own doorsteps.
Whilst we could be forgiven for a sense of impending doom and uncertainty, we have experienced the opposite: a sense of hope in our common humanity. Needing only to be asked, soft-funded colleagues at our own institution have reached out to and received permission from their funders to take care of our students’ scholarships; others have offered to split their salaries with us or move us onto their more secure grants. In contrast to the institutional inertia and unwillingness to think laterally, we have seen solidarity in action: as Donna Andrews puts it, solidarity as “lived experience, as political, as collective action against injustice, as transformative and emancipatory”3. Such solidaristic responses highlight for us that there is opportunity in the loss, a path through the chaos.
Moving through the current predicament will not be easy. We will need to stand together in a commitment to be and do better for each other in ways that are different from what the current flow of money and malice suggest. One such alternative is to entrench an approach to our research contexts that is not transactional but transformational4 and that centres social justice5 as a cornerstone of health and health research. It requires honouring an ethical obligation to use our collective skills and assets for the public good and to advance a fairer system of global health.
Funding
The EthicsLab is funded by a Wellcome Trust Research Development Award to J.d.V. and Francis Nyamnjoh (WT222784/Z/21/Z) and a Wellcome Trust Discovery Award entitled ‘Moving beyond solidarity rhetoric in global health’ to Caesar Atuire, J.d.V. and other colleagues (WT225230/Z/22/Z). J.d.V. and H.M. both receive salary support from these two awards. They were also supported by a Fogarty NIH grant (1R25TW012219) which also supported the development of a new MSc in Global Health Ethics degree at UCT – this grant has not been renewed and so has – apparently – lapsed.
https://doi.org/10.17159/sajs.2025/21975
Declarations
We have no competing interests to declare. We have no AI or LLM use to declare. Both authors read and approved the final manuscript. r eferences
1. Yeats WB. The second coming [webpage on the Internet]. c1989 [cited 2025 Mar 28]. Available from: https://www.poetryfoundation.org/poems/43290/th e-second-coming
2. University of Cape Town. Greater recognition of SFARS staff contributions and value to UCT [document on the Internet]. c2022 [cited 2025 Mar 28]. Available from: https://uct.ac.za/sites/default/files/media/documents/uct_ac_za/39/Po licy_Research_SFARS_15October2022.pdf
3. The EthicsLab: University of Cape Town. Solidarity embodied and enacted [webpage on the Internet]. c2025 [cited 2025 Mar 31]. Available from: https://health.uct.ac.za/ethics-lab/articles/2025-03-05-solidarity-embodie d-and-enacted
4. The EthicsLab: University of Cape Town. Decolonising health research in Africa [webpage on the Internet]. No date [cited 2025 Mar 31]. Available from: https://health.uct.ac.za/ethics-lab/decolonising-health-research-africaexploring-epistemic-justice-and-change-matters
5. Faden RR, Powers M. Health inequities and social justice. The moral foundations of public health. Bundesgesundheitsblatt – Gesundheitsforschung –Gesundheitsschutz. 2008;51(2):151–157. https://doi.org/10.1007/s00103008-0443-7
https://doi.org/10.17159/sajs.2025/21975
Author: Jacqueline Hoare1
AFFILIAtIoN:
1Department of Psychiatry and Mental Health, University of Cape Town, South Africa
CorrESPoNDENCE to: Jacqueline Hoare
EMAIL: Jackie.hoare@uct.ac.za
hoW to CItE: Hoare J. Health science researchers at risk of experiencing unprecedented moral distress. S Afr J Sci. 2025;121(5/6), Art. #21949. https:// doi.org/10.17159/sajs.2025/21949
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
KEYWorDS: moral distress, health science, mental health
Health science researchers at risk of experiencing unprecedented moral distress
Significance:
Cuts in funding from organisations like USAID, PEPFAR and the NIH can lead to a cascade of challenges for researchers, including causing moral distress which could impact their mental health, job security, and the overall landscape of scientific research. By understanding these complexities, we can work towards creating more supportive environments that prioritise both the well-being of researchers and the importance of their contributions to society.
A decision to terminate South African related grants from the US National Institutes of Health (NIH) would have a devastating impact on public health efforts in the country – efforts which have already been severely compromised by cuts to the US Agency for International Development (USAID) and the US President’s Emergency Plan for AIDS Relief (PEPFAR).1 As many NIH grants to South Africa focus on tuberculosis (TB) and HIV/AIDS, researchers are very much aware that this abrupt termination of funding will leave the most vulnerable of South Africa’s population at risk and are experiencing widespread confusion, anxiety and fear as a result.2 The implications of reduced research funding extend beyond the academic sphere and into the realm of public health. These constraints will create and exacerbate existing ethical challenges in health care.3 South Africa has one of the highest HIV prevalence rates in the world, as well as significant burdens from TB and non-communicable diseases. Research funded by these grants often informs public health policies and interventions. A decline in research output could slow progress in combating these diseases, resulting in higher morbidity and mortality rates. Scientists’ and researchers’ feelings of moral distress are already palpable across academic institutions in South Africa. The term ‘moral distress’ originated in the field of health care and was conceptualised as a psychological and emotional response experienced by healthcare professionals when they believe they know the morally correct course of action but are unable to act accordingly due to various constraints such as institutional policies, hierarchical structures, legal and ethical dilemmas, resource constraints or conflicting values within a healthcare setting.4 While moral distress is often discussed in healthcare settings, it is also relevant for researchers, especially in clinical research, and has been reported in studies. Based on research conducted prior to the current NIH budget cut crisis, contributors to moral distress have included the commodification of research; concern for research participants; compromised science; structures of hierarchy; and the experience of racism.5 Now we face unprecedented “sweeping” cuts to NIH funding which are causing significant distress across the research community. These cuts are impacting research institutions and universities, potentially jeopardising vital research projects and harming the careers of researchers. The extent of the moral distress facing the clinical research community is currently only speculative; however, we have cause to be concerned, and we should name and raise the concern. We need the right words to define our experience, and we need the right words to have the conversations that matter and to access help that will be meaningful.6 Naming moral distress is the start of best supporting health science researchers going forward. Healthcare research frequently involves caring for sick and otherwise vulnerable patients – patients whose level of suffering, whose dignity, and often whose lives are improved by being a research participant.7 It is no small thing for researchers to fail to meet what they feel their moral responsibilities are.
Austerity, by its very nature, imposes constraints.3 Researchers in South Africa frequently work on projects that directly impact the lives of participants and their communities. The sudden loss of funding can halt these projects, leading to ethical dilemmas in which researchers are unable to fulfil their commitment to improving their participants’ health outcomes. The inability to complete research can lead to feelings of frustration, especially if the work was aimed at addressing critical health issues or advancing scientific knowledge. This can create a profound sense of helplessness for researchers, as they come to terms with a new reality of health care and healthcare research in South Africa. Each will have to reconcile their internal drive to serve the public with the reality of now being severely constrained to do so. Many researchers have a deep-seated commitment to their local communities, with the aim of addressing pressing health issues through their work. Funding cuts to critical interventions and innovations may be delayed or abandoned, leading to a sense of betrayal towards the communities they serve.2 This moral distress is compounded by witnessing preventable health issues persist or worsen without the means to intervene effectively.2 In a context of a society characterised by poverty, deep inequality and violence, the environment in which research is performed is deeply distressing in itself.8
One of the most troubling aspects of the termination of US health funding to South Africa is how quickly everything is happening. Researchers may be faced with morally distressing situations such as abruptly terminating TB treatment in participants enrolled in a clinical trial for tuberculosis. This would require an enormous amount of planning as participants require ongoing treatment against a backdrop of an underfunded and resource-constrained healthcare system.9 Researchers are also very aware that participants who are vulnerable, such as women and children enrolled in longitudinal cohort studies, will no longer have access to the supportive structure of the research team that has become a safe place to turn to in times of trouble. Researchers facilitate referrals to social workers, alcohol and drug counselling centres or NGOs that support those who have experienced intimate partner violence when needed.
The interruption of funding has triggered distress as research scientists will face significant financial instability in their research centres or units. Many researchers rely on grants not only for their salaries but also for the salaries of research teams and doctoral and postdoctoral students, and they are feeling the devastating burden of having to
https://doi.org/10.17159/sajs.2025/21949
retrench staff when funding is cut. When funding is reduced, job losses become a reality. The uncertainty of NIH funding is creating a high-stress environment in which researchers constantly worry about their future and the future of those they have supported financially through their research units, leading to anxiety and feelings of inadequacy. The cumulative stress from job insecurity and project disruption in research staff can lead to significant mental health challenges. Researchers may experience feelings of depression, anxiety and burnout. The pressure to constantly seek new funding sources can create a relentless cycle of stress, which impacts researchers’ overall well-being. Additionally, many researchers may feel isolated in their struggles, as the academic culture often prioritises success and productivity, leaving little room for vulnerability or discussions about mental health challenges.
Opportunities for developing the careers of the next generation of South African health scientists through publishing, attending conferences and engaging in collaborative projects will diminish. The combination of these factors can lead to significant emotional and psychological distress. Researchers may experience feelings of frustration and anxiety, as they grapple with the implications of halted projects on their students’ careers. As funding opportunities diminish, there is a growing risk of a brain drain, with talented researchers seeking opportunities abroad in countries where funding is more stable and abundant. This migration can deplete the local research landscape of its expertise, making it increasingly difficult for South Africa to develop its own solutions to health crises. The loss of skilled professionals can have long-term detrimental effects on the country’s research capacity and public health infrastructure.
A decrease in funding can create a risk-averse culture within research environments. Researchers may be compelled to focus on safer, more conventional projects that are more likely to secure limited funding, rather than pursuing research that could lead to the improvement of pressing public health issues in South Africa. This shift can be disheartening for researchers who are passionate about their work, as they may feel constrained by the necessity to prioritise funding over the potential societal impact of their research.
Addressing the mental health challenges associated with funding cuts will require a robust institutional response. There is stigmatisation in medical culture of uncertainty, a perception of vulnerability as failure, and shame for needing support. Reflecting on how to navigate these unhelpful beliefs will be critical as universities and research organisations must play a critical role in providing mental health resources.10 Universities will need to foster a supportive environment, and encourage open discussions about the pressures that researchers face. There is little doubt that we are facing tough times in healthcare research in South Africa. Leaders in research will frequently be in a position of having to deliver news to colleagues that causes distress to themselves and their colleagues.2 Many principal investigators will be left feeling powerless, hopeless and stuck. By having regular updates and face-to-face meetings, actively listening to others, considering their perspectives, and acknowledging their distressing emotions and experiences, university leaders can have honest dialogue and more constructive resolution of difficult circumstances.11 Tough feedback is more effective when leaders see the colleagues that they are giving feedback to as people who are distressed because their ability to heal and care is being constrained.2
In the context of austerity and cuts to resources, responses to moral distress that only target an individual’s distress are insufficient.3 Approaches that focus on reactively providing support to individual
researchers who become distressed may also unwittingly ‘blame’ the individual for not managing themselves and their stress, pathologising them rather than acknowledging that the loss is real and affects an already traumatised health care system.10 Avoidable challenges created because of systemic and political austerity policies require a different kind of resilience.3 Where moral distress results from austerity, it is not only healthcare institutions but also the political system that should be held responsible.3 Advocacy for sustained and increased funding in critical research areas is essential. Engaging with policymakers, stakeholders, and the public to highlight the importance of ongoing support for research initiatives can help mitigate the long-term effects of funding cuts.
In summary, the cuts in funding from organisations such as USAID, PEPFAR and NIH can lead to a cascade of challenges for researchers, including causing moral distress which could impact their mental health, job security, and the overall landscape of scientific research. By understanding these complexities, we can work towards creating more supportive environments that prioritise both the well-being of researchers and the importance of their contributions to society.
Declarations
I have no competing interests to declare. I have no AI or LLM use to declare.
r eferences
1. Fear spreads that NIH will terminate grants involving South Africa. Science Insider. 2025 March 14 [cited 2025 Apr 18]. Available from: https://www. science.org/content/article/fear-spreads-nih-will-terminate-grants-involvingsouth-africa
2. Hoare J. Emotional leadership in health care: A dire need illuminated by pivotal resource cuts. S Afr J Sci. 2025;121(5/6), Art. #21848. https://doi.org/10. 17159/sajs.2025/21848
3. Morley G, Ives J, Bradbury-Jones C. Moral distress and austerity: An avoidable ethical challenge in healthcare. Health Care Anal. 2019;27(3):185–201. https: //doi.org/10.1007/s10728-019-00376-8
4. Fourie C. Moral distress and moral conflict in clinical ethics. Bioethics. 2015;29(2):91–97. https://doi.org/10.1111/bioe.12064
5. Bosack E, Bourne D, Epstein E, Marshall MF, Chen DT. Investigating moral distress in clinical research professionals – a deep dive into troubled waters. Ethics Hum Res. 2025;47(1):34–45. https://doi.org/10.1002/eahr.60006
6. Hoare J. Provision of mental health care to healthcare workers during COVID19: A call for the practice of vulnerability. S Afr J Sci. 2022;118(5/6), Art. #13904. https://doi.org/10.17159/sajs.2022/13904
7. Tessman L. Moral distress in health care: When is it fitting? Med Health Care Philos. 2020;23(2):165–177. https://doi.org/10.1007/s11019-020-09942-7
8. Hoare J, Matisonn H. From the burden of disease to the disease of burden. S Afr J Sci. 2024;120(11/12), Art. #18716. https://doi.org/10.17159/sajs. 2024/18716
9. Matisonn H, Vries J de, Hoare J. Capturing moral distress as a global phenomenon in healthcare. Am J Bioeth. 2023;23(4):82–84. https://doi.org/10.1080 /15265161.2023.2186520
10. Hoare J, Frenkel L. South Africa. Lancet Psychiatry. 2021;8(10):865. https:// doi.org/10.1016/S2215-0366(21)00365-5
11. Mann S. Leadership and self‐deception: Getting out of the box. Leadersh Organ Dev J. 2010;31(7):666–667. https://doi.org/10.1108/01437731011 079709
AuthorS: Carly Young1
Tshepiso Mbangiwa2 Ian Mbano3
AFFILIAtIoNS:
1South African Tuberculosis Vaccine Initiative, Division of Immunology, Department of Pathology and Institute of Infectious Disease and Molecular Medicine, University of Cape Town, Cape Town, South Africa
2Vaccines for Africa Initiative (VACFA) and NITAG Support Hub (NISH), School of Public Health, Faculty of Health Sciences, University of Cape Town, Cape Town, South Africa
3Institute for Infectious Diseases and Molecular Medicine, Division of Immunology, Department of Pathology, University of Cape Town, Cape Town, South Africa
CorrESPoNDENCE to: Carly Young
EMAIL: carly.young-bailie@uct.ac.za
hoW to CItE: Young C, Mbangiwa T, Mbano I. Growing through the cracks: Navigating global research funding cuts as an early career researcher. S Afr J Sci. 2025;121(5/6), Art. #21941. https://doi.org/10.17159/sa js.2025/21941
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
KEYWorDS: early career researchers, research funding, international partnerships, capacity strengthening, career development
Growing through the cracks: Navigating global research funding cuts as an early career researcher
Significance:
Some early career researchers (ECRs) in South Africa, as well as globally, are facing a moment of profound uncertainty following the recent global research funding cuts that threaten the continuity of health research. This Commentary reflects on the immediate and longer-term impacts of these disruptions from the perspective of affected ECRs, highlighting the emotional toll, institutional vulnerabilities, and potential loss of career momentum. It also outlines ECR-led strategies for resilience, including local collaboration, resource sharing and systemic reform. By centring the voices of emerging scientists, this piece underscores the urgent need to safeguard the future of research through sustainable, inclusive and diversified support systems.
A new uncertainty
When the news about the US funding cuts threatening South African health research was first publicised online, many researchers were unsure whether they were being click-baited or were facing another harsh reality. However, in a matter of days, conversations shifted from uncertainty to crisis. As early career researchers (ECRs) and postdoctoral fellows at the Faculty of Health Sciences, University of Cape Town (UCT), we understand, first-hand, how deeply intertwined our scientific work is with international partnerships, and how fragile those connections can become. As our academic and research host, UCT has long been a site of excellence and innovation – particularly in infectious diseases and clinical research – not just for our own people, but for the global scientific community. As ECRs, we face many obstacles, but few have felt as existential and uncertain as this one.
the immediate and longer-term impacts
In the days following the announcement, colleagues from collaborating research groups and neighbouring institutes began to halt key clinical activities linked to clinical trials and research, such as community engagement, participant recruitment, sample collection and participant follow-up. In dire instances, participants were cut off from accessing healthcare services they had come to rely on through various research initiatives. For the few research groups that have been unaffected until now, a fickle sense of hope still exists as we expect trickle-down effects at an institutional and organisational level. In fact, while drafting this piece, we received an email forewarning that retrenchments in some staff categories are inevitable. The first thought for ECRs is “Will we be the first to go?”.
For ECRs, fellowships and short-term contracts are the general norm, and we often string together multiple funding cycles to stay afloat. Without bigger, long-term funding pipelines or bridge-funding mechanisms, even a brief disruption can derail years of progress or drive talented researchers out of the field. As it stands, more prestigious funding mechanisms tend to favour more successful principal investigators with established track records. With the sudden withdrawal of key funding opportunities, the pot has been made even smaller for an already limited pool of long-term funding opportunities. Furthermore, we are also facing the threat of losing networking momentum and visibility. For ECRs, travelling for conference outputs, global networking and research visibility are key for recognition, future funding and building meaningful collaboration networks. We work to build our reputations one abstract, one talk and one poster at a time. Without funding to attend conferences or travel for fellowships, our momentum is under threat. For many ECRs, the window to fund new ideas and opportunities for visibility and recognition is inevitably narrowing.
A career in academia on our African continent is already fraught with challenges, not least because of the oversaturation of faculty positions in health sciences. This saturation leaves many ECRs feeling stuck, questioning their commitment to academia, and seeking alternatives in industry. However, a recent lived experience of an ECR who chose to transition from academia to industry in pursuit of stability and career growth demonstrates how this pivot is not without risks in the current climate. Merely days prior to starting their newly appointed position, the opportunity was rescinded, as the position was contingent on US governmental funding. Consequently, they were compelled to return to academia. This experience is a stark reminder of how the consequences of these funding cuts span from academia into industry. These cuts not only destabilise individual careers, but also hinder the broader progress of scientific initiatives across the continent, within academic and industry-led efforts.
the emotional toll
The ECR community is experiencing a shared fear of career derailment, with years of study, training and sacrifice dissolving into uncertainty. The pressure to produce, combined with uncertainty about the future and feeling invisible in broader institutional strategies, exerts a toll on one’s mental health. However, despite the distressed climate, ECRs are still showing up – not just for each other, but for the communities we serve. In the field of infectious diseases and clinical research, our work is deeply personal: we know what is at stake, and failure is not an option.
ECr -led solutions and resilience
African researchers have proven themselves, time and again, to be resilient and adaptable. In the short term, creative solutions like stopgap funding and resource sharing may help bridge the deficit. In the long term, we
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must push to enhance local ownership, diversify funding streams and deepen institutional collaborations across Africa and beyond. This includes engaging with the private sector through innovative partnerships to support research-linked scholarships and fellowships in exchange for tax incentives, creating a mutually beneficial scenario that invests in local research talent while aligning corporate social responsibility goals. Such approaches can help anchor local research, reduce overreliance on foreign funding, and strengthen the pipeline of skilled scientists contributing to both academic and industry sectors. Exploring interdisciplinary, community-partnered research also offers an opportunity to further align our work with local priorities.
As ECRs, we have an opportunity to strengthen intra-African communities and peer-support networks for technical and emotional resilience. Creating open access knowledge banks for sharing protocols, data analysis codes and resource libraries offers an opportunity to democratise access. We ought to re-think project designs to maximise local infrastructure and reduce unnecessary dependency on any single source of international input to make our research more robust in the face of uncertainty. As the COVID-19 pandemic demonstrated, funding interruptions and shifting global priorities can significantly impact local scientific output.1 This is particularly true for African countries where scientists across disciplines with local priorities are at risk of losing their competitive edge and/or need to pivot their research when global agendas are shifted and international funds are diverted elsewhere.2 3 These outcomes demonstrate that diversification in funding sources and collaborative partnerships remains our best shield against both local and global disruptions and uncertainties.
Institutionally, ECRs need to be involved in strategic planning and crisis response, where ECR representation in decision-making for funding allocation, support planning and research direction will ensure research continuity. Institutional support for non-academic credentials or
certifications during funding lulls can ensure that we are proactive in our development, creating adaptable, future-proofed career paths.
Closing note
Being an ECR means learning to grow through the cracks – because our communities demand and deserve our perseverance. More importantly, the current crisis offers an opportunity to embrace the adage, “African solutions, by Africans, for Africans”. To the next generation of African scientists watching this moment unfold – may we see not only the cracks, but the rays of light shining through.
Acknowledgements
We thank our mentors Thomas Scriba, Edina Amponsah-Dacosta and Wendy Burgers for their support of early career researchers and for generously providing senior-level feedback on this piece.
Declarations
We have no competing interests to declare. We have no AI or LLM use to declare. All authors read and approved the final manuscript.
r eferences
1. Umviligihozo G, Mupfumi L, Sonela N, Naicker D, Obuku EA, Koofhethile C, et al. Sub-Saharan Africa preparedness and response to the COVID-19 pandemic: A perspective of early career African scientists. Wellcome Open Res. 2020;5, Art. #163. https://doi.org/10.12688/wellcomeopenres.16070.1
2. Manderson L, Levine S. COVID-19 research and science infrastructure in South Africa. S Afr J Sci. 2023;119(7/8), Art. #16294. https://doi.org/10.1 7159/sajs.2023/16294
3. Moyo-Gwete T, Moore PL. Leveraging on past investment in understanding the immunology of COVID-19 – the South African experience. S Afr J Sci. 2022;118(5/6), Art. #13171. https://doi.org/10.17159/sajs.2022/13171
AuthorS: Linda-Gail Bekker1,2 Glenda E. Gray3 4
AFFILIAtIoNS:
1The Desmond Tutu HIV Centre, University of Cape Town, Cape Town, South Africa
2The Institute of Infectious Disease and Molecular Medicine, University of Cape Town, Cape Town, South Africa
3Infectious Disease and Oncology Research Institute, University of the Witwatersrand, Johannesburg, South Africa
4South African Medical Research Council, Cape Town, South Africa
CorrESPoNDENCE to: Linda-Gail Bekker
EMAIL: linda-gail.bekker@hiv-research. org.za
hoW to CItE:
Bekker L-G, Gray GE. The BRILLIANT HIV Vaccine Consortium: Unfunded but not undone. S Afr J Sci. 2025;121(5/6), Art. #21985. https:// doi.org/10.17159/sajs.2025/21985
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
KEYWorDS:
HIV vaccine, Africa, clinical and laboratory research, discovery medicine
The BRILLIANT HIV Vaccine Consortium: Unfunded but not undone
Significance:
Whilst the global HIV epidemic can be brought under control through the deployment of antiretroviral-based treatment and prevention, elimination of HIV will require a safe, affordable and effective preventive vaccine. Africa bears the brunt of the HIV epidemic and can continue to play a significant and increasing role in the research and discovery of an African relevant HIV vaccine.
The BRILLIANT Consortium held their second whole group meeting of almost 70 clinical scientists, vaccinologists, immunologists and community advocates in Tanzania in February 2025. They celebrated the progress and achievements of the first year of their cooperative agreement with USAID together with leading international scientists in the specifically appointed scientific advisory group. Two days later, along with almost every USAID cooperative agreement worldwide, the consortium received a Stop Work Order, and one month after that, a final termination of their 5-year agreement, days short of commencing their first novel and entirely African-led HIV vaccine discovery medicine trial known as B001.
USAID funded the BRILLIANT Consortium, commencing in September 2023 following a highly competitive but also collaborative process with USAID programme officers, technical support and scientists in response to a call for proposals with the overall objective of developing and evaluating novel HIV vaccine candidates emanating from the African continent. The BRILLIANT (Bringing Innovation to cLinical and Laboratory research to end HIV in Africa through new vaccine Technology) Consortium is a multidisciplinary collaboration led by ourselves (from South Africa), together with Cissy Kityo and Betty Mwesigwa (from Uganda) and hosted at the South African Medical Research Council (SAMRC), with partners and collaborators from Kenya, Mozambique, Nigeria, South Africa, Tanzania, Uganda, Zambia and Zimbabwe.
The BRILLIANT Consortium’s mission is to conduct preclinical and clinical research that prioritises locally relevant HIV vaccine candidates to compliment and not duplicate international vaccine efforts in the high HIV incidence settings in sub–Saharan Africa. The vaccine development path of the BRILLIANT Consortium has five main objectives: (1) immunogen discovery utilising well-characterised envelopes derived from people living with HIV who had developed bNAbs; (2) vaccine platform and immunogen optimisation with tech-transfer activities; (3) clinical development pathways for first-generation immunogens; (4) community partnerships, advocacy and engagement around HIV vaccine discovery research and (5) collaboration with manufacturers to develop clinical-grade material and tech-transfer of promising candidates back to African manufacturers for further development should they show promise.
To date, almost all vaccine clinical trials have been conducted in southern and East Africa, and the BRILLIANT Consortium sought to expand into West Africa, with Nigerian investigators and institutions, with the view to starting trials there. While the expertise to conduct HIV vaccine discovery trials exists across Africa, continued investment in establishing, upgrading and modernising the clinical and pharmacy infrastructure is required. Strengthening the clinical infrastructure includes ensuring a secure energy supply (e.g. by providing generators and solar energy systems), reliable data and Internet connectivity, and well-managed pharmacies capable of safeguarding the integrity of investigational products. Conducting more complex clinical trials will also support, sustain, and energise the laboratory infrastructure and expertise in Africa. For early-phase clinical research, further investment is required to enable the diverse tissue sampling required for sophisticated immunogenicity evaluation, including mucosal sampling, leukapheresis and lymph node biopsies.
Given the magnitude of the HIV burden in Africa, with largely undescribed but unique viral and host diversity, it is critical that HIV vaccine discovery continues to include and expand the underutilised scientific expertise and capacity on the African continent. An effective and affordable HIV vaccine is necessary for the elimination of HIV, particularly in Africa. Several key challenges hamper Africa’s vaccine research and production capabilities, including inadequate funding for African-led research, equipment and infrastructure challenges, lack of preclinical evaluation capacity, limited manufacturing facilities for clinical-grade vaccines, and a shortage of scientists with specialised laboratory, bioinformatics and biostatistics training. The recent foreign AID funding freezes, elimination of the US National Institutes of Health grants and general assaults on vaccine-related science have recently increased these challenges.
Despite the loss of the USD45 million agreement (the largest ever awarded to the SAMRC) over 5 years, the BRILLIANT Consortium continues to explore and find ways to move their research plans forward. They have mapped out three distinct clinical research and development pathways, each with a discovery medicine clinical trial associated (B001-3). All are designed to investigate whether the human immune system can be ‘coaxed’ using three sets of novel immunogens to target specific HIV antigens that move B-cell precursors towards developing into the broadly neutralising antibodies now well recognised to be critical in a preventive HIV vaccine.
That there is talent and expertise to be more fully harnessed in Africa and a greater role for African scientists to play in global HIV scientific discovery is indisputable and necessary. There is an urgent need for African governments and local philanthropy to invest more in research and development, to ensure the next generation of African clinical and basic scientists and build expertise and infrastructure that will sustain and transform the research contribution from our continent. The BRILLIANT Consortium is a model of what can and must be done.
https://doi.org/10.17159/sajs.2025/21985
AuthorS: Nadine Harker1,2,3 Goodman Sibeko1 3
AFFILIAtIoNS:
1Mental Health, Alcohol, Substance Use and Tobacco Research Unit, South African Medical Research Council, Cape Town, South Africa
2School of Public Health and Family Medicine, University of Cape Town, Cape Town, South Africa
3Department of Psychiatry and Mental Health, University of Cape Town, Cape Town, South Africa
CorrESPoNDENCE to: Nadine Harker
EMAIL: nadine.harker@mrc.ac.za
hoW to CItE:
Harker N, Sibeko G. Navigating public health priorities: Substance use research in a constrained funding environment. S Afr J Sci. 2025;121(5/6), Art. #21942. https:// doi.org/10.17159/sajs.2025/21942
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
KEYWorDS: substance use, harm reduction, funding crises, public health, South Africa
Navigating public health priorities: Substance use research in a constrained funding environment
Significance:
South Africa’s substance use, which affects 13% of the population, fuels injuries, disease and mental health issues, and disproportionately impacts at-risk groups. Reduced international funding jeopardises vital research, harm reduction interventions and healthcare access. Increased domestic investment, braided funding and diverse partnerships are critical to maintain services and reduce reliance on external donors. These endeavours ensure long-term public health interventions to comprehensively combat substance use disorders.
Substance use is a critical public health issue in South Africa, which directly fuels intentional and unintentional injuries as well as communicable and non-communicable diseases, and has a multidirectional association with mental health problems. Over the last decade and a half, US federal agencies like the Centers for Disease Control (CDC), the National Institutes of Health, and the National Institute of Mental Health have supported much of the research and implementation in this area. The current funding crisis will severely undermine South Africa’s ability to gather essential epidemiological data, combat the substance use epidemic, and deliver evidence-based and harm reduction interventions.
substance use crises, harm reduction initiatives, and impacts
South Africa faces a deepening substance use epidemic, with illicit drug consumption increasing tenfold between 2002 and 2017.1 Approximately 13% of the population meets DSM-5 and ICD-11 criteria for substance use disorders during their lifetime, driven by alcohol, tobacco, cannabis, heroin, cocaine and methamphetamines.2 Among illicit drugs, opioids are the largest contributor to the global burden of disease, accounting for almost 12 million disability adjusted life years lost.3 South Africa has seen an increase in the proportion of treatment admissions for opioid-related disorders over the last 6 years.4 At-risk populations, young people, and key populations are disproportionately affected, with socio-economic factors such as unemployment (38.8% nationally) and poverty amplifying vulnerability.
In response to the growing substance use crisis, South Africa has implemented various harm reduction initiatives aimed at mitigating the adverse effects of substance use. These initiatives include needle and syringe programmes, opioid substitution therapy (OST), and community-based outreach programmes. Harm reduction services are crucial in reducing the transmission of infectious diseases such as HIV, tuberculosis, and viral hepatitis B and C, because people who inject drugs (PWIDs) and those who use drugs (PWUDs) are at increased risk of contracting these infections. Despite the importance of these programmes, coverage remains low in South Africa, with less than 1% of PWIDs receiving OST (far below the World Health Organization threshold of 40% of PWIDs accessing OST). Additionally, the distribution of needles and syringes is also far below the recommended levels for effective HIV and hepatitis C prevention, at 30% of the target of 200 sterile needles and syringes per person per year.5-7 In South Africa, the funding for these initiatives primarily comes from international sources, such as the US President’s Emergency Plan for AIDS Relief (PEPFAR), with minimal domestic funding limited to isolated provincial initiatives, such as the City of Tshwane municipality.6 It is also worth noting that harm reduction initiatives have played a significant role in destigmatising substance use disorders, intending to increase access to care and ultimately improve control of the HIV epidemic and other infections. While significant strides have been made towards destigmatising harm reduction initiatives and improving treatment for PWIDs/PWUDs, the loss of funding threatens to reverse these important gains.
Research institutions and treatment and harm reduction service providers have received federal funding for studies ranging from identifying the tuberculosis and HIV disease burden among PWUDs – including studies testing evidence-based behavioural interventions across the continuum of care, which include polysubstance use monitoring and text-based health promotion – to decreasing polysubstance use (i.e. alcohol and tobacco/ cannabis) during pregnancy, preventing adverse clinical outcomes such as Foetal Alcohol Spectrum Disorders, as well as studies investigating drug use and sexual practices that place injection and non-injection substance users at risk. The cuts in federal funding will have a profound impact on the continuity of South Africa’s current programmes aimed at addressing these adverse outcomes. For instance, CDC/PEPFAR has supported a multi-city harm reduction project in South Africa, a significant portion of which was for methadone (USD1 172 260).6 While it is not possible at this time to source consolidated and granular budgets, the estimated federal funding towards substance use research is estimated at USD2 181 101.
Furthermore, these global funding cuts as a consequence of changed funder priorities have resulted in significant uncertainties, given that researchers in the substance use treatment, prevention, and harm reduction fields have historically relied on international funding to conduct vital studies on substance use and its associated health risks among vulnerable and key populations. The withdrawal of funding will undoubtedly lead to the suspension or termination of several key research projects, particularly those focused on HIV, tuberculosis and viral hepatitis B and C, and studies focused on prevention and treatment more broadly. This disruption not only hampers scientific progress but also directly impacts research participants, many of whom depend on these projects for access to healthcare services. For instance, participants in HIV prevention and maternal health trials often receive regular medical check-ups, counselling, and treatment for other health conditions as part of the study. While
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the basic health service is well supported by the Department of Health, the termination of these projects leaves participants without essential healthcare support, exacerbating their vulnerability.
Notwithstanding the significant health impacts, the likely epidemiological outcomes of the significantly reduced access to funding are also of concern, given that the reduction in research activities hampers the ability to monitor and respond to emerging trends in substance use. This lack of data makes it challenging to develop effective public health strategies and interventions.
However, despite the negative impacts, the current funding situation can perhaps be seen as timely. It brings to the fore the importance of prioritising substance use research and evidence-based interventions in South Africa by building a more robust financial framework to address the substance use crisis comprehensively. For example, South Africa could adopt braided funding mechanisms to integrate domestic contributions with international contributions for substance use disorder research. This can be done by increasing government department allocations toward substance use programmes and research, by aligning budgets under the National Drug Master Plan, and abandoning historical, siloed approaches.8 The Central Drug Authority in South Africa is responsible for overseeing and monitoring the implementation of the National Drug Master Plan, which aims to combat substance abuse through prevention, treatment, and harm reduction strategies. It also facilitates coordination among government departments, provincial forums, and local drug action committees while advising the Minister of Social Development on policies and measures to address substance abuse effectively.9 In addition, collaborations with non-govenrnmental and community organisations can attract both domestic and international research funding, thereby both addressing research needs and ensuring essential services continue to reach those most vulnerable.6 Furthermore, Hatcher and colleagues10 argue for leveraging support from private foundations, wealthy individuals, and pharmaceutical companies’ entities whose generational wealth and revenue streams have been shaped by advancements in HIV treatment, prevention, and care. By doing so, we can possibly reduce our reliance on external sources of funding and instead invest more of our national departmental budgets into this critical area, under the purview of the Central Drug Authority. External funding can then serve to enhance a more robust internal system instead of being the main source. This shift would not only strengthen the country’s ability to address the substance use crisis comprehensively but also build a sustainable model for long-term public health interventions.
Conclusion
South Africa’s challenge in funding the research and treatment of substance use disorders highlights the urgent need for sustainable solutions. Reduced funding for research and intervention efforts hinders the ability to respond to emerging trends; but this moment also presents an opportunity to prioritise evidence-based approaches. By adopting braided funding mechanisms, increasing government allocations under the National Drug Master Plan, and fostering partnerships with non-governmental and community organisations, essential services can continue to reach vulnerable populations while addressing research
gaps. Leveraging resources from private foundations, pharmaceutical companies, and individuals connected to fighting the HIV epidemic offers a way to diversify funding streams and reduce reliance on external donors. Strengthening domestic investment and aligning efforts across sectors will enable South Africa to comprehensively tackle its substance use crisis and build a more equitable public health system.
Declarations
We have no competing interests to declare. The Grammarly writing assistant tool was used to improve writing by checking for grammar, spelling and punctuation errors. It also offered suggestions for enhancing writing style, tone and vocabulary. Both authors read and approved the final manuscript.
r eferences
1. Mutai KK, Stone J, Scheibe A, Fraser H, Johnson LF, Vickerman P. Trends and factors associated with illicit drug use in South Africa: Findings from multiple national population-based household surveys, 2002-2017. Int J Drug Policy. 2024;125, Art. #104352. https://doi.org/10.1016/j.drugpo.2024.104352
2. Herman AA, Stein DJ, Seedat S, Heeringa SG, Moomal H, Williams DR. The South African Stress and Health (SASH) study: 12-Month and lifetime prevalence of common mental disorders. S Afr Med J. 2009;99(5 Pt 2): 339–344.
3. Degenhardt L, Charlson F, Ferrari A, Santomauro D, Erskine H, MantillaHerrara A, et al. The global burden of disease attributable to alcohol and drug use in 195 countries and territories, 1990-2016: A systematic analysis for the global burden of disease study 2016. Lancet Psychiatry. 2018;5(12):987–1012. https://doi.org/10.1016/S2215-0366(18)30337-7
4. Harker N, Lucas WC, Laubscher R, Dada S, Myers B, Parry CD. Is South Africa being spared the global opioid crisis? A review of trends in drug treatment demand for heroin, nyaope and codeine-related medicines in South Africa (2012-2017). Int J Drug Policy. 2020;83, Art. #102839. https://doi.o rg/10.1016/j.drugpo.2020.102839
5. Larney S, Peacock A, Leung J, Colledge S, Hickman M, Vickerman O, et al. Global, regional, and country-level coverage of interventions to prevent and manage HIV and hepatitis C among people who inject drugs: A systematic review. Lancet Glob Health. 2017;5(12):1208–1220. https://doi.org/10.101 6/s2214-109x(17)30373-x
6. Shelly S. Harm reduction financing landscape analysis in South Africa. London: Harm Reduction International; 2022. Available from: https://hri.glob al/wp-content/uploads/2023/04/SOUTH-AFRICA-DESIGN_FINAL.pdf
7. World Health Organization (WHO). New WHO guidance on HIV viral suppression and scientific updates released at IAS 2023. Geneva: WHO; 2023.
8. Parliament of South Africa. Fight against illegal drug use in spotlight as committee interrogates Central Drug Authority annual report. Cape Town: Parliament of South Africa; 2025.
9. South African Government. National Drug Master Plan 2019-2024. Pretoria: Department of Social Development; 2020. Available from: https://www.gov.z a/sites/default/files/gcis_document/202006/drug-master-plan.pdf
10. Hatcher AM, Metheny N, Dunkle KL, Fielding-Miller R. A refusal to abandon HIV science. AIDS. 2025;39(6):768–770. https:doi.org/0.1097/QAD.00000 00000004188
https://doi.org/10.17159/sajs.2025/21942
AuthorS:
Marlise Richter1,2 Constance Mathe3
AFFILIAtIoNS:
1EthicsLab, University of Cape Town, Cape Town, South Africa
2African Centre for Migration & Society, University of the Witwatersrand, Johannesburg, South Africa
3Sex Worker Education & Advocacy Taskforce (SWEAT), Cape Town, South Africa
CorrESPoNDENCE to: Marlise Richter
EMAIL: marlise.richter@gmail.com
hoW to CItE: Richter M, Mathe C. Invisible glue, holding space and the puzzle pieces of solidarity: United States funding and sex workers in South Africa. S Afr J Sci. 2025;121(5/6), Art. #21943. https://doi.org/10.17159/sa js.2025/21943
Invisible glue, holding space and the puzzle pieces of solidarity: United States funding and sex workers in South Africa
Significance:
The recent US funding cuts have far-reaching repercussions for public and global health. Many tailored sex worker health programmes and research projects have been terminated. The far-reaching consequences are not just health related, but also impact on sex worker cohesion, belonging, and the relationships between sex workers, health workers and researchers.
We are researchers on a project entitled ‘Cooking and Conversation Circles: Exploring understandings of solidarity and care among young women in the rural Western Cape’. At the time of writing, we are in the middle of fieldwork exploring how young sex workers make sense of solidarity. We do so by having informal conversations around activities such as communal cooking and crafting. Our combined sense-making is intended to inform a multi-country project called the ‘Global Health Solidarity Index’ funded by a charitable foundation in the UK.
We mention the location of the funders of the project deliberately. While the mechanics of the research project itself may not be threatened by the global health funding cuts by the US, the world in which it is situated has profoundly changed since these developments.
Sex workers are severely affected by the programmatic stop-work orders, the reviews and funding terminations (particularly by PEPFAR), possible and actual NIH research funding cuts, and the hollowing out of USAID. Whilst early predictions about the impact of these funding cuts are grim – an expected 600 000 additional deaths in the next ten years1 – sex workers may be at the coal face of those impacts. A modelling study warns that “key populations could potentially become even more marginalised”2
We are aware of the irony of conducting research on solidarity, and having the means to do so, while the global order is being shaken by its exact opposites – antipathy, hostility and self-seeking. As researchers, we are asking participants to spend time with us dissecting a concept that might hold little sway in their specific context as public institutions and services have traditionally shown little empathy with sex workers.
The issues that we discuss include concepts like ‘allyship’, ‘inclusivity’, ‘belonging’, ‘gender’, ‘health equity’, ‘key populations’, ‘marginalised’, ‘diversity’ and ‘social justice’ – terms that have been flagged as so-called ‘woke language’ and that are scrubbed from US agency websites and school curricula and may lead to the automatic review of grants.3 In fact, the Trump administration has directed CDC scientists to withdraw academic papers that include some of these terms.4 This increasingly venomous environment is having a profoundly chilling effect on research, researchers and programmes with sex workers and other key populations in South Africa and elsewhere. As Hatcher and colleagues write, “Indirect attacks on science funding and direct attacks on some human bodies have the same goal: to make us quiet and fear fighting back together.”5
In the early 1990s, prejudice and hostility against sex workers and other marginalised groups were increasingly shown to have a negative impact on the spread of HIV.6 In response, US HIV funding from the late 1990s onwards specifically started to include highly stigmatised or vulnerable populations, including sex workers. This research funding included compensation for research-related costs for participants, attentive health services for research participants, and employment opportunities as fieldworkers or research assistants. Whilst HIV research has changed the trajectory of the AIDS epidemic dramatically – to the extent that there was some hope we could “End AIDS” by 20307 – another, less recognised effect is that of providing safe spaces for members of key populations, sex workers included.
With the progressive extension of HIV research to key populations – those most at risk of HIV – these funds brewed a powerful (and unintended) invisible glue for sex workers. Health services – whether as part of programmes or research – often created “safe spaces” for sex workers. These are physical places where sex workers can gather, where they can speak openly and proudly, and that they can call “their own”. These spaces built cohesion, political education and consciousness-raising, while supporting healthcare workers and other service providers to become allies and patient advocates for sex workers.
This invisible glue was not automatically weakened by US ideological funding requirements like the ‘PEPFAR Anti-Prostitution Pledge’ and the ‘Global Gag Rule’. Some programme implementers and researchers worked within these systems to ‘hold space’ for sex workers and their health, and to continue important services without falling foul of their contractual requirements.
Catastrophically, three chaotic months of US funding cuts may have already jeopardised years’ worth of careful relationship- and trust-building between healthcare workers and members of key populations, sex workers included. Our experience is that some will now avoid health care altogether. Few other spaces with invisible glue exist –particularly as South African law still perplexingly retains apartheid-era laws that criminalise adult, consensual sex work (or ‘prostitution’).8 Against this background, early directives from health NGO managers to staff to not speak to the media or on social media are particularly painful.9 It muzzled key allies of key populations at a time of acute crisis and uncertainty, thus fuelling more distrust and doubt over true allyship.
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Key populations have lost important lifelines and allies through the dismantling of stand-alone health programmes and through research funding cuts. Equally worryingly is that the South African government is yet to publish an emergency plan to cushion these effects.10 11 As researchers, we know the evidence, the mathematical modelling and best practice, and we will persist in pressuring government to save the lives of key populations.
Within this layered and painful context, we will continue our research on solidarity. We will arrive at the small community centre with a box of bright paper, glitter glue and fabric paint to sketch body-maps, to redraw township maps and to talk about “community” and its “assets”. We will talk about connection and care, and how it manifests in the material realities of our very different lives.
If we are lucky, we might be able to dream the shape of an imagined, new world together, of what true solidarity might look like, and then carefully conjure one or two of the puzzle pieces that are needed to build it.
When so much feels unbearable, perhaps a researcher’s role here is to create and hold space for others, especially when it is rapidly eroding elsewhere. To document, to “refuse to abandon HIV science”5, and to use evidence to demand better. And to help reimagine a better world.
Acknowledgements
We are thankful to Jantina de Vries for thoughtful conversations and input into this article.
Declarations
We have no competing interests to declare. We have no AI or LLM use to declare. Both authors read and approved the final manuscript.
r eferences
1. Grimsrud A, Wilkinson L, Raphael Y, Tshabalala S, Moses AK, Hassan F, et al. Early online: Securing our HIV response: The PEPFAR crisis in South Africa. S Afr Med J. 2025;15(3), e3216. https://doi.org/10.7196/SAMJ.2025.v11 5i3.3216
2. Ten Brink D, Martin-Hughes R, Bowring AL, Wulan N, Burke K, Tidhar T, et al. Impact of an international HIV funding crisis on HIV infections and mortality in low-income and middle-income countries: A modelling study. Lancet HIV. Forthcoming 2025. https://doi.org/10.1016/S2352-3018(25)00074-8
3. Yourish K, Daniel A, Datar S, White I, Gamio LM. These words are disappearing in the new Trump administration. New York Times. 2025 March 07. Available from: https://www.nytimes.com/interactive/2025/03/07/us/trump-federal-ag encies-websites-words-dei.html
4. Heidt A. ‘Mind-boggling’: US CDC orders gender-related terms cut from scientific papers. Nature News. 2025 February 04. https://doi.org/10.1038 /d41586-025-00367-x
5. Hatcher AM, Nicholas M, Dunkle KL, Fielding-Miller R. A refusal to abandon HIV science. AIDS. 2025;39(6):768–770. https://doi.org/10.1097/QAD.000 0000000004188
6. Goldenberg SM, Morgan Thomas R, Forbes A, Baral S. Overview and evidencebased recommendations to address health and human rights inequities faced by sex workers. In: Goldenberg SM, Morgan Thomas R, Forbes A, Baral S, editors. Sex work health and human rights. Cham: Springer; 2021. https://do i.org/10.1007/978-3-030-64171-9_1
7. Abdool Karim Q, Mayer KH, Mohan J, Del Rio C. The audacious goal to end AIDS by 2030: Aspiration or reality? J Int AIDS Soc. 2024;27(7), e26339. https://doi.org/10.1002/jia2.26339
8. Boudin C, Richter M. Adult, consensual sex work in South Africa – the cautionary message of criminal law and sexual morality. S Afr J Hum Rights. 2009;25(2):179–197. https://doi.org/10.1080/19962126.2009.11865199
9. Malan M. How the health department will deal with PEPFAR’s near collapse. Bhekisisa. 2025 February 18. Available from: https://bhekisisa.org/health-n ews-south-africa/2025-02-18-how-the-health-department-will-deal-with-pe pfars-near-collapse/
10. Venter F. Our HIV programme is collapsing – and our government is nowhere to be seen. But urgent action can save us. GroundUp. 2025 April 23. Available from: https://groundup.org.za/article/sas-hiv-programme-collapsing---our-g overnment-nowhere-to-be-seen/
11. Copelyn J. How much does our HIV response depend on US funding? GroundUp. 2025 March 13. Available from: https://groundup.org.za/article/ how-much-did-sas-hiv-response-depend-on-us-funding/
https://doi.org/10.17159/sajs.2025/21943
AuthorS: Desiree C. Petersen1
Liezel C. Smith1
Craig J. Kinnear1 2 Samantha L. Sampson1
AFFILIAtIoNS:
1South African Medical Research Council Centre for Tuberculosis Research and Division of Molecular Biology and Human Genetics, Faculty of Medicine and Health Sciences, Stellenbosch University, Cape Town, South Africa
2South African Medical Research Council Genomics Platform, Cape Town, South Africa
CorrESPoNDENCE to: Samantha Sampson
EMAIL: ssampson@sun.ac.za
hoW to CItE: Petersen DC, Smith LC, Kinnear CJ, Sampson SL. Beyond the cuts: Rethinking South African research dependencies amid funding uncertainty. S Afr J Sci. 2025;121(5/6), Art. #21976. https:// doi.org/10.17159/sajs.2025/21976
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
KEYWorDS:
NIH, South Africa, tuberculosis, genomics, sustainability
FuNDING:
South African National Research Foundation (SRUG2204244585, CSUR23042095435), South African Medical Research Council, South African Research Chairs Initiative of the Department of Science, Technology and Innovation/National Research Foundation of South Africa (UID 86539)
Beyond the cuts: Rethinking South African research dependencies amid funding uncertainty
Significance:
This Commentary provides an overview of the lived experiences of biomedical researchers in the face of sudden and unexpected funding cuts for biomedical research and health care in South Africa and beyond. It outlines the potentially devastating impact of the cuts on scientific progress, human health and livelihoods. We highlight the urgent need to rethink existing funding models. Consideration is given to potential alternative approaches to move away from historical dependencies, to ensure the sustainability and resilience of the South African research ecosystem.
Global funding cuts with local impact
The sudden and severe reduction of US federal support for specific research and healthcare programmes is causing great concern in the scientific community worldwide.1-4 In parallel, geopolitical events are driving cuts to international aid from UK and European sources, exacerbating the situation in sub-Saharan Africa in particular.5-7 We discuss how these recent developments are threatening the existence of long-standing research networks and exerting an emotional toll on the scientific community. We also consider the way forward, including approaches to sustain the research landscape while reducing South Africa’s dependency on international funding.
Damage to research networks and relationships
Counter to the sudden ‘Eureka’ moment stereotype, scientific advances are often incremental – enabled by years of rigorous research, but also through extensive preparation, training and network building. Unexpected funding interruptions will likely irretrievably damage long-established stakeholder relationships built on trust and mutual benefit – with our trainees, study participants and the extended scientific community. For example, one of us co-leads an NIH-funded training grant focused on the implementation of a bioinformatics training programme. Bioinformatics is a multidisciplinary field, bringing together life sciences and powerful computational approaches, including AI tools, and is sorely needed to make sense of large data sets. This can translate research findings into new interventions for a range of health problems, including infectious and non-communicable diseases. However, there is a worldwide shortage of bioinformaticians.8 In recognition of the global importance of this programme, it includes over 20 US partners, with relationships cultivated over several years. Cessation of funding for this programme will represent a major setback; besides the loss of support for 16 postgraduate students, it will negatively impact ongoing collaborative work.
We also have long-standing collaborations with US-based partners focused on well-established study cohorts in South Africa’s Northern Cape Province, which has a high tuberculosis (TB) burden.9 This work has uncovered important insights into the role of host genetic variants in predicting disease risk for TB.10 We have carefully developed relationships with communities, fostering mutually beneficial partnerships through continuous engagement. Sudden disruption of funding will seriously impede research progress and reduce access to health checks. More importantly, it is likely to harm future interactions by leaving the community feeling abandoned and breaking trust.
One of us (C.J.K.) leads the South African Medical Research Council’s (SAMRC) prestigious Genomics Platform. Established in 2019, the Platform has supported numerous studies, including large TB clinical trials (mostly funded through the NIH) that make up the bulk of their core business. Defunding is forcing researchers to either scale back or suspend their studies, thereby reducing the demand for the Platform’s services, threatening its financial sustainability. As an intra-mural unit, the Genomics Platform receives SAMRC funding for its daily operations, including staffing. Unfortunately, the SAMRC itself is facing the consequences of the federal cuts, most notably highlighted by the termination of the SAMRC-led BRILLIANT consortium HIV clinical trial earlier this year.
Approximately 28% of the SAMRC budget comes from US federal funding agencies. Losing this funding will impact research and development initiatives through the Genomics Platform. To mitigate the loss, the SAMRC would urgently need to explore alternative funding strategies. However, all is not lost, as recently diversifying service offerings and establishing partnerships with other genomics service providers has significantly reduced the costs of next-generation sequencing, making the Genomics Platform more accessible to a wider pool of users.
In summary, our personal experience outlined here reflects the broader community in which funding cuts are very likely to have devastating impacts on health outcomes, as communities will have reduced access to health resources and necessary medications. Further, biomedical researchers and healthcare workers are facing job losses, threatening their livelihoods at a time when the economy is already very constrained and unpredictable.
Mental toll on researchers
Scientists are human too, and the scientific community is experiencing significant mental strain in the face of enormous uncertainty. This situation is particularly acute among health researchers in South Africa, who are justifiably concerned about the future of their research. Many of us have dedicated our professional lives to improving the health and well-being of the communities we serve. There is therefore widespread discord among researchers as a result of a sudden misalignment between research topics and the shifting priorities of funding agencies. Researchers are also troubled by the perception that funding decisions do not take into account scientific merit and public health needs, with a sense of restricted academic freedom. The high likelihood of retrenchments as a consequence of funding cuts is raising fears that careers are at risk, contributing to a profound sense of
https://doi.org/10.17159/sajs.2025/21976
disruption in researchers’ professional and personal lives.3,4 These points collectively illustrate the significant mental health burden that is being experienced by the broader scientific community.
r ethinking South African dependencies
South Africa is the biggest recipient of NIH funding outside the USA. South Africa has a large burden of HIV and TB, along with well-developed research infrastructure and clinical trial sites11 12; it has therefore long been an attractive partner for US-based collaborators to deliver impactful outcomes. The flip side of this is that there has therefore been little incentive to leverage local funding sources. Although there have been numerous calls to establish sustainable local funding models, especially during the COVID-19 pandemic when countries had to become more self-reliant, maintaining a steady flow of research funds without international support has proven to be very challenging. Therefore, the threat of a sudden and complete halt of US federal funds to South Africa has caused great concern throughout the scientific community.1 If support had been gradually phased out, the development and implementation of sustainable long-term solutions would have been more feasible. Unfortunately, in the short term, we are faced with an urgent need for contingency plans that would ensure the sustainability of current biomedical research being conducted in our country.3 Longer term, there is a need for new approaches to ensure multiple levels of self-sufficiency13, which could be achieved by an increased healthcare budget3, strengthening links with industry partners and the private healthcare sector as well as continued integration amongst BRICS members. This is elaborated on in the recently published concept paper from the Africa Centres for Disease Control and Prevention (CDC), ‘Africa’s Health Financing in a New Era’.14 This concept paper outlines a three-pronged approach to ensuring sustainable domestic investment in health: (1) increased domestic financing (urging countries to increase domestic spending on public health), (2) more innovative funding models (including “solidarity levies” and taxes on luxury goods and imports) and (3) blended financing (leveraging strategic combinations of public and private capital, including from foundations and philanthropic organisations). The recently established African Epidemic Fund provides a means to rapidly and flexibly deploy pooled funding to member countries to support outbreak preparedness and response.15 Initiatives such as these could ultimately enhance the rate at which translational research is being performed, with the aim of establishing systems that effectively alleviate the burden placed on our public healthcare facilities.
As South Africans, we are known for our resilience, which may be the very characteristic that steers us beyond an era in which our research capabilities are mainly determined by external resources. An ideal outcome would be for local scientists to engage more with others working in similar fields, to remove the ingrained mentality of research silos, and to diversify research funding sources, whilst still attracting international support. In the meantime, striving for more common-interest partnerships to achieve the common good, and reciprocally beneficial collaborations for both the recipient and donor countries, should be strongly considered as a way forward.
Acknowledgements
We acknowledge the support of the South African Medical Research Council Centre for Tuberculosis Research, Division of Molecular Biology and Human Genetics, Faculty of Medicine and Health Sciences, Stellenbosch University and of the South African Medical Research Council Genomics Platform.
Funding
D.C.P. is funded by the National Research Foundation of South Africa (award number SRUG2204244585). L.C.S. is funded by the National Research Foundation of South Africa (award number CSUR23042095435).
C.J.K. is funded by the South African Medical Research Council. S.L.S. is funded by the South African Research Chairs Initiative of the Department of Science, Technology and Innovation/National Research Foundation of South Africa (award number UID86539).
Declarations
D.C.P., L.C.S., C.J.K. and S.L.S. are all scientific researchers affiliated with the South African Medical Research Council and Stellenbosch University. They have all contributed to this piece through their own personal capacities and perspectives, which do not necessarily reflect the opinions and views of their host institutions or the organisations with which they are affiliated. The initial draft was submitted on 31 March 2025. We have no competing interests to declare. We have no AI, ML or LLM use to declare. All authors read and approved the final version.
r eferences
1. Reardon S. Fear spreads that NIH will terminate grants involving South Africa. Science Insider. 2025 March 14 [cited 2025 Mar 31]. Available from: https ://www.science.org/content/article/fear-spreads-nih-will-terminate-grants-in volving-south-africa
2. Kozlov M, Mallapaty S. Exclusive: NIH to terminate hundreds of active research grants. Nature News. 2025 March 06. Available from: https://www. nature.com/articles/d41586-025-00703-1
3. O’Regan V. Health bodies call for increased budget to mitigate impact of US aid freeze. Daily Maverick. 2025 March 18 [cited 2025 Mar 31]. Available from: https://www.dailymaverick.co.za/article/2025-03-18-health-and-human-ri ghts-groups-again-call-on-government-to-mitigate-impact-of-us-aid-freeze
4. Tollefson J. What’s in store for US science as funding bill averts government shutdown. Nature News. 2025 March 17. https://doi.org/10.1038/d41586-0 25-00827-4
5. Lay K. “This will cost lives”: Cuts to UK aid budget condemned as “betrayal” by international development groups. The Guardian. 2025 March 02. Available from: https://www.theguardian.com/global-development/2025/mar/02/thiswill-cost-lives-cuts-to-uk-aid-budget-condemned-as-betrayal-by-internation al-development-groups
6. Gros M, Coi G. Europe’s NGOs fear Trump-style funding cuts are coming. POLITICO. 2025 April 14 [cited 2025 Apr 14]. Available from: https://www .politico.eu/article/europes-ngos-fear-trump-style-funding-cuts-are-coming/
7. Galvin G. ‘Utterly devastating’: Global health groups left reeling as European countries slash aid. Euronews. 2025 March 07. Available from: https://ww w.euronews.com/health/2025/03/07/utterly-devastating-global-health-group s-left-reeling-as-european-countries-slash-foreign-
8. Attwood TK, Blackford S, Brazas MD, Davies A, Schneider MV. A global perspective on evolving bioinformatics and data science training needs. Brief Bioinform. 2017;20(2):398–404. https://doi.org/10.1093/bib/bbx100
9. South African National Institute for Communicable Diseases. TB surveillance dashboard and other resources [webpage on the Internet]. c2017 [cited 2022 Apr 24]. Available from: https://www.nicd.ac.za/tb-surveillance-dashboard/
10. Ndong Sima CAA, Smith D, Petersen DC, Schurz H, Uren C, Möller M. The immunogenetics of tuberculosis (TB) susceptibility. Immunogenetics. 2023;75(3):215–230. https://doi.org/10.1007/s00251-022-01290-5
11. Pelzer PT, Holleman M, Helinski MEH, Weinberg AL, Buis J, Beattie P, et al. The TB vaccine clinical trial centre directory: An inventory of clinical trial centres in sub-Saharan Africa. PLoS ONE. 2024;19(10), e0292981. https://doi.org/1 0.1371/journal.pone.0292981
12. HIV Vaccine Trials Network. Study clinics [webpage on the Internet]. No date [updated 2025 Jan 31; cited 2025 Apr 14]. Available from: https://www.hvtn .org/participate/study-clinics.html
13. Ntusi N. US aid cuts are an opportunity to reimagine global health. Nature Med. 2025;31, Art. #719. https://doi.org/10.1038/d41591-025-00009-9
14. Africa Centres for Disease Control and Prevention (CDC). Africa’s health financing in a new era – April, 2025. Addis Ababa: Africa CDC; 2025. Available from: https:// africacdc.org/download/africas-health-financing-in-a-new-era-april-2025/
15. Africa Centres for Disease Control and Prevention (CDC). Newly launched African Epidemic Fund to strengthen health security [webpage on the Internet]. c2025 [cited 2025 Apr 24]. Available from: https://africacdc .org/news-item/newly-launched-african-epidemic-fund-to-strengthenhealth-security/
https://doi.org/10.17159/sajs.2025/21976
booK tItLE: Fighting an Invisible Enemy: The Story of the National Institute for Communicable Diseases
Author: Barry Schoub
ISbN: 9781776148974 (paperback, 202 pp)
PubLIShEr: Wits University Press, Johannesburg; USD35
PubLIShED: 2024
rEVIEWEr: Lynn Morris1
AFFILIAtIoN:
1Antibody Immunity Research Unit, South African Medical Research Council, University of the Witwatersrand, Johannesburg, South Africa
EMAIL: Lynn.Morris@wits.ac.za
hoW to CItE:
Morris L. From polio to COVID: Inside story of the NICD. S Afr J Sci. 2025;121(5/6), Art. #21578. https:// doi.org/10.17159/sajs.2025/21578
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
PubLIShED:
29 May 2025
From polio to COVID: Inside story of the NICD
Barry Schoub has written a first-hand account of his almost four decades at the helm of South Africa’s major public health institute. The memoir provides an important historical narrative on the birth and evolution of the National Institute for Communicable Diseases (NICD), located on the outskirts of Johannesburg. The NICD is a national asset responsible for safeguarding the public against infectious disease outbreaks, and Schoub has done an invaluable job in documenting its long and tangled history. From its start in the mid-1950s using public donations to produce a much-needed polio vaccine, it was transformed in the mid-1970s into a virology institute following a fatal case of a viral haemorrhagic fever. It was not until 2001 that the NICD in its current form came into being. Over the last 25 years, the NICD has tackled such formidable foes as HIV, Ebola, tuberculosis, influenza, listeriosis and COVID-19.
The book is part memoir and part history, and covers all the major transitions and much more. It provides a compelling insight into the inner workings of how teams of scientists go about their mission. Complemented by vivid pictures of microscopic viruses and bacteria, high-tech laboratories with staff in space suits, and an iron lung that is still on display at the NICD today, it strikes a balance between technical detail and engaging stories that is readily accessible to a general audience. Tellingly, the book is more about the Institute and its scientific endeavours than about Schoub’s own scientific accomplishments, which are numerous. But there is no doubt that Schoub is an institution-builder, able to bring his vision of a science-led public health institution to fruition despite considerable opposition.
One of the most revealing aspects of the book is Schoub’s candid description of his frustrations in dealing with senseless bureaucracy and political interference in the early years under the apartheid government. He laments the Institute being treated as an administrative office rather than as a scientific organisation and the requirement for lengthy approvals to attend conferences and publish scientific manuscripts. Appeals to those on the outside, including colleagues within government departments, went unheard, and he threatened to resign. He also talks of the depth of despair at international isolation and colleagues declining invitations to visit because of the apartheid regime. Reading this now, it is clear that Schoub’s intention in creating the NICD was not only to broaden its mandate but also to free the Institute from this stifling situation. He recognised that we needed a modern, globally relevant public health institute capable of addressing the country’s unique disease burden and dealing with future outbreaks. Appropriately, there is a whole chapter devoted to the topic of HIV and AIDS and how, through its advanced surveillance systems, the NICD documented the rise of infection rates from 0.7% in 1990 to over 20% among pregnant women in a period of 8 years. He details one of the most ludicrous and shameful periods in South African medical history: the era of AIDS denialism. For a president and health minister to go against the advice of not only their leading medical professionals, but of globally accepted scientific norms, is still beyond comprehension. This period cost hundreds of thousands of lives and left many, myself included, feeling helpless. Reading this book brought back unpleasant memories of being compelled to participate in the bizarre Presidential AIDS Advisory Panel which included one of the denialists, who refused to wear protective clothing, handling a flask full of infectious HIV particles. There is also the embarrassment of the Virodene scandal and the brave members of the Medicines Control Council who lost their jobs after refusing to register this chemical solvent as an anti-HIV treatment. This era remains a mystery, and Schoub speculates as to the possible reasons for this.
The last chapter deals with emerging communicable diseases and the ongoing threats of epidemics and pandemics. He explains how environmental destruction, climate change and increased wildlife trade contribute to the emergence of new viruses. Respiratory-spread viruses like influenza and SARS-CoV-2 have already had devastating effects and have shaped human history. Despite retiring as NICD Director a decade earlier, Schoub played a key role during the COVID-19 pandemic. Fortunately, this time around the government chose to listen to the experts and relied heavily on the epidemiological and viral genetic data that were generated by the NICD and others. One of the controversies during the COVID-19 pandemic was vaccine access and Schoub rightly criticises rich countries for hoarding vaccines during the pandemic.
Throughout the book, Schoub highlights the many talented and dedicated staff of the NICD. Having served in a leadership position there, I strongly concur with his sentiments. When COVID-19 struck, the NICD became the epicentre of South Africa’s response. What impressed me greatly was how willingly the divisional heads stepped up to lead the emergency outbreak response, often sacrificing their own research programmes and responsibilities and putting in unimaginably long hours. The NICD is not a purely research or academic environment – but it relies on having strong research leaders to fulfil its public health mandate. Balancing the needs of individual research careers against the need to have staff service the public interest, is a delicate task that Schoub managed exceptionally well. As a result, many scientific leaders emerged from the NICD, some of whom continue to work there today.
In the epilogue, Schoub reflects on the lessons learned and the need for preparedness in fighting the invisible enemies of the future. He highlights that while scientific contributions are critical, other factors such as communication, community involvement, and economics are equally important. The impact of misinformation around COVID-19 caused significant harm as people refused vaccinations or used untested and toxic treatments. He discusses the international efforts underway to deal with future pandemics and the critical role of independent public health institutes in monitoring and responding to these threats. Fighting an Invisible Enemy is an essential read for anyone interested in global health, leadership, and the inner workings of disease surveillance and control.
PubLIShEr: Rutgers University Press, New Brunswick, NJ
PubLIShED: 2024
rEVIEWEr: Linda M. Richter1
AFFILIAtIoN:
1DSI-NRF Centre of Excellence in Human Development, University of the Witwatersrand, Johannesburg, South Africa
EMAIL: Linda.Richter@wits.ac.za
hoW to CItE: Richter LM. Generational health and well-being. S Afr J Sci. 2025;121(5/6), Art. #21259. https:// doi.org/10.17159/sajs.2025/21259
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
PubLIShED: 29 May 2025
Generational health and well-being
Michelle Pentecost’s book is the 24th, and most recent, title in the Medical Anthropology: Health, Inequality, and Social Justice Series, edited by Lenore Manderson. Having read an earlier paper by Pentecost and Ross1 on the same topic, I looked forward to reviewing this publication of Pentecost’s PhD thesis, successfully submitted to Oxford University in 20172. Essentially, it critically examines the idea – and its implications – of what is called the Development Origins of Health and Disease (DOHaD).
Embedded in many cultures is the belief that experiences early in life determine adult personality, health and well-being; most famously, Plato’s statement that “The child is father of the man”. In the first half of the 20th century, the scientific notion of ‘hard hereditary’ was challenged by the insight that conditions of early life modified genetic expression. The rumblings in public health came from links between socio-economic conditions and health inequalities. But it was the work of David Barker on historical birth data and adult cardiovascular disease that strengthened the concept of foetal programming – later DOHaD – as a conceptual paradigm linking health and disease in later life to environmental factors operating preconceptionally, prenatally, and/or in the early postnatal period.3
Pentecost’s thesis is that “The first 1,000 days image of futurity concentrates on the figure of the mother as agential environment, but does not recognise the historical and social factors that structure the relations that make for the uneven distribution of potential futures.” (p. 138) As Manderson explains in the Introduction, the central problem is “responsibility for historical injury. That is, apartheid and its vestiges in contemporary South African society undermine the capacity of women and others in their family to live, eat and act in ways that would ensure the best possible outcomes for their children.” Further that “The focus on early life interventions to prevent adult cardiometabolic risk has led to a gendered approach to tackling non-communicable diseases that pays little attention to the local circumstances of women’s lives.” (p.xii) To be clear, Pentecost does not review the science behind the DOHaD propositions or the legitimacy of inter-generational, epigenetic influences on biology or psychology. Rather, her analysis centres on how DOHaD ideas are implemented in the 1,000 Days Campaign, formalised by the Western Cape Government in 2016.4
I am deeply sympathetic to Pentecost’s ideas and have expressed similar sentiments in my own work on early childhood development, cautioning that improving the structural environment of policies and services is critical to change at the individual level of the family in promoting young children’s health and well-being. Pentecost articulates her argument in well-written, densely cited text. In fact, her references to anthropological and historical work new to me were a highlight of the read and I have a long list of papers and books on which to follow up. For social scientists new to this field, the book is an excellent introduction and a recommended eye-opener for people working in public health. But, as is the case with sweeping assertions in any field of study, Pentecost’s are valid and applicable only to some extent.
For example, the DOHaD paradigm is not nearly as simple as Pentecost parodies it to be: “The elegant simplicity of the concept – just get it right in the first 1,000 days and a healthy prosperous future awaits” and “this simplicity has ensured its international popularity and uptake in government programs, nongovernmental initiatives and global philanthropies” (p. 4). I sit on many committees, panels and groups in these latter categories, both local and international, and I have not met anyone at this level of influence who thinks it is that simple, or that the concept of DOHaD has the influence portrayed here. Biological embedding is backed by strong evidence but, as yet, is correlative and not causative. No serious scientist thinks epigenetic adaptations stop at infancy, and that future trajectories are, at that point, set, especially given what is known about biological reconfigurations occurring during adolescence.5 What is well accepted, though, is that human health, well-being and achievement, in general, are not easily improved by interventions accessed later in life when problems have accumulated through exposure to relentless adversity. And rather, that early interventions are necessary to provide a platform which, together with bettered living conditions, can create complementarities between one stage of development and another to support lifelong and inter-generational well-being.
The Politics of Potential focuses on nutrition, especially nutrition during pregnancy. But DOHaD science is not limited to this, and includes osteoporosis, respiratory function, allergies, some cancers and mental health, amongst others. In particular, I was disappointed that the book did not mention the growing evidence of prenatal programming of stress and mental health, especially given the high prevalence of prenatal depression in South Africa and Pentecost’s emphasis on women’s enduring struggles and their exposure to violence. Several large-scale studies show that prenatal depression may be a strong mechanism in the transmission of depression across generations by affecting children’s early socio-emotional development.6
Similar disquiet about the implementation of DOHaD ideas are expressed by others (for example, Meloni and Testa).7 Called the ‘moral paradox’ of DOHaD is “the idea that, while the scope, foundations, and practical implications of DOHaD research call for structural interventions addressing social determinants of health over the lifecourse, DOHaD messages can at times boil down to simplistic claims of individual responsibility”8(p.104). Pentecost is lead editor of the book in which this chapter appears, much of it reinforcing the importance of not separating DOHaD lifestyle prescriptions from social, economic and political structural conditions.
Pentecost is right in asserting that the genetic and epigenetic endowment of black South African women, shaped by long-standing, and continuing, deprivation and discrimination, is not of their making and that they cannot be held responsible for righting historical conditions. However, as I put the book down – an interesting and provocative read, I was heartened that Pentecost’s informants understand the complexity of their situation, feel disempowered
by it, but nonetheless are determined to do what they can to give their children the best start and best options they can.
r eferences
1. Pentecost M, Ross F. The first thousand days: Motherhood, scientific knowledge, and local histories. Med Anthropol. 2019;38(8):747–761. https:/ /doi.org/10.1080/01459740.2019.1590825
2. Pentecost M. The first thousand days: Global health and the politics of potential in Khayelitsha, South Africa [dissertation]. Oxford: University of Oxford; 2017.
3. Gluckman PD, Buklijas T, Hanson MA. The developmental origins of health and disease (DOHaD) concept: Past, present, and future. In: Rosenfeld CS, editor. The epigenome and developmental origins of health and disease. London: Academic Press; 2016. p. 1–15. https://doi.org/10.1016/B978-0-1 2-801383-0.00001-3
4. Western Cape Provincial Government. Western Cape Government introduces first 1000 Days Campaign [webpage on the Internet]. c2016 [cited 2025 Feb 01]. Available from: https://www.gov.za/speeches/western-government-intro duces-first-1000-days-campaign-17-feb-2016-0000
5. Sameroff AJ. It’s more complicated. Annu Rev Dev Psychol. 2020;2(1):1–26. https://doi.org/10.1146/annurev-devpsych-061520-120738
6. Van Dijk MT, Talati A, Barrios PG, Crandall AJ, Lugo-Candelas C. Prenatal depression outcomes in the next generation: A critical review of recent DOHaD studies and recommendations for future research. Semin Perinatol. 2024;48(6), Art. #151948. https://doi.org/10.1016/j.semperi.2024.151948
7. Meloni M, Testa G. Scrutinizing the epigenetics revolution. BioSocieties. 2014;9(4):431–435. https://doi.org/10.1057/biosoc.2014.22
8. Chiapperino L, Gerber C, Panese F, Simeoni U. The ‘Moral Paradox’ of DOHaD. In: Pentecost M, Keaney J, Moll T, Penkler M, editors. The handbook of DOHaD and society: Past, present, and future directions of biosocial collaboration. Cambridge, UK: Cambridge University Press; 2024. p. 103–116. https://doi. org/10.1017/9781009201704.010
Author: Casey Golomski
ISbN:
9781776149490 (paperback, 238 pp)
PubLIShEr: Wits University Press, Johannesburg; ZAR380
PubLIShED: 2024
rEVIEWEr: Rayne Stroebel1
AFFILIAtIoN: 1GERATEC, Cape Town, South Africa
EMAIL: rstroebel@geratecza.com
hoW to CItE:
Stroebel R. Old age, apartheid and a history that keeps on repeating itself. S Afr J Sci. 2025;121(5/6), Art. #21818. https://doi.org/10.17159/sa js.2025/21818
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
PubLIShED: 29 May 2025
Old age, apartheid and a history that keeps on repeating itself
The excitement of receiving a parcel from the courier, after I had long forgotten about the request to review Casey Golomski’s book, is palpable. It is the Wits University Press edition, featuring a cover adorned with a picture of a purple wall, modern white chairs, and a shiny floor – three chairs grouped against the purple wall and a fourth positioned slightly off the edge of the page. Modern, clinical, abstract and somehow not related at all to the messy contents behind the cover. I had heard of the book and had perused it online, as I am interested in old-age homes in South Africa. (Not only did I spend much of my childhood in one where my mother was the matron for 18 years, but I have also worked in the aged care sector for the past 28 years. I always joke that growing up in an old-age home gave me my knock in life.)
‘Never judge a book by its cover’ is my first thought as I tear open the parcel. (Why do courier and delivery companies always package items as if they are nuclear waste?) I decide to take a weekend trip with my dogs to indulge in this process, a first for me, with trepidation.
To write this book, Golomski dedicated seven years to immersing himself in the lives of older individuals and their caregivers at a retirement home in South Africa, for the purpose of anonymity named ‘Grace’. Grace is one of approximately a thousand typical retirement homes found across South Africa, where predominantly white seniors are assisted by mainly black caregivers. One of the many remnants of the apartheid legacy, these homes were largely built during apartheid as part of a “major social welfare policy” (p. 10), with many established by church or women’s welfare organisations to support impoverished white seniors.
Golomski’s richly layered and textured descriptions testify to the considerable time he spent in this home and underscore his keen anthropological observation skills. The smells, sounds, images, and intricate layers of human interactions depicted in the book feel remarkably authentic and, at times, profoundly moving. The writing, characterised by its rhizomatic nature, intertwines both horizontal and vertical performative storylines as Golomski condenses the narrative (and seven years of research) into one day in the lives of the residents and caregivers at Grace. He becomes part of the narrative, an insider engaging in caregiving tasks such as bathing, feeding and dressing. Although the story unfolds over a single day, it is interwoven with constructions of selfhood, history, and contextual situations that transcend the immediate. The reader walks the passages with Golomski, meeting residents, hearing their stories and at the same time becoming part of the daily routine of the institution while all its realities of life and death are playing out.
A gravesite on the premises of Grace, which is the subject of significant political debate with a local group asserting it as ancestral land, serves as a metaphor for a profound exploration of African culture. Golomski skillfully articulates shared contexts and realities while simultaneously recognising significant differences. His encounters with two men – one a resident and the other a caregiver – both of whom are gay, challenge assumptions about race and gender, political context and representational violence. A conversation with one of the caregivers in the closet evokes delicate nuances of the world of LGBTIQ+ realities.
The narratives of the people of Grace express polar opposite realities of being in the world, highlighting conflicting histories and the complex sociopolitical experiences of apartheid that unfold in daily interactions between care recipients and care providers, creating liminal spaces of possibility. Through the relationality of storytelling within this parallel universe, one hopes that new understandings of differences, possible identities, histories and more hopeful futures might emerge. I don’t know if Golomski is convinced of this possibility. “And yet we’re still left asking: what do we get out of all this?” (p. 188). (At this point I am acutely aware of my reading of the text – being a white, gay, South African man working in institutions exactly like Grace, trying for the past 30 years to create a different narrative and creating authentic relationships between residents and caregivers.)
‘Grace’ and ‘reckoning’ are two concepts that the writer grapples with throughout the text, engaging the reader in philosophical, religious, ethical, moral and political discussions. Noeline, one of the professional nurses at the home, cared for Nelson Mandela on Robben Island and later at Pollsmoor Prison. The unexpected coincidence of her presence and her stories add depth and significance to the notions of grace and reckoning. Issues of forgiveness and repentance challenge the reader, delving into what it means to be a Christian and, ultimately, what it signifies to grow old and frail. The constant presence of residents living with dementia serves as a reminder that there are those whose stories we do not know and may never know. Furthermore, just as the systems of power in the world remain vastly unequal, true reckoning will also remain skewed. Grace’s caregivers will continue to embody grace, offering it to those who (considering their past) often do not deserve it. They will remain the ones enduring arduous 12-hour shifts, confronting inadequate public transport, and facing racist slurs and reactions. Through storying, Golomski creates layers of meaning-making that grapples with racism, sexism, homophobia, ageism, the politics of whiteness, witchcraft, ancestors, ghosts, death and dying, history, and the sociopolitical landscape of South Africa, from the arrival of Jan van Riebeeck at the Cape to envisioning a possible future where equality may become a reality. From the presence of graves in the front garden to employees partaking in a webinar on diversity, the charismatic (Golomski refers to him as ‘sexy’) priest delivering his sermon, to a bullet in a silver casing fired at a resident in then-Rhodesia, weave together a vibrant tapestry of stories that generate enough curiosity to inspire readers to explore all the references in the endnotes. The multivocity and interwovenness of people and their stories create a lingering sense of ambiguity right to the end.
The stories woven through the interactions of the inhabitants of Grace provide the reader with a glimpse into a world that largely remains unseen by the public. We hear of the horrors in old-age homes in the news when cases of abuse arise, a narrative all too often eagerly recounted by populist journalism. A week after finishing the book, I still pondered the quality of the relationships between residents and caregivers. Golomski
guides the reader into a realm of uncertainty. Is there any prospect of genuine forgiveness? Do white residents and black caregivers merely tolerate one another (with) (at) Grace?
The book leaves me in a dark and perplexed mood. Uncertain. Unresolved.
booK tItLE: Human Trafficking in South Africa
Author: Philip Frankel
ISbN:
9781928246589 (paperback, 207 pp)
PubLIShEr: HSRC Press, Cape Town; USD45
PubLIShED: 2023
rEVIEWEr: Fabrice Niyonkuru1
AFFILIAtIoN:
1Peace and Conflict Studies, Otto von Guericke University Magdeburg, Magdeburg, Germany
EMAIL: fabriceeac@gmail.com
hoW to CItE: Niyonkuru F. Critical insights into human trafficking in South Africa: A review of Philip Frankel’s 2023 analysis. S Afr J Sci. 2025;121(5/6), Art. #21334. https://doi.org/10.1715 9/sajs.2025/21334
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
PubLIShED: 29 May 2025
Critical insights into human trafficking in South Africa: A review of Philip Frankel’s 2023 analysis
Frankel examines human trafficking as a crime against humanity and an obstacle to sustainable development, emphasising the need for collective efforts to combat it. The book effectively educates and mobilises the public in South Africa, positioning the country’s efforts within a global context (p. 12). It is structured into three parts. The first part contextualises the issue globally and nationally, presenting human trafficking as a highly profitable criminal enterprise.1 Frankel explores various forms of trafficking in South Africa, including sex, child, and labour trafficking, and identifies key drivers such as poverty, unemployment, and social inequalities. He also addresses cultural practices such as fostering arrangements, illegal adoptions, muti rituals, and ukuthwala (forced marriages), highlighting the tension between modernity and tradition that perpetuates trafficking.
In the second part, Frankel expands his analysis to neighbouring Southern African Development Community (SADC) countries, including Namibia, Malawi, Zambia, Eswatini and Mozambique, critiquing weak counter-trafficking mechanisms exacerbated by the COVID-19 pandemic. He argues that without regional collaboration and socio-economic improvements, trafficking – particularly the exploitation of women – will persist. He suggests that restrictive migration policies during the pandemic inadvertently pushed vulnerable individuals towards traffickers. This aligns with Bhagat’s2 study on Nepalese women, whose restricted movement due to government policies increased their vulnerability to trafficking. Similar findings by Adeyinka et al.3 and Plambech4 highlight how socio-economic challenges and restrictive migration policies in Europe heightened the risks faced by Nigerian women. Frankel’s discussion of the clash between tradition and modernity resonates with Adeyinka et al.3, who illustrate how traditional practices, including juju rituals, contribute to trafficking in Nigeria.
In the final part, Frankel proposes 10 actionable mechanisms to combat trafficking, such as supporting survivors, ensuring foreign investor compliance, combating corruption, promoting regional cooperation, and enhancing law enforcement capacity. He underscores the importance of addressing both socio-economic and cultural drivers that perpetuate trafficking.
The book references international treaties, including the Prevention and Combating of Trafficking in Persons Act (PACOTIP) ratified by South Africa. It analyses different forms of trafficking and suggests mechanisms for their eradication. Frankel critiques neoliberal policies, arguing that market-driven approaches, deregulation, and economic growth priorities undermine social welfare and leave vulnerable populations exposed to exploitation. He asserts that institutions such as the IMF and World Bank encourage governments to prioritise large-scale economic projects at the expense of social protections, weakening state responses to trafficking. For instance, the South African government hesitated to address the rise in sex tourism post-COVID-19, fearing harm to the tourism industry, despite warnings of the increased exploitation of young girls (p. 228).
Frankel applies the Transition between Tradition and Modernity Theory to analyse how traditional cultural practices intersect with modern global pressures, exacerbating trafficking. Practices like ukuthwala and black muti continue to violate universal human rights standards and intensify the trafficking crisis, reflecting the conflict between preserving tradition and adopting modern human rights norms.
Frankel employs a comprehensive research methodology, drawing on primary and secondary data. His analysis incorporates post-2016 academic resources, including monographs, conference papers, unpublished postgraduate research, and reports from organisations such as UNODC and IOM. He also analyses a wide range of media reports and interviews with key stakeholders, including both perpetrators and victims (p. 13). This diverse range of sources enriches the study by providing theoretical insights and first-hand perspectives. The book addresses a significant gap in academic literature on human trafficking during the COVID-19 pandemic – a period when global focus was primarily on health and economic crises. This context allowed Frankel to explore the overlooked intersection between trafficking, mobility, and pandemic-driven vulnerabilities.
Frankel successfully achieves the book’s objective of educating and mobilising stakeholders, including educators, civil society, the private sector, law enforcement and policymakers, to engage in counter-trafficking efforts (p. 13). To extend the book’s impact, broader dissemination methods, such as radio discussions, could be considered to reach wider audiences. The book highlights the need for further research into interventions, particularly considering the pandemic’s complexities.
The book has several strengths, including its comparative approach to South Africa and neighbouring countries, its timely analysis of the pandemic’s impact, and its provision of actionable solutions. However, the methodology presents some weaknesses. Frankel’s interviews with traffickers provide rare insights, but the lack of transparency regarding how he gained access and trust raises ethical concerns. Without clear disclosure of the ethical safeguards applied, the research may face scrutiny regarding potential biases, participant safety, and informed consent procedures. The absence of detailed information on how these interviews were conducted and verified could affect the reliability of the findings. Similar studies, such as those by Adeyinka et al.3 and Plambech4, have struggled with access and confidentiality issues, often relying on anonymous sources and protective measures, which Frankel does not explicitly discuss. Future studies could benefit from a more detailed discussion of the research process to enhance transparency and address potential ethical gaps.
Philip Frankel’s book provides a comprehensive and nuanced analysis of human trafficking in South Africa, offering valuable insights and practical recommendations. Future studies should explore the cultural and social dimensions
of trafficking beyond economic factors, contributing to a more holistic understanding of the issue. Ultimately, Frankel’s work serves as an important foundation for further discussions and policy interventions. As Frankel notes, “State response to human trafficking in contemporary African states will not be successful unless there is a collective responsibility of all relevant stakeholders” (p. 168). Based on the work done, I have no doubt that Frankel achieved his main goal, which is to educate and mobilise the public to combat trafficking in persons.
r eferences
1. International Labour Organization. Decent work and the informal economy. Report VI, 90th session. Geneva: International Labour Office; 2002. p. 39–53.
2. Bhagat A. Entrapment processes in the emigration regime: The presence of migration bans and the absence of bilateral labor agreements in domestic work in Nepal. Theor Inq Law. 2022;23(2):222–245. https://doi.org/10.15 15/til-2022-0017
3. Adeyinka S, Lietaert I, Derluyn I. The role of juju rituals in human trafficking of Nigerians: A tool of enslavement, but also escape. SAGE Open. 2023;13(4): 1–12. https://doi.org/10.1177/21582440231210474
4. Plambech S. Sex, deportation and rescue: Economies of migration among Nigerian sex workers. Fem Econ. 2017;23(3):134–159. https://doi.org/10.10 80/13545701.2016.1181272
booK tItLE: Predicaments of Knowledge: Decolonisation and Deracialisation in Universities
Author: Suren Pillay
ISbN: 9781776149056 (paperback, 216 pp)
PubLIShEr: Wits University Press, Johannesburg; USD20
PubLIShED: 2024
rEVIEWEr: Nkosinathi E. Madondo1
AFFILIAtIoN:
1Teaching and Learning Development Centre, Mangosuthu University of Technology, Durban, South Africa
EMAIL: madondone@mut.ac.za
hoW to CItE: Madondo NE. Tackling the complex question of transforming the South African higher education system: Decolonisation and deracialisation of knowledge. S Afr J Sci. 2025;121(5/6), Art. #21516. https:// doi.org/10.17159/sajs.2025/21516
ArtICLE INCLuDES: ☐ Peer review
☐ Supplementary material
PubLIShED: 29 May 2025
Tackling the complex question of transforming the South African higher education system: Decolonisation and deracialisation of knowledge
Universities worldwide, including those in South Africa, face numerous challenges, such as the impact of neoliberalism on institutional culture, the lingering effects of apartheid’s racial and economic disparities, and the need to decolonise knowledge, curricula, and the university itself, in order to create a more equitable and transformed post-apartheid institution.
In South Africa – where the higher education systems are the primary focus of this book – universities are also expected to go beyond theorising about what decolonising knowledge can look like in a post-apartheid South Africa. Pillay tackles the intricate and multifaceted challenges of transforming the university system after apartheid, posing critical questions and offering potential solutions on how to navigate this complex landscape. Ultimately, Pillay seeks to reimagine university knowledge by decolonising it and the institutions that produce it, for the benefit of all stakeholders.
Pillay offers insightful and critical solutions within the context of the humanities and social sciences. Although the book focuses on decolonising knowledge and institutions within these fields, its lessons extend to broader issues of decolonising university knowledge. A key strength of the book is its caution against uncritically adopting theories that critique colonialism, providing valuable practical insights that can be applied more widely.
Pillay offers a nuanced and theoretically rich understanding of decolonisation, decoloniality, colonialism, and coloniality, which refreshingly diverges from prevailing views in contemporary debates on decolonising university knowledge. Notably, Pillay critiques the universal application of coloniality as a concept for understanding colonialism’s impact in contexts like South Africa. While acknowledging the concept’s value, he cautions against uncritical adoption, given its origins in Latin-American scholarship, and, in that context, coloniality highlights how colonial powers enforced cultural assimilation, which is a key aspect of the intellectual and psychological harm they inflicted. In South Africa, Pillay advocates for context-specific approaches.
South Africa’s experiences with colonialism reveal complexities that exceed simplistic theories of cultural assimilation, and instead highlight the imposition of cultural divisions, promoting separate and unequal development based on race. According to Pillay, this issue is central to discussions on decolonising university knowledge and institutions. Pillay’s work offers fresh perspectives on this topic, which is another significant strength of the book, especially for those involved in decolonisation efforts.
Another crucial aspect of decolonising university knowledge, particularly in the humanities and social sciences, is addressing the silence surrounding language. Pillay highlights the oversight in academic conventions, where language has not been substantially addressed. He commendably emphasises translation as a necessary scholarly endeavour. Given South Africa’s multilingual context, language issues are increasingly pertinent. However, the book could have benefitted from a more detailed proposal on how to move beyond translation and intellectually elevate previously marginalised languages as viable media for learning, teaching and research.
Existing literature provides valuable insights on how to intellectually elevate indigenous languages by identifying underlying theories and principles that guide indigenous practices, rather than relying on Western scientific frameworks.1 The key point is that language proficiency involves more than just grammar, syntax and vocabulary. True language proficiency has a “hidden” dimension that goes beyond surface-level language use. The question remains whether indigenous languages have been developed to the point where they can be used to produce sophisticated academic writing. Currently, much indigenous knowledge is presented as descriptive accounts of cultural practices, lacking explanatory power and generalisability to other contexts.1
By uncovering the underlying principles and theories that inform indigenous practices, African scholars can develop a systematic and explanatory body of knowledge, but only if they take on the task of excavating and articulating these foundational concepts.1
While developing translations for abstract concepts may seem like a step towards decolonisation, it often relies on Western knowledge frameworks. To truly empower indigenous languages, it is essential to identify and develop the underlying indigenous theories and principles that guide cultural practices, rather than simply translating Western concepts.
In the book’s final chapter, Pillay expands the scope of decolonisation beyond the humanities and social sciences, exploring how to decolonise the historical foundations of scientific knowledge and methodologies. Pillay effectively challenges the common assumption that scientific knowledge originated solely in Western civilisation and examines how this perspective is contested by advocates of decolonising knowledge.
In this chapter, Pillay argues that decolonising scientific knowledge does not mean replacing Western knowledge with African knowledge, as some scholars suggest. Instead, Pillay proposes re-examining the history of science to challenge Eurocentric views and recognise the contributions of colonised cultures to what is currently considered Western knowledge. This approach aims to democratise knowledge, acknowledging that scientific knowledge belongs to everyone, not just the West. By valuing diverse knowledge systems, we can foster a more inclusive and sustainable coexistence with nature and other species, promoting collective well-being and environmental harmony.
Pillay’s book focuses on transforming the way we teach and learn in universities, by decolonising university curricula, institutions and knowledge systems, as discussed earlier, to create a more inclusive and diverse academic environment. It is worth reading.
r eference
2025.
1. Boughey C. The language story. Cape Town: African Minds; Forthcoming
tItLE: Publishing from the South: A Century of Wits University Press
EDItorS: Sarah Nuttall and Isabel Hofmeyr
ISbN: 9781776149247 (paperback, 366 pp)
PubLIShEr: Wits University Press, Johannesburg; ZAR495
PubLIShED: 2024
rEVIEWEr: Janet Remmington1 2
AFFILIAtIoNS:
1Department of African Literature, University of the Witwatersrand, Johannesburg, South Africa
2Department of English and Related Literature, University of York, York, United Kingdom
EMAIL: janet.remmington@wits.ac.za
hoW to CItE: Remmington J. Publishing from the South: Authenticating Southern intellectual publics while not precluding worldliness. S Afr J Sci. 2025;121(5/6), Art. #21817. https:// doi.org/10.17159/sajs.2025/21817
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
PubLIShED: 29 May 2025
Publishing from the South: Authenticating Southern intellectual publics while not precluding worldliness
The story of Wits University Press is at the heart of this book while it asks broader questions about power, position and place.
This thoughtfully curated edited volume offers readers a twofold experience: a deep dive into South Africa’s oldest university press (founded in 1922) and a wider exploration of what it means to publish from the South in the global knowledge economy. It does so via a stable of expert contributors – scholars from a range of disciplines, publishers, writers and cultural analysts – who cover extensive ground in examining the complex history of Wits Press and its meanings today. Far from this volume being a self-laudatory undertaking, it trains a critical eye on 100 years of publishing across segregationist, apartheid and post-1994 eras.
Starting with Wits Press’s beginnings as part of a new university in the young city of Johannesburg, the book goes on to examine its institutional ambitions, resource pressures, sociopolitical fautlines, changing currents and impacts near and far. The volume delves into the Press’s accommodations with, and departures from, the state and capital.
The editors, Sarah Nuttall and Isabel Hofmeyr, both leading commentators with professorial links to Wits, provide a substantial introduction which explores the intriguing history and development of the Press. They situate their analysis of the publishing house within larger discussions around African knowledge production, evaluation and dissemination. The Introduction, together with the book’s 16 chapters, engage with what it has meant to publish hundreds of works across the social sciences, humanities and sciences over the past century; what is involved in publishing in, for and from the South today in the unequal global knowledge environment; and what may or should come next.
Divided into four sections, the volume opens with a focus on the materiality of publishing: Wits Press’s great range of publications read through its changing covers and formats. The book brings discussion about visual signposting, production channels and forms of distribution right into the digital present, while also discussing the evolving nature of author contracts and legal arrangements. The Press’s first ever publication was an economic survey, The Natural Resources of South Africa (1922), with a preface by then Prime Minister Jan Smuts, jointly published with Longmans, Green & Co in the UK. Although a comprehensive Wits Press catalogue across a century is not available as the archive is incomplete, we know the Press covered many fields, including chemistry, natural and botanical sciences, archaeology, economics, urban studies, literature and linguistics. It was particularly strong in anthropological studies and liberally underpinned studies of ‘race relations’.
The second section explores the Press’s impetuses, ambivalences and realities in relation to race and place. From the start, Wits Press boldly set out to “contribute to the world’s knowledge of anthropological and allied subjects” from its Southern location. Northern research institutions and their presses, including Oxford and Cambridge, remained “points of both aspiration and envy” for the Press even as it sought to carve out its niche. It is no exaggeration to say that Wits Press was fraught with contradiction. It sought to build the university’s research profile from the South, yet the South of the time was organised around highly racialised structures, which arguably provided the basis and means for many of the institution’s distinguishing research outputs. As the editors comment, the Press was established to publish research undertaken at Wits, much of which “had been shaped, directly and indirectly, by prerogatives from the mining industry”, although publications varied a great deal and many included critical perspectives of industrial policy and practice, and of the state.
Although a key founding motivation was to establish provincial white excellence, the Press drew on the intellectual and creative capital of black scholars, writers and linguists in various ways, and it employed black staff in its operations. Until more recently, contributions of all kinds by black people were under-acknowledged. The Bantu/ African Treasury, founded in the 1930s, has been one of Wits Press’s most successful series, giving voice to African expressivity in indigenous languages, including, for example, Sol T. Plaatje’s Setswana translation of Shakespeare’s Julius Caesar. The journal Bantu Studies published black anthropological, linguistic, literary and historical pieces alongside white from its earliest days. Launched in 1921, the journal was renamed African Studies in 1941, and is still going. The names of BW Vilakazi, John Henderson Soga, Regina Gelana Twala and Robert Sobukwe live on in the print and digital editions while new voices join their ranks.
The book’s Afterword by award-winning writer Ivan Vladislavić points to the Press’s generally cautious approach during apartheid. As social studies editor of oppositional publisher Ravan Press in the 1980s, Vladislavić reflects on the edgier academic projects that Ravan undertook, often at great cost and risk: “My colleagues and I used to joke – not always kindly – that we were the external wing of Wits University Press.” From the 1970s, Wits Press did, however, publish Es’kia Mphahlele and Chabani Manganyi, Wits faculty members in African Literature and Psychology, respectively.
The third section examines “women in the house”. It discusses, among other things, the backroom roles for women (and black staff more generally) in the Press for many decades. It also covers increased recognition and leadership positions for women since the 1990s, as well as their initiatives in diversifying authorship in the past two and a half decades especially, not least in publishing ground-shifting texts from black female scholars including Gabeba Baderoon.
booK
The final section adds a set of “author-book biographical” essays that offer contemporary reflections on publishing with Wits Press in the heightened globalised publishing ecosystem. Sociologist Srila Roy, for example, does not shy away from the challenges of navigating North–South, and some South–South, complexities where considerations of ratings, funding, influence and reach loom large. She does not hold back, though, on making a case for publishing from the African South, where she sees great attentiveness, innovation and commitment to the intellectual project. Similarly, for literary scholar Baderoon (who holds an academic post in the USA, but who prioritises South African and Southern publishing routes), the “infrastructure for generating and publishing African thought that consists of a community” is paramount.
While this thought-provoking and highly readable volume ranges deep and wide across Wits Press territory, it brings to the fore key issues along the North–South faultline for those engaging with the dynamics of higher education, research, publishing and policymaking today. It looks back in a clear-eyed way, while looking ahead with some boldness and belief. What I take from this book (in glossing words from the Introduction) is that 21st-century Southern knowledge-making at its most compelling does not preclude worldliness and the importance of reaching and interacting with the international community, but it shifts the terms of reference to publishing in and for the South first. Overall, the volume meditates on the role of authenticating Southern intellectual publics and African infrastructures in the pursuit of knowledge.
Author: Miki
Flockemann1
AFFILIAtIoN:
1Department of English, University of the Western Cape, Cape Town, South Africa
CorrESPoNDENCE to: Miki Flockemann
EMAIL: mflockemann@uwc.ac.za
hoW to CItE:
Flockemann M. (Re)living moments with Athol Fugard (1932–2025). S Afr J Sci. 2025;121(5/6), Art. #21849. https://doi.org/10.17159/sajs.202 5/21849
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
PubLIShED:
29 May 2025
(Re)living moments with Athol Fugard (1932–2025)
Athol Fugard was 92 when he died, yet, for many of us, his death still felt unexpected, a shock. In the tributes that circulated directly afterwards, Janice Honeyman spoke about her shock at realising that theatre-makers like herself had lost a vital compass in Fugard’s “incredible honesty”1 as well as penetrating psychological insight into what makes us who we are. For Dennis Walder, a leading Fugard scholar who has interviewed Fugard and published widely on his plays over several decades, it was his sense that Fugard has always been a survivor.2 However, what perhaps best explains this reaction is that, as David Attwell wrote in a personal communication (10 March 2025) on the day the news broke, Fugard had become “part of the fabric of our lives”. At the same time, for those born after the 1990s, the two early plays written in collaboration with John Kani and Winston Ntshona, Sizwe Bansi is Dead (1973) and The Island (1973), as well as Boesman and Lena (1969), Master Harold and the Boys (1982), and My Children, My Africa (1989), serve as cultural documents which testify to the lived realities of the everyday experience of apartheid beyond the level of historical information.
While Fugard saw these early plays as a form of testimony rather than protest, it is what he described as “the truly living moment in theatre”3(p.207), which accounts for the lasting effect of his works on audiences. The truly living moment occurs in the affective interchange between the actor and the audience. This is not simply a spontaneous occurrence, because, as Brian Crow notes, it is linked to Fugard’s existentialist perspective of self and Being, “[w]hat happens to the actors – the significance of their awareness within the moment as they perform – is at least as important as the audience’s experience in witnessing the play4(p.17). As a writer or collaborator, director and actor, Fugard was always deeply engaged in nurturing a work to its final performance. His journal entries on the process in his Notebooks 1960–19773(p.207) offer fascinating insights into the rigorously self-reflective nature of his creative practice. He was fortunate to have worked with actors who trusted the process involved in shedding social masks advocated by Jerzy Grotowski in his Towards a Poor Theatre5, and for audiences, experiencing these living moments is something so intense and out of the ordinary that it often stayed with one long afterwards.
One such moment was at a performance in 1972 at the Space Theatre in Cape Town, which managed, through a loophole in the law, to bypass apartheid regulations on segregated venues, casts, and audiences by forming a theatre club ‘open’ to all. At the end of a performance of Sizwe Bansi is Dead, instead of the anticipated blackout, Kani and Ntshona walked up to apparently random people in the audience and asked politely, but firmly, “May I see your pass, please.” When approaching white people (and also those designated coloured at the time), where no pass was forthcoming, Kani or Ntshona would simply look them straight in the eye and say, “Ah, I see you do not carry one.” But on approaching the most disenfranchised in the audience who were forced to carry the dompas, there was a strong sense of solidarity with Kani and Ntshona, resulting in a viscerally felt inversion of the racially imposed power hierarchy. At that moment, the least powerful were the most privileged (like myself), who were literally faced with acknowledging the injustice of that privilege.
Given Fugard’s long and extremely productive career spanning nearly seven decades and at least 30 plays, it is useful to consider what Fugard, in hindsight, described as five defining moments at an inaugural lecture at Oxford in 2011.6 Apart from what was included, it is also interesting to consider what was omitted. The first defining moment was the “gift” of his parents. His Afrikaner mother introduced him to a strong sense of justice early on, while his Irish father exposed him to the gifts of storytelling and music. His boyhood in Port Elizabeth was marked by the most unforgettably shameful moment of his life when, in an act of acute loneliness and despair, he spat (because he could) in the face of his much-loved friend Sam Samela, who worked as a waiter for his mother. Facing up to this incident lives on in Master Harold and the Boys. Over time, the desire to be a writer became increasingly compelling, so much so, that he abandoned his final year studies at the University of Cape Town to travel the world. At this point he referred to the influence of his anthropology lecturer, Monica Wilson, but, oddly, not Martin Versfeld, whose lectures on existential philosophy had such a profound effect on Fugard’s work.
The second milestone for him was meeting Sheila Meiring (later Fugard), an aspiring writer and actor who introduced him to the world of theatre, and they soon realised that local South African stories needed to become their focus, and moved to Johannesburg to join the creative crucible that was Sophiatown. Some of his earliest attempts at writing plays stemmed from this period in the late 1950s, although it is noteworthy that he does not mention here – as he does elsewhere – the impact of working as a clerk in The Native Commissioners Court, where he witnessed first-hand the dehumanising realities of the apartheid machinery.
The Sharpeville Massacre in 1960, when 69 people were gunned down following a protest against the dompas, signalled the third defining moment. At the time, he and Sheila were in London where he was working on a new play, but, feeling the imperative to return, they moved back to Port Elizabeth to what he described as a very changed country. For Fugard, the new play, The Blood Knot (1961), was where he felt that he had found his voice as a playwright for the first time. The play examines the deeply entangled relationship between a dark and a light-skinned brother, and the absurdity of racial classification was exemplified in casting Fugard with Zakes Mokae as his dark brother, marking the first time that a black and a white actor appeared together on stage. Although very successful locally, as a result of critique, when it initially toured overseas, Fugard later re-worked it as Blood Knot (1985), which established his international reputation, and was also televised. (In fact, several of his plays have been filmed, including Road to Mecca, and, while an early novel, Tsotsi was developed into an award-winning feature film (2005)). Reflecting on the decision to stay in South Africa, rather than taking the exit permit to leave for good, Fugard recalls that he felt he needed to stay, just to witness as truthfully as he could “the nameless and destitute of this little corner of the world”3(p.172)
The fourth defining moment for Fugard was when he was approached by a group from the Port Elizabeth township of New Brighton about starting a drama group. The rest is history, as the Serpent Players (because the rehearsal space was an old snake pit) became the arena where the collaboration between John Kani, Winston Ntshona and Fugard flourished. However, Fugard describes the fifth and final defining moment as, “the defining moment that wasn’t”6. Initially, the long lines of people casting their votes in 1994 created a sense of euphoria, and he was fully prepared to be considered a redundant figure in the ‘new’ democratic dispensation, but this was gradually replaced by a sense of betrayal and disillusionment and his later plays moved inward, with strong autobiographical aspects. Amongst these are The King’s Tiger (1997), Sorrows and Rejoicings (2002), Exits and Entrances (2004), and The Shadow of the Hummingbird (2015). Although these later works did not receive the same accolades as his earlier plays (except for The Train Driver (2010)), it is remarkable that he continued to produce new plays, and even perform in them until his late 80s. His final play, Concerning the Life of Babyboy Kleintjies, was co-written with Paula Fourie, who is his second wife, and was performed in Stellenbosch in 2022. Fugard has been called the greatest playwright of his day, but he will now never be awarded the Nobel Prize because, as Brooks Spector points out, you have to be alive to receive it.7 Nevertheless, when Fugard in his Notebooks claimed that “only a fraction of my truth is in the words”, he was pointing to those affective aspects of the truly living moments of theatre which he called the “[c]arnal reality of the actor in space and time”3(p.171) This carnal reality communicates a different, deeper awareness of cognitive knowledge. Walder’s assessment in 2003 of Fugard’s ongoing contribution still holds true today, because in focusing on the marginalised of a particular location, Fugard developed “a dramaturgy connecting the subjective,
interior world of the individual with the public, impersonal space of politics, broadly considered”8. In light of this, one can take comfort in the fact that, as Fugard’s plays keep being re-staged, the work of witnessing will live on, speaking to new temporal realities and subjectivities, but refracted through a past that lingers into the present.
r eferences
1. Honeyman J. Renowned theatre legend Athol Fugard dies at 92. SABC News. 2025 March 10. Available from: https://www.youtube.com/watch?v=3HlXo 0swGK0
2. Walder D. Athol Fugard: The great South African playwright who captured what it means to be human. The Conversation. 2025 March 10. Available from: https://theconversation.com/athol-fugard-the-great-south-african-playwrigh t-who-captured-what-it-means-to-be-human-251829
3. Fugard A. Notebooks 1960–1977. London: Faber and Faber; 1983.
4. Crow B. A truly living moment: Acting and the statements plays. In: Davis GV, Fuchs A, editors. Theatre and change in South Africa. Amsterdam: Harwood Academic Publishers; 1996. p. 1–352.
5. Grotowski J. Towards a poor theatre. London: Heinemann; 1968/1991.
6. Fugard A. Defining moments [podcast]. 2011 February 02. Available from: http://writersinspire.org/content/athol-fugard-defining-moments-0
7. Brooks Spector J. Athol Fugard’s plays offered hope where there was despair, courage where there was dismay. Daily Maverick. 2025 March 11. Available from: https://www.dailymaverick.co.za/article/2025-03-11-athol-fugards-plays-offere d-hope-where-there-was-despair-courage-where-there-was-dismay/
8. Walder D. Athol Fugard: Writers and their work. Tavistock: Northcoate House Publishers; 2003. https://doi.org/10.2307/jj.3079184
Authors: Paul Dufour1,2 Michael Kahn3
AFFILIAtIoNs:
1Institute for Science, Society and Policy, University of Ottawa, Ottawa, Ontario, Canada
2PaulicyWorks, Gatineau, Quebec, Canada
3CREST and DSI/NRF Centre of Excellence in Scientometrics and Science, Technology and Innovation Policy (SciSTIP), Stellenbosch University, Stellenbosch, South Africa
CorrEsPoNDENCE to: Michael Kahn
EMAIL: mjkahn@sun.ac.za
hoW to CItE:
Dufour P, Kahn M. A unique research and innovation partnership celebrates three decades: South Africa and Canada move forward with a renewed vision. S Afr J Sci. 2025;121(5/6), Art. #21670. https://doi.org/10.1715 9/sajs.2025/21670
ArtICLE INCLuDEs:
☐ Peer review
☐ Supplementary material
KEYWorDs:
South Africa–Canada scientific collaboration, science diplomacy, G20 summit, STI policy formulation, STI policy instruments
PubLIshED: 29 May 2025
A unique research and innovation partnership celebrates three decades: South Africa and Canada move forward with a renewed vision
significance:
This paper builds on a long-standing and well-articulated science, technology, innovation and knowledge (STIK) partnership between Canada and South Africa. It provides an historical overview of the origins and development of the STIK partnership since 1994 with the early efforts of Canada’s International Development Research Centre and the new ANC government in framing a green and white paper for South Africa’s national science and technology policy. It suggests an opportunity within the context of the G7 and G20 Summits being hosted by Canada and South Africa, respectively, in 2025, and argues for enhanced research opportunities in science diplomacy and science policy exchanges.
The Canada–South Africa Memorandum of Understanding on Cooperation in Science, Technology, and Innovation was renewed in Ottawa, Canada in late 2024, with delegations from the Department of Innovation, Science and Economic Development, Canada (ISED) and the South African Department of Science, Technology and Innovation (DSTI) celebrating three decades of engagement.
The forthcoming G7 and G20 Summits being hosted by Canada and South Africa, respectively, offer a unique opportunity to cement key areas of the partnership.
Some 30 years ago, with support from Canada’s International Development Research Centre (IDRC), we were part of a team in Cape Town tasked to map out a science and innovation policy for the to-be new South Africa.
South Africa’s 1994 democratic elections had brought Nelson Mandela to the presidency. His government administration duly created the Department of Arts, Culture, Science and Technology (DACST), which then embarked on a stakeholder-based policy formulation process to frame a green paper on science and technology, and then a white paper on science and technology.
In supporting this process and earlier initiatives, several bilateral missions between the two countries contributed new thinking on the management of R&D and innovation. In particular, this led to the adoption by DACST of the innovation systems approach. This shift was explicitly built upon the emerging concepts of ‘innovation’ and a ‘national system of innovation’. The South African approach scoped the role of government in policy formulation and regulation, funding, research and innovation promotion, technology transfer, correcting market failure, and foresight methods for priority setting.
With various policy statements and other initiatives examining new directions in Canada’s foreign policy, the bilateral efforts to strengthen cooperation between Canada and South Africa began earnestly in the early 2000s. The positive working relationship between Canadian and South African policymakers and scientists gave impetus to initiatives with lasting impacts.
Among them were the African Institute for Mathematical Sciences, and the HSRC Centre for Science, Technology and Innovation Indicators.
In addition, the successful Canadian experience in establishing its own Canada Research Chairs Programme led to a 2006 South African Research Chairs Initiative to attract and retain excellence in research and innovation at public universities.
More recently, the South African National Research Foundation entered into an agreement with Canada’s Mitacs to kick-start the implementation of the National Research Foundation Industry Partnership Strategy and leverage additional resources while promoting graduate upskilling in industry settings. Building on new initiatives, the bilateral partnership can also explore important opportunities between the two countries that were outlined through the 2023 South Africa–Canada Universities Network Summit in Ottawa and Toronto.
Co-authorship between South African and Canadian researchers has risen 17-fold over the last two decades, from 111 in 2001 to 1767 in 2024. The data for selected research areas between South Africa and Canada indicate that medicine is the most prominent, followed by astronomy, earth, and planetary sciences and agriculture. By its very nature, agriculture is location-specific, while the other research areas mostly involve ‘Big Science’ projects. Noteworthy collaborations are the Canada–South Africa TB Vaccine Initiative, the Healthy Life Trajectories Initiative (HeLTI), the Adaptation at Scale in Semi-Arid Regions project, and Human Heredity and Health in Africa (H3Africa).
Other initiatives bringing together the research and talent expertise of the two countries include collaboration in nuclear medicine, radio astronomy (through the large-scale, international Square Kilometre Observatory project), agriculture, polar research, energy, ocean science, Indigenous knowledge, bio-medicine, and HIV vaccine development.
The Canada–South Africa knowledge partnership goes well beyond bilateral efforts. Canada and South Africa have played a strong role in helping shape a pan-African approach to other linkages. Indeed, in 2015, the IDRC – along with other donors – launched the Science Granting Councils Initiative (SGCI) as a response to gaps in the African
https://doi.org/10.17159/sajs.2025/21670
science landscape, including using research to advance gender equality and benefit marginalised communities. IDRC and its partners now work with 17 African science granting councils that have helped improve research governance in these countries.
The Canadian research councils have undertaken a large-scale, multinational project on climate change under their New Frontiers Research Fund programme that includes South Africa as a key partner. This International Joint Initiative for Research in Climate Change Adaptation and Mitigation represents a collaboration among research funders from Brazil, Canada, Germany, South Africa, Switzerland, the United Kingdom, and the United States of America to leverage international expertise in tackling the global challenges caused by climate change.
In South Africa, a new governance system is evolving through the establishment of the Science, Technology and Innovation Presidential Plenary and the Science, Technology and Innovation Inter-Ministerial Committee. The DSTI and National Advisory Council on Innovation support these structures.
In Canada, a recently announced plan for a capstone organisation bringing together the efforts of the research granting councils, as well as an Advisory Council for Science and Innovation, offers an opportunity to bring these organisations together to potentially mount a well-focused study in the growing partnership. A recent discussion
paper commissioned by ISED and the DSTI fleshed out some of the background and offered a forward look to guiding this relationship.
As the Canadian government outlines its African foreign policy and prepares for the G7 Summit in Kananaskis, Alberta, and South Africa’s Government of National Unity gears up its hosting of the 2025 G20 Summit, an opportunity is emerging to strengthen the respective science, technology and innovation linkages.
Indeed, as a more strategic approach to shape this evolving collaboration is contemplated under a forthcoming Canadian foreign policy reset with Africa, and the newly signed joint memorandum between the two countries, there is a unique opportunity to build on the critical role of science diplomacy with enhanced research collaboration.
Acknowledgements
Work was jointly funded by the Department of Science, Technology and Innovation (South Africa) and Innovation, Science and Economic Development (Canada). The opinions expressed are those of the authors. We are grateful to those who gave of their time for interviews and information.
Declarations
We have no competing interests to declare. We have no AI or LLM use to declare. Both authors read and approved the final manuscript.
AuthorS: Moses O. Ogutu1 Evans Avedi2
Jack Omondi3
AFFILIAtIoNS:
1The National Academy of Sciences, Engineering, and Medicine, Washington DC, USA
2School of Business, Department of Management Science and Project Management, University of Nairobi, Nairobi, Kenya
3Network of African Science Academies, Nairobi, Kenya
CorrESPoNDENCE to: Moses O. Ogutu
EMAIL: mogutu005@gmail.com
hoW to CItE:
Ogutu MO, Avedi E, Omondi J. Decarbonising road transport in Africa: Strategies for a just and sustainable transition. S Afr J Sci. 2025;121(5/6), Art. #21845. https:// doi.org/10.17159/sajs.2025/21845
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
KEYWorDS: decarbonisation, EASIR framework, just transition, multi-level perspective, electric mobility
FuNDING:
ClimateWorks Foundation, African Climate Foundation
PubLIShED: 29 May 2025
Decarbonising road transport in Africa: Strategies for a
just and sustainable transition
Significance:
Although Africa’s transport sector emissions remain low, the continent’s ongoing economic and social development and rapid urbanisation suggest it will witness substantial growth in vehicle usage. This will result in higher transport-related emissions and associated environmental, economic and social impacts. Therefore, it is critical to explore emissions reduction and climate-resilient strategies. This commentary highlights the status, strategies, technologies and cross-cutting issues that are essential in transitioning to a net-zero road transport sector in Africa. It also underlines the role of the enable-avoid-shift-improveresilience (EASIR) framework in the holistic decarbonisation of transport and the multiple-level perspective in addressing the challenges posed by dominant frameworks and entrenched regimes.
Introduction
Climate change is significantly impacting various aspects of our lives, including health, agriculture, transport and biological diversity. For instance, unpredictable and extreme weather events, such as heat stress and floods, can result in damage to infrastructure, displacement of communities, loss of livelihoods, and increased costs for disaster response and recovery, in addition to adverse effects on agriculture and food security. Much of the climate crisis is caused by human-induced activities, particularly in the transport sector, which, if not addressed, will lead us to an unsustainable path.1 The transport sector accounts for approximately 23% of global energy-related greenhouse gas (GHG) emissions, with road transport alone responsible for 75% of these emissions, predominantly from passenger vehicles such as cars and buses.2 Between 1990 and 2022, global transport-related GHG emissions increased at an average annual rate of 1.7%, paralleling the growth rate of industrial emissions, and outpacing all other sectors. Carbon dioxide (CO2) emissions from transportation reached an estimated 8 Gt in 2022 – a 3% rise from the previous year.3 Emissions from transport are caused by the sector’s heavy reliance on fossil fuels, which supply 90% of its energy needs.2
Africa contributes a modest 4% to global transport emissions, given its relatively small market and low motorisation rate (Figure 1).4 On average, CO2 emissions per person per year in Africa stand at just 0.8 t, which is significantly below the global average of 4.8 t. Despite this, Africa’s ongoing economic and social development, alongside rapid urbanisation, suggest that the continent will witness substantial growth in vehicle usage. This growth is expected to result in a notable increase in transport-related emissions and the associated negative externalities, such as health impacts, in the coming years. Africa’s transport emissions are already rising at an annual rate of 7%, a sharp contrast to the slower growth rates seen in other regions.5 For example, the USA experienced less than a 1% annual increase in transportation emissions from 1990 to 2017, while the United Kingdom saw an increase of just 0.12% during the same period.6
The health and economic implications of current transport sector emissions are also substantial. For instance, globally, pollution from transport is linked to the annual loss of approximately 7.8 million lives and health-related costs estimated at USD1 trillion.7 Even though Africa has the lowest motorisation rate in the world, its average (particulate matter) PM2.5 emissions of 97.4 μg/m³ are disproportionally high relative to the world’s average of 82.3 µg/m³.6 These trends make it imperative to transition to a low-emission and net-zero transport system.
Africa faces unique challenges and opportunities within its transportation sector, given its diverse geography, rapidly growing urban populations, varying levels of infrastructure development, heavy reliance on imported used vehicles, and the use of low-quality fuels. Here we draw on a report8 by the Network of African Science Academies (NASAC) and the InterAcademy Partnership (IAP) on decarbonisation of transport in Africa. While the broader transport sector, including freight, contributes significantly to transport sector emissions, the report –and this analysis – deliberately concentrates on passenger transport because of its immediate and wide-ranging impact on urban development, public health and social equity. We explore the state of decarbonisation in Africa’s road transport systems, emerging strategies and technologies shaping this transition, and the critical policy and governance issues involved. We also highlight the importance of integrating considerations of justice and equity into transition pathways and argue that the multi-level perspective framework offers valuable insights for navigating the complex systemic changes required to achieve a sustainable and inclusive transport future for Africa.
Decarbonisation refers to the process of reducing carbon emissions and transitioning to a zero-carbon or carbon-neutral economy.9 Within the transport sector, it involves reducing carbon emissions associated with transportation activities by shifting from traditional internal combustion engine vehicles to cleaner alternatives such as electric vehicles; improving infrastructure to support sustainable modes of transportation, such as public transit, shared mobility, cycling and walking; and adopting compact and mixed-used development to reduce the socio-economic and ecological impacts of travel.10 While most efforts towards decarbonisation of transport focus on electrification of transport and the potential of electric vehicles, decarbonisation is not synonymous with electrification. Electrification contributes to decarbonisation efforts by replacing carbon-intensive energy sources with cleaner electric energy sources. However, decarbonisation encompasses a broader set of strategies aimed at reducing or eliminating overall carbon emissions within sectors of an economy. Therefore, while the adoption of electric vehicles in the transport
Source: Climate Watch4 (reproduced under a Creative Commons CC BY 4.0 licence)
sector can help reduce carbon dioxide emissions, it does not fully address other challenges in Africa’s transport sector, such as congestion, pollution, road safety, and the extensive land needed to support transport infrastructure. Thus, electrifying transport should be viewed as one part of a larger, more comprehensive strategy for creating sustainable transport systems in Africa, such as the enable-avoid-shift-improve-resilience (EASIR) approach discussed below.
Africa’s evolving transport infrastructure, abundant renewable energy resources, shorter daily travel distances, and youthful workforce present an opportunity to implement advanced, low-emission technologies such as electric vehicles without the extensive modifications needed in more established transport systems. African countries have thus taken initiatives to decarbonise road transport, aligning their mitigation and adaptation targets and efforts with the nationally determined contributions under the Paris Agreement. Nationally determined contributions are commitments made by each country outlining their action plans for reducing national emissions and adapting to the impacts of climate change. These contributions are essential in achieving the global goal of limiting temperature rise to well below 2 °C, ideally aiming for 1.5 °C above pre-industrial levels, as outlined in the Paris Agreement.11 For example, South Africa’s nationally determined contribution includes a commitment to peak emissions between 2020 and 2025, plateau for a decade, and then decline in absolute terms.12 As part of this commitment, the country is investing heavily in cleaner public transportation options, such as the electrification of its vehicle fleet and expansion of its bus rapid transit systems. Similarly, Ethiopia’s nationally determined contribution highlights a target to reduce GHG emissions by 64% from the business-as-usual scenario by 2030.13 This will be achieved through investments in electric railways, which are expected to reduce the reliance on diesel-powered trucks for freight and passenger transport. Furthermore, Morocco and Egypt are integrating renewable energy into their transport systems as part of their nationally determined contributions. Morocco’s high-speed trains are already being powered by solar energy.14
African countries are further accelerating their transition to net-zero transport by adopting electric vehicles. Although the stage, scope and scale of electric mobility (e-mobility) development differ significantly among African countries, some nations are more advanced in their e-mobility transition. These include Côte d’Ivoire, Egypt, Ethiopia, Ghana, Kenya, Mauritius, Morocco, Mozambique, Nigeria, Rwanda, South Africa, Tanzania, Tunisia, Uganda, Zambia and Zimbabwe.15 These countries have initiated policies and regulatory instruments or are executing pilot initiatives such as assembling and manufacturing electric vehicles, retrofitting internal combustion engine vehicles to electric propulsion, and setting up charging infrastructure. Among these countries, South Africa stands out for its comprehensive electric vehicle policy framework, which promotes both the production and use of electric vehicles. Additionally, South Africa is investing in research and development to enhance local expertise and capacity in the electric vehicle sector, including advanced research on retrofitting internal combustion engine vehicles to electric vehicles. Notably, researchers at Stellenbosch University are converting (retrofitting) Africa’s popular paratransit vehicles, known as minibus taxis in South Africa, from diesel power to electric propulsion.16 Retrofitting might provide a cost-effective and sustainable alternative for low-income owners of minibus taxis to transition to electric vehicles (Figure 2). Retrofitting also helps extend the life cycle of existing vehicles while significantly reducing their environmental impact, in line with the circular economy principles.17 These scientists are not only involved in the mechanics of retrofitting, but are also calculating the energy needs, usage, vehicle charging behaviour and the environmental impact of retrofitted vehicles, resulting in a comprehensive understanding of their performance and sustainability to inform policy development.16
In addition to electrification, non-motorised transport is increasingly recognised globally for its benefits in reducing traffic congestion, lowering pollution levels, and promoting healthier lifestyles. In this vein, many African countries have adopted non-motorised transport policies. For instance, cities like Nairobi (Kenya) and Cape Town (South Africa) are implementing extensive bicycle lane networks and pedestrian pathways
Figure 1: Global transport emissions by region (1990–2020).
to encourage cycling and walking. Many countries are also implementing dense and mixed-use developments that enable the co-location of basic services such as a combination of retail, offices and residential areas, with the goal of reducing travel demand.
the enable-avoid-shift-improve-resilience framework
The enable-avoid-shift-improve (EASI) framework is broadly recognised for reducing emissions in the transport sector.18 Established initially as the avoid-shift-improve (ASI) approach, the framework focuses on (1) strengthening the institutional and governance frameworks for policy development (enable), (2) reducing the need for motorised trips through smart land use and planning (avoid), (3) promoting the use of efficient modes of transport (shift) and (4) improving the efficiency and environmental performance of transport systems through enhanced vehicle, fuel and network operations and management technologies (improve). The NASAC-IAP study complements this framework by introducing a fifth pillar – resilience – transforming the EASI into the EASIR (enable-avoid-shift-improve-resilience) framework. The addition of resilience builds on a 2022 World Bank report which highlighted the resilience of the widely used transport modes in Africa, especially two-wheelers (motorbikes) and three-wheelers (tricycles or tuk-tuks), and their ability to overcome challenges, such as inadequate infrastructure, where they operate. Two- and three-wheelers are flexible and better at navigating complex rural terrain and overcrowded urban streets, and in moving people and goods from door to door with greater fuel efficiency. In addition to being fast, mobile phone penetration has made them easily accessible on-demand, especially in underserved rural communities.
The resilience pillar thus underlines the need to create and enhance the durability and adaptive capacity of transport systems, including infrastructure to withstand extreme-climate events such as heat stress and floods, ensuring their long-term sustainability and functionality. This is particularly crucial considering the increasing vulnerability of road transport infrastructure in African countries to climate-related disasters. For instance, floods, which often intensify with heavy rainfall and poor drainage systems, have led to widespread damage to roads and bridges in African countries, disrupting essential transportation networks, not to mention the loss of lives and economic activities.19 Similarly, heat stress poses a significant threat to African roads as high temperatures
can cause asphalt to soften and deform, leading to the formation of ruts and potholes that pose risks to road users.20 These issues highlight the urgent need for climate-resilient transport infrastructure in Africa.
Just transition and equity considerations
Transitions to a net-zero economy require comprehensive policy frameworks that reflect the diverse socio-economic, cultural and environmental contexts of affected communities. It is essential to not only identify who benefits from decarbonisation policies, but also to understand who bears the costs – particularly in terms of affordability, access, employment and spatial mobility. In line with just transition principles, the shift must be equitable, inclusive and people-centred. Policies should therefore be designed to address the specific impacts of decarbonisation on different societal segments, especially vulnerable populations, including women, persons with disabilities, older persons and rural residents.21
In many African countries, informal transport systems such minibuses and motorcycles provide crucial mobility services, particularly for low-income populations. Decarbonisation strategies that overlook these actors risk marginalising them or pushing them out of work. A just transition approach would consider tailored support for informal sector workers, such as targeted incentives to acquire electric vehicles and training programmes to equip internal combustion engine vehicle mechanics with the skills needed to service electric vehicles. More generally, policymakers should take a holistic approach to transport decarbonisation by prioritising clean and affordable public transport, rather than primarily focusing on incentivising private vehicle ownership.
As most transport-related emissions are tied to energy usage, equity considerations also intersect with environmental justice. Africa is a major supplier of critical minerals such as cobalt and lithium, which are essential for electric vehicle batteries and the energy transition more broadly. Yet extraction often takes place under exploitative conditions, with little local benefit. For example, cobalt mining in the Democratic Republic of Congo has been linked to labour and human rights violations, including the employment of children22, while lithium extraction can deplete water sources and displace rural communities. A just transition approach would therefore ensure ethical supply chains, benefit-sharing mechanisms and stronger environmental safeguards. These measures are necessary to avoid reproducing the spatial and social inequalities that have long shaped African transport systems.
Figure 2: Vehicle with combustion-related components removed. (a) Front view of the stripped vehicle. (b) Empty engine compartment. (c) Bottom view of stripped vehicle before electric motor and prop-shaft installation. (d) Electric motor with prop shaft (protective cover not shown). (e) Radiator for the electric motor coolant.
the challenge of entrenched regimes and dominant frameworks
Perhaps the biggest challenge to decarbonisation of transport in Africa, as is elsewhere, is addressing entrenched regimes and dominant frameworks. The multilevel perspective framework, as discussed by Frank Geels23, provides a structured approach to understanding the challenges facing transitions to sustainability by examining sociotechnical transitions across three key levels: niche innovations (where radical innovations emerge), the socio-technical regime (representing established practices and rules) and the socio-technical landscape (the broader contextual factors) (Figure 3).
Socio-technical landscape
The socio-technical landscape encompasses macro-level trends and external pressures that influence regimes and niches.23 In the context of Africa’s transport decarbonisation, this landscape includes global environmental goals, international economic conditions and societal values towards sustainability. In this case, the Paris Agreement and the Sustainable Development Goals (SDGs) represent the most significant external factors that have placed pressure on African nations to transition to cleaner energy sources. However, in emerging and least developed economies such as those in Africa, these pressures need to be counterbalanced by local economic challenges and developmental priorities that sometimes make it difficult to prioritise decarbonisation over immediate development needs.
Socio-technical regime
The socio-technical regime consists of the dominant practices, rules and shared beliefs that stabilise existing systems.25 Within this level, entrenched regimes and dominant frameworks pose the greatest threats to the decarbonisation of transport in Africa. Entrenched regimes include the political and economic structures that are deeply invested in the status quo. In this case, these would include existing political structures and powerful economic interests tied to the fossil fuel industry. These regimes benefit from the current fossil-fuel-based transport systems and can create significant resistance to change, for
example, by lobbying against clean energy policies and investments that would promote decarbonisation. Additionally, the established transport infrastructure, including roads, fuelling stations and maintenance facilities, is built around fossil fuel vehicles. Shifting to electric or other clean energy vehicles requires substantial investment in new infrastructure, which entrenched regimes may resist due to high costs and the potential disruption to existing economic activities.26
On the other hand, dominant frameworks are not limited to fossil fuel dependency but also include broader paradigms that shape transport planning and urban development. One such paradigm is the continued prioritisation of car-centric infrastructure, which promotes private vehicle ownership over collective or non-motorised mobility. Urban sprawl, inadequate investment in mass transit, and the marginalisation of walking and cycling infrastructure are all manifestations of this dominant mobility model. This results in fragmented cities, increased travel demand and spatial exclusion of lower-income populations. These frameworks are often embedded in institutional practices, engineering norms and planning cultures that sometimes resist alternative models such as compact, transit-oriented, and people-friendly urban design. As such, challenging dominant paradigms must involve not only energy and technological shifts, but also a reimagining of what constitutes desirable and equitable mobility in African cities and regions. This would also involve thinking about new economic frameworks (niche innovations) that can account for environmental externalities and long-term benefits.25
Niche innovations
Innovations and new technologies that can drive decarbonisation emerge at the niche level. However, these niches struggle to break through the barriers posed by entrenched regimes and dominant frameworks. Examples in this case include the challenges facing the adoption of clean transport technologies, such as the lack of adequate funding, due to entrenched regimes controlling most of these resources. Without significant investment, these innovations cannot scale up to challenge the dominant fossil-fuel-based transport systems. Moreover, policy frameworks tend to favour established regimes, creating regulatory hurdles for niche innovations. For example, subsidies and incentives are often skewed towards fossil fuels, while clean energy solutions face
Figure 3: The multi-level perspective framework for complex sustainability transitions.
Source: International Science Council’s24 adaptation of Geels25 framework (reproduced with permission).
regulatory uncertainties and lack of support.27 The multilevel perspective framework thus underlines the importance of destabilising existing regimes through pressures from the landscape level and radical innovations incubated in protected niches.25 Within decarbonisation, this approach underscores the need for a holistic strategy that addresses not only the focus on technological advancements such as electric vehicles but also policy adjustments, institutional transformations, market preferences and stakeholder engagement, to facilitate sustainable transitions.
Conclusion
Decarbonisation of road transport is critical for mitigating climate change, adapting to its impacts and ensuring sustainable development. While Africa currently contributes a modest share of global road transport sector emissions, the continent’s rapid urbanisation and economic growth forecast a substantial increase in vehicle usage and related emissions. Reducing transport sector emissions requires a holistic approach – as elaborated in the EASIR framework – and a deeper understanding of the dominant regimes and frameworks that continue to favour fossil fuel dependency.
Consequently, even though most research on the decarbonisation of transport, including in this commentary, has focused on supply-side interventions such as electrification, vehicle efficiency, modal shifts and infrastructure upgrades, deep decarbonisation requires addressing both supply- and demand-side dynamics. It is equally important to recognise that the fundamental objective of transport systems is to provide people and industries with access to services, goods and opportunities, thereby enabling the flow of resources essential to economic and social life. A just and effective decarbonisation of transport in Africa must therefore move beyond technical fixes to also incorporate demand-side analyses that explore how mobility needs are shaped by livelihoods, spatial planning and production systems. Demand-oriented strategies are essential to ensure that decarbonisation does not merely reproduce existing mobility patterns – such as replacing internal combustion engine vehicles with electric vehicles – thereby reinforcing path dependencies and risking maladaptation. Instead, decarbonisation efforts should focus on transforming these patterns in ways that align with broader development goals of promoting more equitable, efficient and development-oriented mobility systems. While these dimensions were beyond the scope of the NASAC-IAP report, and this commentary, they represent a vital agenda for future research and policymaking.
Acknowledgements
We gratefully acknowledge the working group, reviewers, sponsors and staff of the InterAcademy Partnership and the Network of African Science Academies who contributed to the development of the report Decarbonisation of Transport in Africa: Opportunities, Challenges, and Policy Options, on which this commentary is based.
Funding
This commentary forms part of a broader study that received funding from the ClimateWorks Foundation and the African Climate Foundation. The authors were supported through salaries provided by this funding during the study period.
Declarations
We write in our own capacity, and our views do not necessarily represent the views of our institutions or member organisations. We have no competing interests to declare. We have no AI or LLM use to declare. All authors read and approved the final manuscript.
r eferences
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2. Tiseo I. Distribution of carbon dioxide emissions produced by the transportation sector worldwide in 2021, by subsector [webpage on the Internet]. c2023 [cited 2024 Aug 07]. Available from: https://www.statista.com/statisti cs/1185535/transport-carbon-dioxide-emissions-breakdown/
3. International Energy Agency (IEA). Transport [webpage on the Internet]. c2023 [cited 2024 Jun 06]. Available from: https://www.iea.org/energy-sy stem/transport
4. Climate Watch. Climate Watch data [webpage on the Internet]. No date [cited 2023 Apr 10]. Available from: https://www.climatewatchdata.org/
5. SLOCAT. Tracking trends in a time of change: The need for radical action towards sustainable transport decarbonisation [webpage on the Internet]. c2021 [cited 2023 Mar 03]. Available from: https://tcc-gsr.com/global-ove rview/africa/
6. Ayetor GK, Mbonigaba I, Ampofo J, Sunnu A. Investigating the state of road vehicle emissions in Africa: A case study of Ghana and Rwanda. Transp Res Interdiscip Perspect. 2021;11, Art. #100409. https://doi.org/10.1016/j.trip. 2021.100409
7. Anenberg SC, Miller J, Henze DK, Minjares R, Achakulwisut P. The global burden of transportation tailpipe emissions on air pollution-related mortality in 2010 and 2015. Environ Res Lett. 2019;14(9), Art. #094012. https://doi. org/10.1088/1748-9326/ab35fc
8. Network of African Science Academies (NASAC), InterAcademy Partnership (IAP). Decarbonisation of transport in Africa: Opportunities, challenges and policy options [document on the Internet]. Nairobi: NASAC and IAP; 2024. Available from: https://www.interacademies.org/publication/decarbonisatio n-transport-africa-opportunities-challenges-and-policy-options
9. Rizzoli V, Norton LS, Sarrica M. Mapping the meanings of decarbonisation: A systematic review of studies in the social sciences using lexicometric analysis. Cleaner Environ Syst. 2021;3:Art. #100065. https://doi.org/10.1 016/j.cesys.2021.100065
10. United Nations. Secretary-General’s remarks at the Climate Ambition Summit [webpage on the Internet]. c2021 [cited 2025 Apr 07]. Available from: https: //press.un.org/en/2021/sgsm20971.doc.htm
11. United Nations Framework Convention on Climate Change (UNFCCC). The Paris Agreement [webpage on the Internet]. c2015 [cited 2025 Apr 07]. Available from: https://unfccc.int/process-and-meetings/the-paris-agreement
12. UNFCCC. South Africa’s updated nationally determined contribution (NDC) [document on the Internet]. c2021 [cited 2025 Apr 07]. Available from: https ://unfccc.int/sites/default/files/NDC/2022-06/South%20Africa.pdf
13. Africa NDC Hub. Country listing page [webpage on the Internet]. No date [cited 2025 Apr 07]. Available from: https://africandchub.org/country-listin g-page
14. Renew Africa. Morocco’s high-speed train switches to renewables [webpage on the Internet]. c2022 [cited 2024 Dec 10]. Available from: https://renewafri ca.biz/disruption/moroccos-high-speed-train-switches-to-renewables
15. Roychowdhury A, Chattopadhyaya V, Chandola P. Electric mobility in Africa: A unique opportunity to leapfrog to clean air and low carbon mobility. New Delhi: Centre for Science and Environment; 2023. Available from: https://ww w.cseindia.org/electric-mobility-in-africa-a-unique-opportunity-to-leapfrog-t o-clean-air-and-low-carbon-mobility-11682
16. Lacock S, du Plessis AA, Booysen MJ. Using driving-cycle data to retrofit and electrify sub-Saharan Africa’s existing minibus taxis for a circular economy. World Electr Veh J. 2023;14(10), Art. #296. https://doi.org/10.3390/wevj1 4100296
17. Ogutu MO, Jackson A, Mike M, Olexa H, Nsengimana C. Implementing circular economy and sustainability policies in Rwanda: Experiences of Rwandan manufacturers with the plastic ban policy. Front Sustain. 2023;4, Art. #1092107. https://doi.org/10.3389/frsus.2023.1092107
18. Saddier S. Beyond electric vehicles, what will it take to decarbonize the transport sector in Africa? [webpage on the Internet]. c2023 [cited 2024 Dec 10]. Available from: https://www.ssatp.org/news-events/beyond-electric-veh icles-what-will-it-take-decarbonize-transport-sector-africa
19. UN Office for the Coordination of Humanitarian Affairs (OCHA). Kenya: Heavy rains and flooding update – Flash update #2 [webpage on the Internet]. c2024 [cited 2025 Apr 07]. Available from: https://www.unocha.org/publica tions/report/kenya/kenya-heavy-rains-and-flooding-update-flash-update-2-1 9-april-2024
20. KPMG. 38% of Australians face high risk from extreme heat [webpage on the Internet]. c2024 [cited 2025 Jan 05]. Available from: https://kpmg.com/au /en/home/media/press-releases/2024/01/38--of-australians-face-high-risk-f rom-extreme-heat.html
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22. Amnesty International, Democratic Republic of Congo. “This is what we die for”: Human rights abuses in the Democratic Republic of the Congo power the global trade in cobalt [document on the Internet]. c2016 [cited 2024 Mar 05]. Available from: https://www.amnesty.org/en/documents/afr62/3183/2016/en/
23. Geels FW. A socio-technical analysis of low-carbon transitions: Introducing the multi-level perspective into transport studies. J Transp Geogr. 2012;24:471–482. https://doi.org/10.1016/j.jtrangeo.2012.01.021
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25. Geels FW. Socio-technical transitions to sustainability: A review of criticisms and elaborations of the multi-level perspective. Curr Opin Environ Sustain. 2019;39:187–201. https://doi.org/10.1016/j.cosust.2019.06.009
26. Smith A, Stirling A, Berkhout F. The governance of sustainable socio-technical transitions. Res Policy. 2005;34(10):1491–1510. https://doi.org/10.1016/j.r espol.2005.07.005
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https://doi.org/10.17159/sajs.2025/21845
Author: Mia Strand1
AFFILIAtIoN:
1Nippon Foundation Ocean Nexus, Institute for Coastal and Marine Research, Department of Development Studies, Nelson Mandela University, Gqeberha, South Africa
CorrESPoNDENCE to: Mia Strand
EMAIL: miavstrand@gmail.com
hoW to CItE: Strand M. Ocean equity as an ocean in which many oceans can coexist. S Afr J Sci. 2025;121(5/6), Art. #21517. https://doi.org/10.17159/sa js.2025/21517
Ocean equity as an ocean in which many oceans can coexist
This Invited Commentary builds on PhD research undertaken by Mia Strand, whose first PhD paper entitled ‘Reimagining ocean stewardship: Arts-based methods to ‘hear’ and ‘see’ Indigenous and local knowledge in ocean management’ (Front Mar Sci. 2022;9, Art. #886632), co-authored with her supervisors, Nina Rivers and Bernadette Snow, was awarded National Champion for the Frontiers Planet Prize in 2024.
Significance:
This Invited Commentary builds on my PhD research which involved exploring the value of arts-based participatory research for more inclusive and equitable ocean governance in South Africa, specifically emphasising the need to better recognise Indigenous and local knowledge systems in decision-making processes. In this commentary, I call attention to the concept of cognitive ocean equity and initiate a conversation about the role of arts-based research in embracing pluriversality in South African ocean governance.
ocean equity
In this Invited Commentary, ocean equity is conceptualised as actively recognising and addressing historical and current injustices in ocean decision-making that continue to affect some people’s access to, benefits from and relationships to the ocean, to advance more just realities. It refers to tailored treatment, instead of equal treatment, based on the fact that not everyone has had (or have) the same opportunities as a result of histories and legacies of oppression, colonialism, Apartheid and other structural inequalities.1 Similarly to Bam and Muthien, I have chosen to capitalise Apartheid throughout this commentary, to “highlight its significance in history and its continued impacts in South Africa and elsewhere”2, particularly when it comes to inequities. In contrast to ocean equality, which often does not consider classifications of individuals “on the basis of certain personal characteristics” such as race, ethnicity, class and gender, equity seeks “redress of historic and systemic disadvantages”1. Another way in which we can separate equality and equity is the concept and application of time. Whilst equality arguments and conceptualisations often focus on a better future – or a future where everyone is provided with the same opportunities – equity considers past and present realities, and how they continue to influence people’s advantages or disadvantages, and seeks to dismantle these systematic inequities.1
Ocean equity can be considered according to various dimensions and aspects (see Figure 1), such as distributional equity focusing on access to marine benefits and distribution of marine harms, procedural equity focusing on opportunities for participation and meaningful engagement in ocean decision-making, and recognitional equity focusing on acknowledging people’s rights, values and cultures in ocean governance processes.3 In addition to these three common dimensions, some scholars also consider contextual equity as focusing on the pre-existing socio-economic and political conditions and structures that may influence people’s access to justice, and restorative equity focusing on mending and restoring relationships, whether human or more-than-human, which may influence people’s access to the other dimensions of ocean equity.4
A sixth dimension is cognitive equity, which I propose refers to the recognition and elevation of formerly silenced and neglected ocean knowledges. Although cognitive equity is often grouped under the recognitional dimension, I argue here that we need to centre cognitive equity as its own dimension to consider ‘who’ is defining equity and justice in the first place and scrutinise what worldviews are underpinning these debates.5 6
For example, Lobo and Parsons7 emphasise how ocean kinship and kin-centric relations to the ocean informed by Indigenous partnerships and sovereignty often struggle to emerge because of colonial legacies that privilege Western scientific knowledge in New Zealand and beyond. Similarly, Mulalap et al.8 convey how some Indigenous knowledge systems in the Pacific Ocean recognise humans as part of the ecosystem, and Hau’ofa9 articulates how Oceania communities see themselves as “people of the sea”, which is threatened by artificial borders imposed by imperialism and colonialism. Through creative and immersive storytelling, Yara Costa10 shares the story of ‘Nakhodha and the Mermaid’ from the Island of Mozambique, elevating often silenced or excluded slave memories, and highlighting stories of how African coastal populations are inequitably affected by global warming consequences.
In the context of Indigenous knowledge systems and histories in South Africa, Bam and Muthien2 argue that the task of attaining cognitive and restorative justice includes “know[ing] the truth of over 300 years of colonial oppression, enslavement, land dispossession, economic exploitation, violence and consequent losses over deep time”. Once knowing this, it also involves addressing these injustices through policies, research, management plans and actions that actively seek to promote, elevate, and prioritise people and populations (and their rights, knowledge systems and ocean connections) that have been and continue to be marginalised through these intersectional forms of oppression, exploitation and violence.
Specifically considering conservation practices in South Africa, Musavengane and Leonard11 emphasise that social equity and race “have been thought of as key factors in determining who will participate in conservation”, and that “conservation practices in post-Apartheid South Africa are still exclusionary for the majority black population”. Our research in Algoa Bay12 similarly found that Indigenous and local communities continue to experience exclusion from ocean decision-making and lack of access to important ocean areas and cultural practices. The presence of paywalls and fenced-off areas reminded co-researchers of “institutionalised racial segregation during colonialism
2025 https://doi.org/10.17159/sajs.2025/21517
and Apartheid”, and these barriers limit the transfer of ocean knowledges to the younger and future generations, and people’s opportunities to sustain, restore and build “connections to the coast for themselves, their families and communities”12
The importance of considering cognitive equity on its own also ties to the weight it carries for deconstructing, challenging and complicating coloniality of the ocean13, particularly in a South African context. The literature indicates how marine science and ocean governance continue to pursue top-down, didactic, positivistic, context-independent processes that largely rely on economic or conservation-based priorities.3 7 12-16 This often results in disregarding the realities and contextual ocean knowledges and connections of Indigenous and local communities that rely on the ocean for cultural heritage, well-being, health, spiritual connections, identity formation, traditional healing, religious practices and livelihoods. In fact, many of these extractive or conservationist approaches to ocean governance stand in stark contrast to worldviews that see humans as part of the ocean, and therefore interdependent on a healthy ocean for well-being, survival and community.
Pluriversality as an ocean in which many oceans coexist
The process of cognitive equity embraces pluriversality. The notion of pluriversality and ‘the pluriverse’ is often traced to the Zapatista
movement in Chiapas, Mexico, and Mignolo17 argues that “it was the Zapatistas’ own decolonial political vision of a world in which many worlds would coexist that announced the pluriverse” [emphasis added]. Recently, this was also highlighted by scholars in sustainability transformations research, arguing that we need relational approaches to better advance “practices of transformations as ‘walking together in a world of many worlds’”18
Pluriversality refers to the dismissal of the concept of universal knowledge or truth, and rather acknowledging and celebrating that there are plural or multiple truths, answers, and ways of knowing, being in, and valuing the world.19 Pluriversality is a process of “deconstructing the myth of universality”20, and it refers to knowledges as opposed to knowledge to recognise that knowledges are underpinned and building on different cultures and that no culture is hegemonic or universal19. Analysing the concept and process of pluriversality in African universities, Gwaravanda and Ndofirepi argue that: … the Western epistemological paradigm is used in African universities to construct models of knowledge that view propositional knowledge as universal, objective, scientific, abstract, neutral, ahistorical, disembodied, faceless and transcultural 20
The aim of pluriversality, then, is therefore an inclusive approach to knowledge validation and valuation, to open up epistemic dialogue,
Figure 1: Six dimensions of ocean equity, understood as addressing inequity.
Source: This figure is inspired by and adapted from Strand4
promote “capacity to respect other knowledge claims” and challenge the “principle of the excluded middle where knowledge is classified as either scientific knowledge or no knowledge at all”.20 Instead of promoting the marginalisation and displacement of specific or existing knowledges, pluriversality of knowledges rather aims to “accommodate seemingly opposed epistemological paradigms”20. However, to ensure that all knowledges achieve an ‘equitable’ role in this accommodating pluriversality, I argue that we need to actively prioritise, elevate and centre knowledge systems that have been historically (and/or are currently) undermined, discredited, devalued, excluded or silenced.
Here I argue that arts-based research can assist in advancing cognitive equity through ocean pluriversality, understood as an ocean in which many oceans can coexist.
the role of arts-based research for ocean pluriversality
Art has the power to open up the mind to imagination, to encourage empathy between human and more-than-human beings, and to allow us to view the world from contrasting perspectives and frames. Music, photography, theatre, poetry, storytelling and murals, for example, can elevate our sense of happiness and belonging, instil emotions such as sadness, hope, curiosity and fear, and transport us to a different place in time and space. Arts-based research refers to a process where artforms play a role in knowledge production, expression and data formation.21 The art itself is not the end product, but a means of communicating stories and experiences.22 Arts-based research methods have been celebrated and promoted for their ability to open up discursive practices for marginalised and silenced knowledge systems.21 By providing and encouraging people to share and own their stories in various shapes and forms, the methods can offer opportunities for people who have been historically silenced on environmental issues and decision-making to share their priorities and interests.23 As pointed out by Erwin24, storytelling processes can become a political act to develop “counter-hegemonic narratives” that are important to disrupt, make messy and expand on dominant exclusionary practices and “reimagine anew alternative ways of seeing and being”.
This theoretical basis formed the basis for my PhD, exploring the value of arts-based participatory research for more equitable ocean governance in South Africa.4 Collaborating with 48 people as co-researchers in the contexts of Algoa Bay (Eastern Cape) and Mandeni (KwaZulu-Natal), we found that centring photography and storytelling in the research can convey and promote an ocean in which many oceans coexist. The stories emerging from the research processes in Algoa Bay and Mandeni highlighted the importance of a healthy ocean for spiritual connections and well-being, for food and livelihoods, for a sense of freedom and peace, and for the transfer of cultural heritage and Indigenous knowledge systems; alongside and within stories of livelihoods and interdependence, were stories of spiritual connections and traditional healing; alongside and within lived experiences as subsistence fishers and commercial scuba divers, were lived experiences of mental well-being and the passing down of generational knowledge.4
The research showed that the arts-based processes in Mandeni and Algoa Bay were valuable in conveying multiple, overlapping, diverging and plural ocean knowledges all at once through the photostories and exhibitions.4 The exhibitions functioned as a story in which many stories could coexist, therefore embracing a more inclusive valuation of various ocean knowledges, and allowing the emergence of multiple meanings.21,25 In contrast to exclusionary practices and visions, we found that the arts-based methods helped to make otherwise intangible ocean knowledges and connections more tangible, which I argue is necessary to bridge the gap between local knowledges and knowledge systems, marine science and decision-making. Bridging is the process of finding common ground between heterogeneous groups and is vital to co-develop sustainable solutions through social learning and unravelling, meshing and ravelling in transdisciplinary knowledge co-production between academic and non-academic knowledge holders.4,26 However, instead of promoting the need to integrate various knowledge systems into one ocean story, cognitive equity as ocean pluriversality rather promotes the need to recognise and value that there are many
ocean stories. The arts-based research process provided an opportunity to elevate and centre formerly silenced, and currently excluded, ocean stories, without necessarily marginalising or devaluing existing dominant ocean stories. As emphasised by Mignolo17, “Western universalism has the right to coexist in the pluriverse of meaning”. Instead of one universal ocean knowledge, “Western cosmology would be one of many cosmologies, no longer the one that subsumes and regulates all the others”17
So what? What is the way ahead?
Focusing on cognitive equity in ocean governance is vital to ensure that we are not perpetuating or reproducing inequities of ocean pasts. The colonial legacies of ocean conservation and governance continue to privilege “Western ways of thinking”3, reproduce extractive research practices27, uphold racist practices and policies11 28, and exclude Indigenous Peoples and local communities from ocean decision-making, knowledge creation and ocean areas29 30. This means that, to advance towards the reality of a pluriverse of oceans, discursive space needs to be made for non-dominant ocean stories and cosmologies, and cognitive equity should be prioritised to actively elevate formerly and currently silenced and neglected ocean knowledges.
To advance ocean pluriversality and cognitive equity, we need to scrutinise whose knowledges and interests are currently informing ocean governance, and actively pursue re-storying practices led by Indigenous Peoples and local communities whose knowledges have been marginalised in ocean decision-making. I argue that art and arts-based methods can play an important role here, and we should therefore actively fund, promote and pursue arts-based research and practices, particularly led by Indigenous and local communities themselves. Art-based methods are increasingly used to imagine better ocean futures, and it is therefore critical that these processes are centring cognitive equity as an ocean in which many oceans coexist.
Acknowledgements
This Invited Commentary builds on my PhD research, which explored the value of arts-based participatory research for more equitable ocean governance in South Africa. I thank and acknowledge all the co-facilitators, co-researchers and colleagues who made that journey possible. I also acknowledge the incredible support and supervision from my PhD supervisors, Dr Nina Rivers and Prof. Bernadette Snow.
Funding
I receive funding from the Nippon Foundation Ocean Nexus. The PhD research which inspired this Commentary was funded by the South African Research Chairs Initiative through the South African National Department of Science and Innovation (DSI)/National Research Foundation (NRF); a Community of Practice grant in Marine Spatial Planning [UID: 110612]; the South Africa–Norway Research Co-operation on Blue Economy, Climate Change, the Environment and Sustainable Energy 2018-2023 [project number:13591000]; the ACEP Smart Zone MPA Project [UID: 129214], and the One Ocean Hub [grant number: NE/S008950/1].
Declarations
I have no competing interests to declare. I have no AI or LLM use to declare.
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6. De Sousa Santos B. Decolonising the university: The challenge of deep cognitive justice. Cambridge: Cambridge Scholars Publishing; 2018.
7. Lobo M, Parsons M. Decolonizing ocean spaces: Saltwater co‐belonging and responsibilities. Prog Environ Geogr. 2023;2(1–2):128–140. https://doi.org/ 10.1177/27539687231179231
8. Mulalap CY, Frere T, Huffer E, Hviding E, Paul K, Smith A, et al. Traditional knowledge and the BBNJ instrument. Mar Policy. 2020;122, Art. #104103. https://doi.org/10.1016/j.marpol.2020.104103
9. Hau’ofa E. We are the ocean: Selected works. Honolulu, HI: University of Hawai'i Press; 2008.
10. YC Creative Platform. Nakhodha & the mermaid. Yara Costa Production. 2023. Available from: https://www.yc-creativeplatform.org/nakhodha-and-t he-mermaid
11. Musavengane R, Leonard L. When race and social equity matters in nature conservation in post-Apartheid South Africa. Conserv Soc. 2019;17(2):135–146. https://doi.org/10.4103/cs.cs_18_23
12. Strand M, Rivers N, Snow B. Reimagining ocean stewardship: Arts-based methods to ‘hear’ and ‘see’ Indigenous and local knowledge in ocean management. Front Mar Sci. 2022;9, Art. #886632. https://doi.org/10.33 89/fmars.2022.886632
13. Niner HJ, Wilson D, Koareau K, Strand M, Whittingham J, McGarry D, et al. Reflections on the past, present, and potential futures of knowledge hierarchies in ocean biodiversity governance research. Front Mar Sci. 2024;11, Art. #1347494. https://doi.org/10.3389/fmars.2024.1347494
14. Okafor‐Yarwood I, Kadagi NI, Miranda NAF, Uku J, Elegbede IO, Adewumi IJ. The blue economy – cultural livelihood – ecosystem conservation triangle: The African experience. Front Mar Sci. 2020;7, Art. #586. https://doi.org/10 .3389/fmars.2020.00586
15. Gilek M, Armoskaite A, Gee K, Saunders F, Tafon R, Zaucha J. In search of social sustainability in marine spatial planning: A review of scientific literature published 2005-2020. Ocean Coast Manag. 2021;208; Art. #105618. https ://doi.org/10.1016/j.ocecoaman.2021.105618
16. Spalding AK, Grorud-Colvert K, Allison EH, Amon DJ, Collin R, de Vos A, et al. Engaging the tropical majority to make ocean governance and science more equitable and effective. npj Ocean Sustain. 2023;2, Art. #8. https://doi.org/1 0.1038/s44183-023-00015-9
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19. Mignolo WD. Local histories, global designs: Subaltern knowledges and border thinking. Princeton, NJ: Princeton University Press; 2000.
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29. Croft F, Breakey H, Voyer M, Cisneros-Montemayor A, Issifu I, Solitei M, et al. Rethinking blue economy governance – A blue economy equity model as an approach to operationalise equity. Environ Sci Policy. 2024;155, Art. #103710. https://doi.org/10.1016/j.envsci.2024.103710
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Author: Jacqueline Hoare1
AFFILIAtIoN:
1Department of Psychiatry and Mental Health, Head of the Division of Consultation Liaison Psychiatry, Groote Schuur Hospital and the University of Cape Town, Cape Town, South Africa
CorrESPoNDENCE to: Jacqueline Hoare
EMAIL: Jackie.hoare@uct.ac.za
hoW to CItE: Hoare J. Emotional leadership in health care: A dire need illuminated by pivotal resource cuts. S Afr J Sci. 2025;121(5/6), Art. #21848. https:// doi.org/10.17159/sajs.2025/21848
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
KEYWorDS: medical culture, psychological safety, leadership
PubLIShED: 29 May 2025
Emotional leadership in health care: A dire need illuminated by pivotal resource cuts
Emotional leadership in health care emphasises the significance of a leader’s ability to be empathically attuned and responsive to colleagues’ feelings and needs and should be increasingly recognised as a crucial component of well-performing clinical teams. Emotional leadership in health care is a novel paradigm and speaks to the evergrowing need to address mental health, psychological and emotional safety and moral distress in medicine’s complex and fast-changing environment. This article explores the concept of emotional leadership, its potential relevance to healthcare professionals, its impact on healthcare workers’ well-being and its role in fostering a healthy learning environment.
The feeling of being emotionally unsafe is the ultimate killjoy.1
Introduction
Innovation often emerges from a dire need illuminated by a pivotal event.2 Those in leadership positions in health care in South Africa are facing difficult and challenging times, with significant implications for how they will lead going forward. Healthcare leaders in the public sector – from hospital managers and heads of departments and divisions to consultants – are now more than ever having to lead within a context of ‘having to do more with less’ and ‘needing creative thinking’ or ‘thinking out of the box’. The current South African National Health budget cuts 2024/2025 and cuts to South African healthcare projects funded by the US Agency for International Development (USAID) and the US President’s Emergency Plan for AIDS Relief (PEPFAR)3 have severely compromised public health efforts in the country and are undoubtedly already taking their toll on our clinicians, with concerns being raised about moral distress.4 Leaders in health care are very much aware that the termination of this funding will leave the most vulnerable of South Africa’s population at risk. The work done day in and day out by healthcare workers in the public health sector is integral to the lives of millions of South Africans in the face of significant challenges.5 Public sector healthcare workers are at the very heart of the frontline services relied upon by South Africans, especially the most vulnerable in our society.5 However, there is a cost to healthcare workers for bearing this burden. According to the Medical Protection Society survey released in October 2023, more than a third (35%) of healthcare practitioners in South Africa say their mental well-being is worse now than during the COVID-19 pandemic; 59% said the staff shortages plaguing the South African health system were having an impact on their mental well-being; and 39% of those surveyed said that the impact of burnout and exhaustion on patient safety was impacting their mental well-being.6 Other studies have indicated that over 70% of young doctors working in primary care have burnout from the cumulative effects of mental and emotional stress, have high workloads in substandard facilities and, now due to national health budget cuts, they are facing unemployment and diminishing training opportunities.7 Working and learning in the healthcare sector is frequently characterised by exposure to high-stress environments, where professionals face emotional and physical challenges.8 Factors such as long hours, high patient volumes, and the emotional weight of patient care contribute to a demanding workplace with high levels of anxiety and burnout.8 A vital task of leaders in health care is not only to deal with the logistical and practical implications of the budget cuts and diminishing resources, but also to support a chronically stressed and distressed workforce.
Emotional leadership could be part of the solution to supporting healthcare workers within our distressing context of shrinking resources. This Commentary explores the role of emotional leadership in promoting healthcare workers’ well-being and enhancing patient care, underscoring the need for healthcare organisations to integrate a leader’s ability to be empathically attuned and responsive to colleagues’ feelings and needs into their leadership frameworks.2 I do not assert that the burden of healthcare wellness reform rests on the shoulders of individual clinicians or healthcare leaders. System and institutional level changes are critical and essential but outside the scope of this article.2
It is important for healthcare leaders to acknowledge that burnout and moral distress happen to healthcare workers who care.9 The term ‘moral distress’ originated in the field of health care and was conceptualised as a psychological and emotional response experienced by healthcare professionals when they believe they know the morally right course of action but are unable to act accordingly due to various constraints such as institutional policies, hierarchical structures, legal and ethical dilemmas, resource constraints or conflicting values within a healthcare setting.10 Funding cuts leading to services being delayed or abandoned will result in healthcare workers feeling a sense of betrayal towards the communities they serve. This moral distress is compounded by witnessing preventable health issues persist or worsen without the means to intervene effectively. What adds to clinicians’ experience of moral distress is that the opportunity to develop connections with patients, to create a therapeutic alliance that is collectively oriented towards their healing, is significantly limited by resource constraints. This is not the way of medicine: to be this exhausted, this distressed, coping only by offering a detached version of ourselves. Our way of being in the world and interacting with others impacts the development and well-being of those colleagues junior to us.
Hierarchy in the field of medicine can act against the best interests of clinicians and destroy a collaborative healthcare culture. We should be vigilant of the impact that resource constraints will have on the mental health of junior colleagues
2025 https://doi.org/10.17159/sajs.2025/21848
and health science students, particularly those in the clinical years who will be anxious about the way diminishing medical officer and registrar posts will limit their future career options in South Africa. A scoping review of mental health needs and challenges among medical students within South African universities published in May 2024 highlighted serious concerns about mental health, particularly in studies which included clinical students.11 Unfortunately, despite its evidence-based nature, the field of medicine continues to struggle with providing psychologically safe environments for its staff and students.2 When teams are psychologically safe, they have a shared belief that they can take interpersonal risks such as speaking up, asking questions, and sharing.6 A lack of psychological safety destroys the open and collaborative culture that produces good patient care and drives talented individuals out of medicine.12 The hierarchical culture of medicine exacerbates feelings of low confidence and internalised insecurity, particularly for underrepresented groups and women.13 Medical culture stigmatises uncertainty, perceives vulnerability as failure, and shames the need for support.14 To date, the majority of interventions aimed at increasing clinician support have been implemented in response to pathology rather than as a proactive means to facilitate thriving and joy at work.2
There is little doubt that we are facing tough times in public and teaching healthcare facilities in South Africa. Leadership style is certainly not going to solve the legion of problems that are faced in health care, but it can contribute towards supporting colleagues through these difficult times. Leaders will frequently be in a position of having to deliver news to colleagues that causes distress to themselves and their colleagues. Many of those who lead will be left feeling powerless, hopeless and stuck in ‘lose–lose’ situations. Emotional leadership does not provide solutions for how to make decisions on where or how resources should be cut, but rather provides a framework for being empathic while doing so. By actively listening to others, considering their perspectives, and acknowledging their distressing emotions and experiences, emotional leaders can have an honest dialogue and provide more constructive resolution of difficult circumstances.15 Colleagues respond to communication based on how their leaders feel about them.15 Colleagues can sense how leaders experience them – whether that be as an object or a person.15 Tough feedback is more effective when leaders see the colleagues they are giving feedback to as people who are distressed because their ability to heal and care is being constrained.
Emotional leadership begins with seeing colleagues as people, not as problems to be solved, and with developing a culture that invites, incentivises, and supports colleagues to see each other as people.15 Emotional leadership in health care is a novel paradigm and speaks to the ever-growing need to address healthcare worker well-being, psychological safety and moral distress in medicine’s complex and fast-changing environment. Effective emotional leaders in our multicultural healthcare context would need to develop an understanding that the ‘appropriate’ ways of colleagues’ expressing emotion are not neutral, they are social constructs. What is appropriate emotional expression in one context, or for one social group, might be inappropriate in another. Emotional leadership can also enhance the teaching and learning experience in academic hospitals, ultimately leading to better-prepared healthcare professionals. It is well documented that a leader’s ability to communicate clearly and to empathically16 act on behalf of the people they serve17 and mentor and develop others18 are critical factors in good leadership. In medicine, these skills are often not explicitly developed, thereby limiting leadership effectiveness and the performance of colleagues.19 Leaders who use higher levels of emotional management are able to improve the levels of their team’s performance, and are better at managing conflict, emotions and their consequences for team performance.20 Higher levels of inspiration and communication of vision by leaders are directly associated with lower levels of bullying by team members.20 In nursing management, emotional leadership helps promote positive changes, improves organisational effectiveness, and increases clinical team engagement and satisfaction.21 Loughran’s 2021 article emphasises the importance of understanding oneself as a leader, particularly in the realm of emotional leadership.22 The study explores how leaders can leverage their own emotions and self-awareness to create positive and effective learning environments. It highlights the
significance of emotional awareness in building strong relationships, managing conflicts, and fostering a collaborative culture.22 Emotional leadership also enhances motivation, which has a positive impact on job performance.23
Emotional labour is frequently the unsung and unseen job of caring for and supporting others, but it is also critical to create a feeling of safety and connection, meaning and belonging within our institutions.24 Working with people, especially when they are suffering, is likely to involve a significant amount of emotional labour.25 This means that emotional leaders are expected to deliver “humane” personal care and display the expression of positive emotions, and empathy towards colleagues.25 We need to create more value around emotional leadership. This may start with the simple recognition that emotional labour is in fact valuable work. We should actually value “caring-for-others orientated traits” and treat this kind of leadership as something that requires time, effort and skill. Giving value to the skills of emotional leadership by including it in job descriptions and as a more formal aspect of annual performance evaluation and by finding more creative ways to reward it, could help to spread its burden more evenly amongst colleagues rather than letting it fall to the duty of a few. It is time that emotional leadership is recognised, trained and integrated into formal leadership portfolios. Emotional leadership requires a larger platform holding the space for the mental health and well-being of healthcare professionals.
understanding emotional leadership
Emotional leadership involves several key components, including self-awareness, empathy, social skills, communication skills and investment in relationships. Leaders who exhibit these traits could create a supportive, emotionally safe environment that promotes open communication, trust, team collaboration and a supportive learning environment that can promote colleagues’ engagement.
1. Self-awareness: Leaders’ emotional displays have a larger impact on the perceptions of leaders than the content of the leaders’ messages.26 Leaders should recognise their own emotional states and how these emotions affect their decision-making and interactions with others. Self-aware leaders can manage their reactions in stressful situations, modelling emotional regulation for their teams. Clinical teachers who practice self-awareness can better understand their own emotions and how these emotions impact their teaching. Recognising one’s emotional triggers allows for more thoughtful responses to colleague’s needs and concerns13, fostering a psychologically safe learning environment. Self-awareness is also intrinsically linked with authentic leadership, which has been associated with a range of positive outcomes, such as colleagues’ performance, engagement, satisfaction, empowerment, trust in the leader and better relationship quality with the leader.13
2. Empathy: Empathy is shown to be an important variable that is central to emotional leadership.26 The ability to be open to understanding and authentically curious to learn about the feelings of others is crucial in health care.27 Empathetic leaders can connect with their colleagues and patients on a deeper level, fostering a culture of compassion and support.27 Identifying and responding to colleagues’ needs, especially their emotional needs, is critical for successful leadership.13 Empathetic clinical educators can connect with junior colleagues and students on a personal level, understanding the challenges they face during their training. This connection can lead to a more supportive and nurturing educational environment, where students feel valued and understood.28 Moreover, fostering empathy in educators will translate into better patient care, as students learn the importance of understanding patients’ emotional and psychological needs.28
3. Social skills: A key leadership function is to manage the emotions of colleagues, especially with regard to feelings of frustration.26 By identifying emotional leadership as an essential dimension of leadership, leaders can develop a better understanding of how emotional skills can enhance management communications in decision-making conflicts.29 Effective emotional leaders possess
strong interpersonal skills that allow them to navigate complex social dynamics within healthcare settings.30 This includes conflict resolution, effective communication30, and the ability to inspire and motivate others. Leaders who can convey information clearly and compassionately are better equipped to address colleagues’ concerns and foster an open dialogue. Delivering difficult content to colleagues requires skill and reflection on the way the content is delivered, but these are skills that can be learnt. Colleagues want to feel listened to, validated and understood by their leaders, and they want to understand what leaders are trying to communicate.13 Communications from leaders ought to show that colleagues are valued and have dignity.13 Respectful communication can heighten colleagues’ perceptions of the hospital as a just and fair workplace.13
4. Relationship management: Leaders’ influences on emotional processing have a large impact on performance.26 Emotional leadership contrasts with traditional authoritative approaches in medicine, which may neglect the emotional needs of colleagues and patients alike. Emotional leadership encourages a more holistic view of health care, integrating emotional and psychological aspects into clinical practice. Connecting with colleagues can improve meaning in our work. Using our talents to make a difference in the lives of others is at the essence of medicine and makes joy in medicine possible.31 Emotional leaders prioritise creating a sense of community within the hospital environment, promoting collaboration and teamwork across the traditional medical hierarchy.24 This supportive network can enhance learning and helps individuals to develop vital interpersonal skills necessary for their future careers. Emotional leadership can manifest as supportive behaviours, including instrumental support (helping colleagues to overcome the stressor they are facing) and emotional support (helping colleagues to manage their emotions around the stressor).32
Potential outcomes of emotional leadership for healthcare workers’ and students’ well-being
1. Reducing burnout and promoting resilience: Leaders who prioritise colleagues’ and students’ well-being can implement strategies that mitigate burnout, such as using mental health resources and peer support programmes.33 When leaders are attuned to their team’s emotional states and stressors, they can better address the factors contributing to burnout.34 By modelling the promotion of empathic connection amongst colleagues, leaders can encourage resilience among healthcare workers.35 Resilient employees are better prepared to adapt to changes and recover from setbacks, which ultimately benefits the entire organisation.
2. Enhancing job satisfaction: Joy in medicine, or the lack thereof, is a popular topic of discussion, even more so since the COVID-19 pandemic.36 Strategies like being kind, expressing gratitude, and using effective communication skills can establish greater connection with colleagues and patients, and, in turn, result in a more joyful work environment.36 Creating space for interconnectedness with patients and colleagues can rekindle feelings of joy in medicine.36 Emotional leadership can foster a positive workplace culture where colleagues feel valued, seen and heard. This sense of belonging can enhance job satisfaction34, leading to lower burnout rates and fewer mental health problems.24 Leaders who are empathically attuned and responsive to colleagues’ feelings and needs are more likely to inspire loyalty and cohesion among their teams. When colleagues are engaged and experiencing joy at work, they are more likely to contribute to overall organisational success.
3. Fostering a culture of support: Emotional leaders can cultivate a culture in which seeking help is encouraged rather than stigmatised.33 This leads to an environment where employees feel safe to express their struggles and seek support, whether through mental health resources or peer networks. Such a culture not only improves individual well-being but also enhances team cohesion and collaboration.33
Potential outcomes of emotional leadership for patient care
1. Improving patient–provider relationships: Leaders who cultivate empathy and active listening skills can encourage their teams to adopt similar practices. This results in stronger patient–provider relationships, fostering trust and improving communication, which are crucial for effective care. Strong relationships between patients and providers lead to improved trust, increased patient satisfaction and adherence to treatment plans.27
2. Enhancing patient outcomes: Emotionally engaged healthcare teams deliver higher quality care. When healthcare professionals feel supported and understood, they are more likely to engage fully with their patients, leading to better clinical outcomes.27 Emotional leadership can thus be viewed as a catalyst for improving patient safety and satisfaction.34
Conclusion
Leaders in health care will need to be courageous to create a culture which challenges the long-standing premise of what medical culture should be like, to create a culture in which colleagues feel safe and supported.37 The emotional leader’s obligation is to assess the environment and build opportunities for colleagues to work with less anxiety and less fear37 as they master more difficult situations in our current environment of national healthcare budget cuts in South Africa. High-performing teams result from a culture that promotes genuine care amongst colleagues.2 Creating such a culture happens through intentional emotional leadership that places an environment of caring, friendship, belonging and solidarity as top priorities.38 Making medicine about people starts with each of us. One person at a time and one step at a time is how we change the culture of medicine.
Declarations
I have no competing interests to declare. I have no AI or LLM use to declare.
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https://doi.org/10.17159/sajs.2025/21848
Author: Aryan Kaganof1
AFFILIAtIoN:
1Department of Psychology, Centre for Critical and Creative Thought, Stellenbosch University, Stellenbosch, South Africa
CorrESPoNDENCE to: Aryan Kaganof
EMAIL: kaganof@mweb.co.za
hoW to CItE: Kaganof A. herri: A new model for online archiving and journal publishing. S Afr J Sci. 2025;121(5/6), Art. #21518. https:// doi.org/10.17159/sajs.2025/21518
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
KEYWorDS: herri, decoloniality, relationality, digital humanities
herri: A new model for online archiving and journal publishing
Significance:
herri has been described as an online archive, as a journal, as an e-magazine, and as a digital museum, and, while it happily accepts all of these definitions, it does not allow itself to be limited by any of these definitions. This Commentary is a brief introduction to a new model for online archiving and journal publishing that rejects a print lineage (book or magazine) for online publication but rather embraces a screen-based genealogy, foregrounding both cinematic and gaming approaches to digital design, user experience and navigation.
herri has been designed as a radical new pedagogic tool, an Afrocentric revolution in how new knowledge is generated, cultivated, analysed, propagated, archived, and taught in and out of universities.
Our first principle was gleaned from Buckminster Fuller: “You never change things by fighting the existing reality. To change something, build a new model that makes the existing model obsolete.”1
What we understood from the slew of boring, badly designed web journals out there was that everybody was missing the point of the screen. Designers were trying to replicate onscreen a genealogy rooted in print — in books and magazines. In other words, they were negating the ontology of the screen, and therefore all these online journals were deeply dissatisfying because, in emulating something they were not, the participant was constantly left feeling in-between; the experience of reading these journals online gave nothing of the satisfaction of reading a physical publication, but also, and more egregiously, did not exploit the actual medium in which they are embedded. herri therefore was designed explicitly with the history of cinema, and the history of video games, as well as the history of the print media in mind. As a synthesis of these three strands. A recognition that the screen is capable of so much more than a printed book page is, and must fulfill that capability if it is to secure the participation of a new generation of users who have grown up with movies and games as an intuitive part of their learning and cognitive process. Please note that I do not describe them as ‘readers’ because they are doing more than that when they engage with herri; they are active participants in an ongoing jouissance of the moment that enables learning through the medium itself and not only through the medium’s content
The second principle was learned from Édouard Glissant. herri is not a thing (certainly not one thing) but a relation between the user and the interface. When we started designing herri, the students were still a force to be reckoned with and the word ‘decolonising’ was very much in the air. What we did not want to do with herri was create another thoroughly colonial collection of carceral disciplines marching in parallel sequence and thereby merely replicate an ongoing history of these incarcerated knowledge paths (‘the university’) but rather to radically investigate what ‘decolonisation’ might mean in this age of techno-hybridity.
The first thing we needed to decolonise from was time. Therefore, there are no publication dates in herri. We do have them stored, and if researchers really need them they could, theoretically, be given out, but the point is that herri is always now. herri is published the moment you encounter it. herri is not a ‘product’ with a sell-by date. It is not for sale. It gives you knowledge every time you log on. When you vibe with it, you and herri are now. The word ‘vibe’ is very important because herri is an African creation rooted in a Pan-African ethic and aesthetic that is best described as simultaneous multidimensionality. “‘Simultaneous multidimensionality’ names a condition prevalent in many African traditions of performance art in which music is coherent from different aural and kinesthetic perspectives at the same time.”2
A living archive
herri is the name used by the Dutch colonisers for the 17th-century Khoi freedom fighter Autshumao3, the first South African political prisoner, who famously escaped from incarceration on Robben Island. Twice. ‘herri’ – as opposed to ‘Herrie’ – is a decolonial orthography decision that was made because the curatorial team did not believe that the Dutch spelling of the sound herri was necessary, and, inspired by the way sms messages have influenced the orthography of contemporary Afrikaaps, decided to use herri as a flag signalling a de-linking from conventionally inherited colonial spelling.
herri is conceived of as a living archive that demonstrates the possibilities of (post) new media and integrated technologies where discrete categories like ‘art’, ‘music’, ‘film’, ‘text’ and ‘design’ all merge into sensorial and informational abundance. Initiated in 2019 as part of the Andrew W. Mellon funded Delinking Encounters project at Stellenbosch University, herri developed into an investigation about how the notion of decolonisation and decoloniality impacts on the archive, and in its 10 iterations to date, herri demonstrates how the archive is dispersed between artefacts, living people and their memories, and artistic imaginings of the past, present and future.
The intellectual challenge of herri was how to act as a mediating device, or bridge, between the memories of lived experience and the digital media currently available for recording and storing those memories. In my role as Curator/Editor I saw the challenge as one of changing traditional notions of institutional archiving which involve gated communities of difficult-to-access physical material in unwelcoming carceral environments (think colonial structures), into an unrepentantly liberated zone, a new model of open access memory sharing which makes the existing models obsolete.
https://doi.org/10.17159/sajs.2025/21518
In setting out to do this, herri attempted to answer the question: What does decolonisation sound and look like in this age of techno-hybridity?
In presenting a sound-mine of narratives, mythologies, ideologies, statements, ambiguities and ideas inviting excavation, herri postulates that there is not just one answer to this question. By being deliberately trans- and post-disciplinary, incorporating all forms of digital media, and by working with writers, musicians, filmmakers, composers and designers at the cutting edge of their fields of expertise, herri contributes to new knowledge, forging a South-led digital humanities voice that does not emulate what is already known. Writing in Business Day, Chris Thurman commented that:
herri is not just a publication or a platform but an ever-expanding archive. It offers a journey down, through horizontal layers of history, but it is very much present and future-oriented, a portal between diverse settings and geographies and languages.4
An intersectional structure
Structurally, herri consists of differentiated sections that are digitally and conceptually linked in a variety of ways with other content in each edition. Intersectionality is an important feature of the ‘herriverse’. The sections have been created to allow entry into the site from different portals, not necessarily only the single front cover entrance.
The Editorial section forwards positions, formulating viewpoints and positing analyses much in the way conventional editorials are expected to do, with the exception that these herri editorials are not limited to textual contributions but have also appeared as films and, as in this powerful example by Khadija Tracey Heeger, as performed poetry.
Each issue of herri has a theme, which invites writers to explore in-depth the work of an individual artist or genre. This kind of deep focus writing and analysis is difficult to sustain in the market-driven, product-related contemporary media environment of late capital where academic writing itself has become an entirely fungible commodity, administered by monolithic corporate behemoths.
The Theme section has to date featured ‘Mantombi Matotiyana’ (#1), ‘Code Switching: From The Eoan Group to Country Conquerors’ (#2), ‘Night Music’ (#3), ‘Africa Synthesized’ (#4), ‘Social Impact’ (#5), ‘Graham Newcater’ (#6), ‘Johnny Mbizo Dyani’ (#7), ‘AI in Africa’ (#8), ‘Lefifi Tladi’ (#9), and the current issue, ‘African Psychology’ (#10). These themes have developed organically from archival material I have been recording and collecting since the 1980s, working closely with Guest Editors Vulane Mthembu (AI in Africa) and Professor Kopano Ratele (African Psychology).
The release of Songs of Greeting, Healing and Heritage became the focal point for a multi-perspectival reflection on the artist/composer Mantombi Matotiyana, the heritage represented by her music, and the music itself in the ‘Mantombi Matotiyana’ theme (issue #1). Matotiyana (who was 85 at the time), created her very first CD recording of her own compositions and herri initiated a series of commissioned responses to the recorded work by writers, poets, composers, producers, DJs and theorists, including Njabulo Ndebele, Antjie Krog, Malaika wa Azania and Mbe Mbhele. These 15 responses were published in the Theme section of the first issue. The point of these commissions — a practice sustained over the course of all 10 iterations of herri — was to explore the archive as a creatively generative motor, a source of unending creative possibility, both academically and in terms of artistic practice.
“How do we begin to think and speak (‘do research’) about a practice such as music that ‘lives inside people’ without approaching it through a colonial lens,” asks Neo Muyanga in his editorial5 in issue #1 which offers various perspectives on this question. Congolese rapper, artist and filmmaker Baloji’s multi-faceted short film Zombies is a critique of techno-dependence, and an essay by Dutch philosopher Henk Oosterling considers the relationship between recordings and the real, among others. herri itself is not exempt from this question, and the whole herri project could be regarded as a meditation on its own role as medium.
For issue #2, another CD release, Streng Verbode, this time of Greyton’s ghoema-reggae band the Country Conquerors, twinned with a long-term
archival project on the Eoan Opera Group, presented the opportunity to interrogate the notion of code switching through the juxtaposition of opera and reggae, past and present. Writing in The Conversation, Stephanie Vos explained, “Reading about the Country Conquerors and the Eoan Group side by side becomes an exercise in code-switching.”6
The design of herri reflects this content, through its fluidity and non-linear, non-hierarchical presentation of material. herri strives always to avoid the pitfalls of university-bound humanities projects where “Institutions have the megalomania of the computer whose whole vision of the world is its own program”7
Issue 3’s Theme, ‘Night Music’, too, has a CD and book as its central pivot. Already in this third edition, herri sent a clear signal that South African music was not either ‘Western’ or ‘African’, ‘elite’ or ‘popular’. The sequence of topics and approaches embedded in the wider sectional diversity of herri enabled a syncretic-hybridic effect that proposed a South African music culture released from its apartheid ghettos of categorisation.
The theme of issue #4, ‘Africa Synthesized’, transplanted the notion of a physical conference (that did not take place because of COVID) to the domain of a design-intensive and media-rich platform that expanded the kinds of material and presentation that would have resulted from conventionally published academic exchanges.
The theme of herri #5, ‘Social Impact’, was prompted by a funding award from the Social Impact Division of Stellenbosch University. It enabled the university to turn a critical lens on its notion of social impact, which could easily become an alibi that allows the broader academic (and managerial) project of the university to avoid the responsibility for thinking through and implementing the imperatives of transformation and decolonisation.
The special issue of herri with its focus on Social Impact flowed organically out of its concern with music as a ‘weather vane’ to understand and analyse social conditions. The referent here was Giorgio Agamben who, in his ‘What is Philosophy?’, states:
Philosophy is today possible only as a reformation of music. In fact, this arche-event that constitutes humans as speaking beings – cannot be said within language: it can only be evoked and reminisced musically. In music something comes to expression that cannot be said in language.8
The South African 12-tone composer Graham Newcater celebrated his 80th birthday in 2021, and herri marked the occasion by publishing archival scores and recordings of his music in its ‘Graham Newcater’ theme issue #6. The thematic focus on Johnny Mbizo Dyani (issue #7) illustrated the manner in which archival depth or diachronic layering, is digitally presented as synchronous curation. Dyani’s theme was built on an interview conducted by the Curator/Editor more than three decades ago. In a sense then, the Dyani theme shows how digital curation accrues depth, not only from research or mobilised networks, but through sustained individual and team engagement with important people, bodies of work or ideas.
The ‘Galleri’ section of herri foregrounds sonic, visual, photographic and film work as autonomous art works, rather than as (inter)textual contributions to discursive engagements. ‘borborygmus’ (stomach rumbling, peristaltic or abdominal sounds) serves as a digital soap box for hard to swallow material that might resist polite, academic or entrained forms of reception and engagement. The ‘Borborygmus’ section of herri forms part of a larger ethos of respecting the importance of encouraging transgression, bringing to the surface submerged or repressed material or forms of expression, and insisting that discourse and creative engagement with abrasive and potentially offensive ideas be invited, as far as possible, into the academic space. As Edward Said put it: “Least of all should an intellectual be there to make his or her audiences feel good: the whole point is to be embarrassing, contrary, even unpleasant”9
Whereas ‘Galleri’ privileges a full spectrum of artistic creativity, it is in ‘Frictions’ that newly commissioned work of edgy text – both poetry and
fiction – is showcased. Issue #1, for example, features the University of Johannesburg’s Literature Prize Winner Lesego Rampolokeng, whose writing is translated into an indigenous South African language (isiXhosa) for the first time.
‘Claque’ is a review section where books, CDs and DVDs are analysed by practising experts in their fields, whilst ‘off the record’ is where herri invites writers to uncover what has hitherto been deliberately hidden or inappropriately conveyed. This is the most classically ‘archival’ section of the herri architecture.
‘hotlynx’ is designer Andrea Rolfes’ creation of an evolving artwork out of the hotlynx; it is an abstract motion machine on the surface – click on the hotlynx and you get immersed in an information tunnel... it is a fun curation into wildly different avenues of exploration for herri readers. ‘the back Page’ is a section devoted to philosophical counter-narratives, reflections and possibilities – a contra summing up of the issue. ‘the Selektah’ is a section that invites DJs to contribute a mix and an essay.
Language
One of the most significant aspects of herri is that it is potentially a multilingual publication. By not segregating the languages onto separate pages, apartheid style, but rather criss-crossing and alternating the different language paragraphs with each other, herri’s pages give a sense of the linguistic code switching which South Africans do every day in their communications with each other. It is in this polylinguistic approach that herri creates new knowledge; not merely endlessly talking about decolonisation in English, but actually doing it, mediacentrically.
A navigation button allows readers to engage a text in two or more languages simultaneously. So, for example, in the Mantombi Matotiyana themed issue (#1) the Sazi Dlamini article is given in isiZulu, English and the Mpondomise language, which is uMam’ Mantombi’s mother tongue.
The pages were designed so that the articles that were available in more than one language would have these languages integrated. Instead of a full-page article in English followed by a full-page article in isiXhosa or seSotho, a paragraph-by-paragraph ‘flip flopping’ between languages was designed. The relational aspect of the herri page design, particularly (but not exclusively) with regard to language, is strongly influenced by Édouard Glissant’s Poetics of Relation10 and is a concrete example of how decolonial theory has been incorporated into the ‘nuts and bolts’ of herri’s web design at every level.
Here are some of the pages that feature the language button: https://herri.org.za/2/zimasa-mpemnyama (isiXhosa and English) https://herri.org.za/3/nduduzo-makhathini (English and isiZulu)
PhD
A major development facilitated through and by the digital infrastructure and attendant conceptual possibilities of herri, was the publication, in issue #5, of a PhD thesis by a student at Stellenbosch University. To the curatorial team’s knowledge, this is the first time that a University anywhere has allowed a student to present a PhD in a completely digital format. Contemporary artist Nicola Deane received her PhD in Visual Arts in 2020. It is entitled ‘Decentering the Archive: Visual Fabrications of Sonic Memories’. Deane’s research was a visually based exploration of the sound archives of the DOMUS. Deane has reflected on the expanded scope afforded her by herri as follows:
The various features of herri allowed me to create visual reference pop-ups and links throughout the text, to embed my own film works, as well as YouTube videos, to interrupt the text with audio files or image carousels, with the aim of integrating theory with practice and making the reading experience more interactive and multimodal.11
In herri #9, another Stellenbosch University published her PhD digitally. Inge Engelbrecht’s Die Koortjie Undercommons was written in a bold
decolonial hybrid of Afrikaans, Afrikaaps and English and accepted by the University in that format.
Institutional context
herri is currently being used by Matthew Pateman in his media lectures at Edge Hill University, UK, where he is Professor of Popular Aesthetics and Head of Department. In email correspondence on 10 September 2021, Pateman writes:
I just completed the external review/evaluation of herri 2–4. It struck me as I was writing that one aspect which is profoundly important is the fact that the curatorial as opposed to editorial nature of herri means that the wide variety of ways of entering into a page, exiting a page and therefore having interesting and (while not at all random, nevertheless) un-motivated collisions, juxtapositions and abrasions. In my report I described how I think that creates a new kind of research method: one that is structural or even meta- insofar as it exists in the reader’s navigation of the curated space and the possible contingent connections, as much as in the objects being curated.
In other words, an epistemic construction that is obliquely but absolutely determined by ontologically unpredictable exchanges.
Acknowledgements
Professor Kopano Ratele has contributed significantly to my understanding of how music contributes to an awareness of African psychology.
Declarations
I am the founding Curator/Editor of herri. I have no AI or LLM use to declare.
2. Locke D. Simultaneous multidimensionality in African music: Musical cubism. Afr Music. 2009;8(3):8–37. https://doi.org/10.21504/amj.v8i3.1826
3. Mellet PQ. Autshumao — Between what is said and what is kept silent. herri [Internet]. herri #1. Available from: https://herri.org.za/1/patric-tariq-mellet/
4. Thurman C. Chaotic ‘herri’, an incoherent way to coherently learn about music [webpage on the Internet]. c2022 [cited 2022 Feb 11]. Available from: https://www.businesslive.co.za/bd/opinion/columnists/2022-02-11-chris-t hurman-chaotic-herri-an-incoherent-way-to-coherently-learn-about-music/
5. Muyanga N. When and how do we differentiate our music? herri [Internet]. herri #1. Available from: https://herri.org.za/1/neo-muyanga-editorial/
6. Vos S. Review: herri is a rare new arts and culture journal from South Africa. The Conversation. 2020 May 19. Available from: https://theconversation.c om/review-herri-is-a-rare-new-arts-and-culture-journal-from-south-africa-1 37805
7. Douglas M. How institutions think. Syracuse, NY: Syracuse University Press; 1986.
8. Agamben G. What is philosophy? Chiesa L, translator. Stanford, CA: Stanford University Press; 2018.
9. Said E. The Reith lectures [webpage on the Internet]. No date [cited 2022 Aug 25]. Available from: https://www.bbc.co.uk/programmes/p00gxr1s
10. Glissant E. Poetics of relation. Wing B, translator. Ann Arbor, MI: University of Michigan Press; 1997.
11. Segars S. Ground-breaking research project produced in digital format [webpage on the Internet]. c2021 [cited 2021 Dec 22]. Available from: http:/ /www.sun.ac.za/english/Lists/news/DispForm.aspx?ID=8825
Author: Keyan G. Tomaselli1
AFFILIAtIoN:
1Department of Communication and Media, University of Johannesburg, Johannesburg, South Africa
CorrESPoNDENCE to: Keyan Tomaselli
EMAIL: keyant@uj.ac.za
hoW to CItE: Tomaselli KG. Publishing as knowledge clubs: ASSAf Statement on the Recognition of Editors and Peer Reviewers. S Afr J Sci. 2025;121(5/6), Art. #21599. https:// doi.org/10.17159/sajs.2025/21599
Publishing as knowledge clubs: ASSAf Statement on the Recognition of Editors and Peer Reviewers
Significance:
Editing and reviewing powers the academic enterprise. Editors are conceptual shapeshifters implementing the national research framework. These activities are now recognised in the ‘ASSAf Statement on the Recognition of the Work of Editors and Peer Reviewers of Academic Journals and Books in South Africa’. This article calls on universities to include such work in performance appraisals. It also proposes a dynamic knowledge club model of editing to co-exist with the conventional discrete product format. Knowledge does not arise from the sum of all articles published. Rather, it emerges out of the interactive potentialities that arise from journals as living documents that circulate meaning-making between editors, authors and readers
A panel discussion at the 2021 National Scholarly Editors’ Forum (NSEF) examined the question of why academics edit and/or peer review journals and books. The flipside of the question was why these tasks are underrecognised by many institutions in which editors and peer reviewers work.1
To address these questions, the Academy of Science of South Africa (ASSAf) liaised with editors of South African scholarly journals in developing a consensus statement on the matter. The preamble of this ‘ASSAf Statement on the Recognition of the Work of Editors and Peer Reviewers of Academic Journals and Books in South Africa’ observes that:
These roles are essential for upholding research quality and ensuring the integrity of scholarly discourse, yet current academic reward structures often overlook their value. ASSAf highlights the need for university and science council administrators to formally acknowledge and support editorial work, proposing specific recommendations to enhance recognition within performance appraisals. By strengthening the recognition of these roles, ASSAf aims to sustain a credible and effective scholarly publishing ecosystem that supports knowledge dissemination and contributes to national and global research development.2
The 1.5-page Statement encourages universities to acknowledge the work done by editors and peer reviewers, and to note the key roles that they play in sustaining research quality. The compilation of the document, led by Phillip de Jager, ironically, took two years to formulate, review, revise and approve in a digital world that is developing at breakneck speed. To summarise, the Statement’s conclusions and recommendations are:
• Good peer review is crucial to significant intergenerational research.
• Universities, beneficiaries of scholarly journal work, should support editors and reviewers with time and recognition in performance appraisals.
• Reward systems should recognise editors and reviewers who maintain and build their disciplines.
• Editing, review and active editorial board work should be recategorised from ‘academic leadership’ to the ‘research’ category.
The first part of this contribution elaborates on these conclusions and recommendations by focusing on editor–author relations. The second deals with editor–regulator–administrator relations. The third describes editing as tactically enabling group formation.
Editor–author relations
In 2023, journal editor Gerhard van den Heever’s open letter3 addressing scattergun authors who swamp his journal illustrates some of the frustrations experienced by editors:
Dear Author,
I would like to believe that you submitted to this journal because you have been impressed by the quality of its articles, and because it is the best venue from which to communicate with your envisaged academic audience,
Why, then, did you not read the aims and focus of the journal?
Moreover, you ignored the instructions for authors … you create the impression that your article is just doing the rounds… [shortened and edited]3
Van den Heever’s satire admonishes authors whose pre-submission apathy complicates the workload of editors. It also indicates that many inexperienced scholars are floating aimlessly outside national and international disciplinary associations. His letter reminds us that editors collaborate with peers to produce new knowledge and facilitate exchange between authors and readers. Such exchange is facilitated by publishers who provide the necessary technical, administrative, production and distribution systems, thereby enabling both scholarly and public benefit. South Africa sports a unique research and publication value chain that is much debated in scholarly circles. Administrative emphasis, however, mostly focuses on a single component – the publication incentive scheme administered by the Department of Higher Education and Training (DHET).
https://doi.org/10.17159/sajs.2025/21599
Editor–regulator–administrator relations
The Bureau for Scientific Publications that operated from the late 1970s onwards provided centralised editorial, production and marketing for 20 journals whose impact factors nevertheless remained low.4 Following the closure of the Bureau in 1994, ASSAf and the then Department of Arts, Culture, Science and Technology devised a new community-responsive strategy to address the unfolding post-apartheid political, ideological and technological policy environments. This strategy aimed to:
• promote the local and international standing of South African journals;
• improve productivity/efficacy via new digital platforms; and
• popularise knowledge for public benefit.5
Outcomes of the work of the Bureau included the stabilisation and professionalisation of journals, measurably enhancing the exposure of South African research globally after 2005. The number of journal titles increased from 236 in 2005 to 337 today, while the volume of accredited articles skyrocketed from 6661 in 2005 to 26 017 by 2022. During this period, 76 journals licensed themselves, many via Unisa Press, to the Taylor & Francis multinational that has an office in Cape Town, and which embraces a wider consortium that includes MedPharm and National Inquiry Scholarly Services.6 This homegrown business partnership that emerged from an initiative by the National Research Foundation (NRF) from the early 2000s soon catapulted these journals into the global arena, securing them long-term sustainability. While some firms are criticised for making excess profits, income and improved capacity results from considerable capital investment in their publishing infrastructures, including in South Africa, to enable them to select, augment and internationally magnify their authors’ content. Journals and legacy publishers take a risk as they invest in evaluation and production, distribution and marketing, and hosting in perpetuity. As the 2006 ASSAf report suggested5, working with professionals frees editors to conceptualise and edit and to not have to deal with the many expensive technical, administrative and legal tasks that publishers need to do to keep the presses rolling (so to speak).
The founding ASSAf strategists presciently warned of emergent electronic publication enabling easy journal proliferation and an associated “avalanche of published rubbish”5. Digitisation, feared ASSAf, could act as a “lifesaver” for weak titles. Indeed, the current overprovision of local journals in disciplines like law, religion and education strains available funding. In management studies, for example, plagiarism within the 17 journal titles is calculated to have cost the Treasury ZAR7 million in just one year.7 The ASSAf report5 also cautioned against a ‘publish or perish’ culture underpinning appointment, promotion, recognition and institutional budgeting.
Internal reward systems devised by different universities drawing on the DHET incentive for publications need to keep in mind the procedures that characterise the conventions of normal science.8 A consequence of institutional economies predicated, for example, on ‘billable units’ discourages early career academics from editorial endeavour and the writing of critical engagements such as rejoinders, commentaries and book reviews. Overproduction in pursuit of incentives is questioned by the NRF and ASSAf evaluation panels as seriously stressing quality management, while the burden of review falls to a shrinking pool overwhelmed by the tsunami of submissions. Moreover, the just-arrived ‘elephant in the room’, artificial intelligence (AI), enables machine-mass-produced output, portending the final de-centring and even the ‘death’ of autonomous human authors.
Because editing and peer reviewing are the engine of the entire scholarly enterprise, the ASSAf recommendation is that university performance indicators formally recognise editorial activities. As backroom professionals, editors mostly perform after-hours work pro bono so that others can benefit. While the journals are the conduit for DHET annual publication incentive transfers (ZAR3.4 billion) to universities, it is the journals (and, less so, authors) that are subject to periodic ASSAf auditing because it is their accreditation status that confers value on outputs (both symbolic and financial). The paradox, therefore, is that authors no matter the quality, impact or use-value of their articles are rewarded via their universities, while it is the journals (i.e. the editors, reviewers and publishers) that, overall, shape, produce and disseminate the published product.
The Statement is a call for recognition of the fundamental work that is done by editors, editorial boards, peer reviewers and publishers. No longer can their work be inexplicably obscured, with editors assumed by authors, administrators and auditors to be simply filing clerks.
What do editors do?
A wonderful blog called The Scholarly Kitchen published ‘102 Things Journal Publishers Do’.9 This ever-lengthening document, like hundreds of other websites addressing this question, however, elides the bigger picture of the conceptual in relation to the logistical. Journals are phases in iterative processes; they are not objects, products or consumables. Finding truth involves the accumulation of discrete case studies and connecting the dots within the wider scope of the journal itself, with reference to other networks of collaboration in which editors, authors, reviewers and readers are embedded.
Most submissions come from inexperienced authors.10 Responsive editors thus:
• Shape disciplines, change paradigms and lead the academic enterprise.
• Recruit interpretive communities and connect them with each other.
• Mentor successive generations in researching, writing and peer review.
• Generate knowledge clubs of authors, readers and policymakers, consolidating problem-solving around pressing issues.11
In addition:
• Editors obtain a bird’s-eye view both the good and the bad as they plot conceptual routes while keeping sight of historical epistemological roots.
• Good editors and reviewers nurture, enable and educate rather than vetoing, policing or excluding simply because they can.
• Good reviewers and editors point a manuscript in new directions, ask interesting questions and generally are unacknowledged co-authors (De Jager P 2024, personal communication, 13 September).
• Good editors work with authors in developing their manuscripts and inserting emergent scholars into the journal’s wider scholarly community.
• Reviewers protect against junk science, AI opportunism and predatory authors.
The ASSAf discussions noted that, while universities sometimes support editors, editors reciprocally support universities in terms of the ‘knowledge project’, which is the original purpose of the university.1
the third dimension: Group formation
The ‘transmission product display model’ basically involves a one-tomany linear dissemination of packaged information. In contrast, the ‘knowledge club model’ constitutes publishing as dynamic, multifaceted scholarly group formation, often also grounded within disciplinary associations and particular, institutionally led, schools of thought. Knowledge club members thereby form self-constituted communities of interest to confer unpriced, symbolic benefits on associates of the wider community who both produce and consume pooled products.11 One assessor of this Commentary asked how the ‘knowledge club’ could wrestle power [and profits] from the big publishers. The DHET scheme is, however, historically predicated on national and international publication, public, private or hybrid value chains. A specific study testing this assumption about publishers’ excess profits would be welcome.
The community of interest club model balances the positive externalities of shared resources (readers, citations, referees, reviewers and commentators) against the negative externalities of overcrowding, congestion and overproduction, massification and predator behaviour. A tactical illustration of such practice is the rigorously evaluated, guest-edited thematic number that arises out of a multicampus team project or topic that generates knowledge that is always in motion, building capacity,
critical mass and neural networking. The two models can subsist in the same journal, but there can be creative tension between them.
The knowledge club model encourages self-reflexive analysis and participation in each other’s dialectically grounded intellectual action with evidence-led practices. The club or scholarly community mediates debates, negotiates epistemological differences and manages conceptual contestations. It achieves these by embracing intellectual cultures and member benefits and by shaping publishing institutions to suit their own needs. Joint production and consumption by the scholarly community create viable mini-economies of team production and consumption.
Such management and interaction are crucial in the current alienated environment of industrial-scale mega-journals and mass (author) markets that gobble up and frame research outputs as atomised ‘products’ paid for by the author’s institution but ‘free’ to the dispersed reader or consumer.12 As Umberto Eco13, the Italian philosopher argues, information oversupply silences the relevance of necessary information. He adds: “To make a noise, you don’t have to invent stories. All you have to do is report a story that is real but irrelevant…”13(p.36-42). The entropic transmission model favoured by mega-journals whether publicly or corporately owned mutes synergetic group formation and often creates noise as scholars with redundant stories to tell lose themselves in the rolling digital textual mass.
Recentring scholarly communities of interest would focus on transdisciplinary (self)-identity, contribution and benefits to specific communities with the re-emergence of local commons.11(p.4) The club model participation includes reading, commenting, book reviewing, research letters and editorialising as key components. Indeed, these elements underpin the highly promoted and very successful South African Journal of Science model.
Guidelines offer shortlists of preferences, nothing more. Best practice technicalities should include the club dimension of a journal’s living conceptual phases. The periodic ASSAf journal panel evaluations can track continuous reorganisation, rebirth and revitalisation, such as reported, for example, by Tydskrif vir Letterkunde14 amongst others15,16 Such semiotic dynamism is insufficiently recognised by one-size-fits-all best practice statements that need to connect the conceptual with the administrative, the theory-building with the self-identified constituencies (authors/readers, users), and knowledge creation with dialogue beyond the discrete, stand-alone article.
The instrumentalisation of editorial practices in over-prescriptive injunctions and policies based on positivist frameworks of doing and interpreting needs to be reassessed. Editors should be understood as innovators, creators and conceptual capacity-builders operating within special interest knowledge clubs. Such clubs enable interpretive communities to dialogue with each other and be geared now to saving humankind from its own self-induced extinction the message of the 2023 ASSAf Members Meeting.
to conclude
The ASSAf Statement repositions editors and reviewers as the enablers of public conceptual innovation. It recognises editors as navigators towards new symbolic worlds. Crucially, the Statement inserts editor value within an official value chain that currently undervalues them. It valorises editor knowledge as a fundamental intellectual cognate that, while embracing technical journal administration, is not reduced to those technicalities.
Editors and reviewers are co-guardians of the “Earth’s thinking envelope”17(p.30-31), dealing daily with the impatient not-so-hypothetical author who is the recipient of Van den Heever’s3 caution, expressed thus: … before you fire off angry letters of demand to know when you can expect publication of your submitted article … just spare a moment to think of the immense amount of work that goes into the making of each issue of this journal …
… research is not the impressionistic stitching together of references, citations, reports, and opinions.
This is why the ASSAf Statement is needed. Editors are the heart of the enterprise, and they also need to be nurtured, recognised and acknowledged by both authors and institutions.
Editors as conceptual shapeshifters are perhaps what the founders of the mid-2000s national research framework had in mind. Relational club organisation that enables intensive scholar interaction and self-management is adeptly supported through infrastructure provided by the globally unique ASSAf Scholarly Publishing Programme. We have the philosophy and the well-managed organisational structure to support the various publishing models.
Knowledge is not the sum of all articles published. Rather, it arises out of the interactive potentialities that arise from them as living documents in constant negotiation with each other that circulate meaning-making between editors, authors and readers
Declarations
I am the Chair of ASSAf’s Committee on Scholarly Publishing in South Africa, which commissioned the Statement to which this article refers. I have no AI or LLM use to declare.
r eferences
1. Academy of Science of South Africa (ASSAf). Proceedings of the Annual National Scholarly Editors’ Forum Meeting: The latest trends and challenges in the rapidly changing world of scholarly publishing. Pretoria: ASSAf; 2022. Available from: https://www.assaf.org.za/wp-content/uploads/2023/05/Proc eedings-of-the-NSEF-Meeting-of-November-2022.pdf
2. Academy of Science of South Africa (ASSAf). ASSAf Statement on the Recognition of the Work of Editors and Peer Reviewers of Academic Journals and Books in South Africa [document on the Internet]. c2024 [cited 2024 Oct 21]. https://hdl.handle.net/20.500.11911/418
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16. Academy of Science of South Africa (ASSAf). Celebrating 120 years of SAJS: Reflecting on yesterday, embracing tomorrow. S Afr J Sci. 2024;120(Special issue: Celebrating 120 years). Available from: https://sajs.co.za/issue/view/1238
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AuthorS: Roger L. Gibson1
Timothy Cooper2
Leonidas C. Vonopartis1
Carla Dodd3
Peter Hers4
Lewis D. Ashwal1
Robyn Symons1
AFFILIAtIoNS:
1School of Geosciences, University of the Witwatersrand, Johannesburg, South Africa
2Comet Asteroid and Meteor Section Director, Astronomical Society of Southern Africa, Johannesburg, South Africa
3Department of Geosciences and Institute for Coastal and Marine Research, Nelson Mandela University, Gqeberha, South Africa
4Garden Route Centre of the Astronomical Society of Southern Africa, Sedgefield, South Africa
CorrESPoNDENCE to: Roger Gibson
EMAIL: roger.gibson@wits.ac.za
hoW to CItE:
Gibson RL, Cooper T, Vonopartis LC, Dodd C, Hers P, Ashwal LD, et al. A first report on the Nqweba bolide and meteorite fall event in the Eastern Cape Province, South Africa, on 25 August 2024. S Afr J Sci. 2025;121(5/6), Art. #21600. https:// doi.org/10.17159/sajs.2025/21600
FuNDING: Nelson Mandela University, Rhodes University, University of the Witwatersrand, South African National Research Foundation (SRUG200503519568, PSTD2304129508)
PubLIShED: 29 May 2025
A first report on the Nqweba bolide and meteorite fall event in the Eastern Cape Province, South Africa, on 25 August 2024
Significance:
Meteorite fragments, linked to a bolide sighted over the Eastern Cape Province on 25 August 2024, were retrieved by 9-year-old Eli-zé du Toit near Nqweba (formerly Kirkwood). The bolide was visible at 08:50:45 local time and was seen by observers over 500 km away. The sonic boom(s) from its high-speed transit and disintegration arrived at ground level minutes later and were reported by witnesses within ~100 km of its trajectory. The observer reports and the delay between the visual sighting and the arrival of the sound wave support data from NASA’s Center for Near-Earth Object Studies that the bolide was a high-altitude phenomenon that disintegrated at an altitude of ~38 km over mountains west-northwest of Gqeberha.
Introduction
Several million micrometeoroids enter Earth’s upper atmosphere daily.1 Most are dust-to-pea-sized particles liberated from comets that have made at least one passage around the Sun; some are remnants of the protoplanetary disc of our solar system, while others are rock fragments from other planets, moons or asteroids that were blasted off their surfaces by meteorite impacts sometime in the past. Irrespective of their size, these meteoroids enter the atmosphere at exceptional velocities, which causes intense frictional heating that melts their surfaces and ionises the surrounding air molecules.2 The resultant streaks of light are termed meteors, colloquially called ‘shooting stars’. It is estimated that more than 100 t of this cosmic debris enters Earth’s atmosphere every day.1
The greater masses of meteoroids in the decimetre-to-metre size range allow them to penetrate deeper into Earth’s atmosphere and ‘burn’ longer and brighter than a typical meteor. If a meteoroid’s brightness equals or exceeds that of Venus (magnitude 4), it is classified as a fireball, and if the fireball disintegrates catastrophically in a bright flare it may be referred to as a bolide 2 Because fireball/bolide phenomena occur at extreme altitudes (of several tens of kilometres), ground-based observers in the vicinity only hear audible sounds from the atmospheric shock wave caused by the hypersonic passage several minutes after the fireball disappears.
the Nqweba bolide
Shortly before 09:00 on Sunday, 25 August 2024, residents of the coastal belt between Mossel Bay and Gqeberha, and as far north as the southern Karoo (Figure 1), were startled by a noise like rolling thunder (Van Wyk D 2024, oral communication, 28 August). The noise was unusual, both in terms of its duration, reported by some as lasting >30 seconds4, and because of the absence of thunderclouds. Locally, the sound was accompanied by ground tremors (Du Cellier B 2024, oral communication, 2 October).
Figure 1: Locations of witnesses who obser ved the Nqweba bolide of 25 August 2024 overlaid on a Google EarthTM image of the area. The white line indicates the bolide’s trajectory (Jenniskens P 2024, written communication, September 7) and disruption location from NASA’s Center for Near-Earth Object Studies (CNEOS) data.3 (a) Yellow pin locations indicate witnesses who saw the fireball; blue indicates video locations; red indicates witnesses hearing sounds; green indicates witnesses who saw the fireball and heard sounds. Ceres (52) and Petrusburg (39) eyewitness locations are the most remote. (b) Enlargement centred on the CNEOS-calculated disruption location (bullseye). The trajectory (white line) is cut by the angular range represented in Zoë van der Merwe’s video, shortly after the main disruption. Data shown were collected up until 12 October 2024.
https://doi.org/10.17159/sajs.2025/21600
Concerned enquiries on social media platforms speculated on possible causes, such as an earthquake, explosive electrical or gas infrastructure failure, landslide or rockfall, or a large vehicle or aircraft crash in the vicinity. However, at 09:02, Zoë van der Merwe posted a video recorded near Cape St Francis (Figure 2) showing a cluster of rapidly moving, bright, silver-white fireballs in the sky that extinguished within seconds in the general vicinity of Gqeberha. Zoë and her friends, Stephen Sharp and MC Fereira, are part of a restricted group who both observed the bolide and experienced the ensuing sonic boom. Crucially, the metadata from Zoë’s cell phone helped resolve the initial confusion about the bolide’s location and trajectory (see below).
Activation of research networks
The Astronomical Society of Southern Africa (ASSA) collects, investigates and maintains a database of reports on fireballs as part of a global initiative to study atmospheric phenomena. Its website hosts a dedicated page5 where people can submit questions and record observations about astronomical or atmospheric events. The site also provides a definition of terms and a short document explaining what a meteorite is.6
The ASSA also collects fireball reports from social media pages. Approximately an hour after Zoë’s post, Peter Hers of the ASSA Garden Route Centre noted several posts on various social media platforms (particularly Facebook) about the unfolding events. He immediately distributed the ASSA reporting guidelines on various Facebook groups along the Garden Route.
Simultaneously, Tim Cooper received a WhatsApp alert from ASSA member Paul Ludick about a report from a local Gqeberha radio station, Luister FM, that stated: “According to reports, a meteorite crashed somewhere at sea in the Eastern Cape area around 08:55 this morning.” Tim’s standard operating procedure in such cases is to verify whether the cause was a meteoroid or spacecraft debris. Spacecraft debris typically re-enters Earth’s atmosphere at a very low angle and a slower velocity than meteoroids; therefore, re-entry events are characterised by a long-lasting fireball that commonly consists of many smaller pieces.7 In the absence of any satellite decays corresponding to the stated location and time, Tim concluded that a meteoroid was the more likely cause. By 13:56, Willie Koorts had posted on the Hennie Maas en sy Ruimtespan Facebook page, requesting any videos of the fireball, and tagging Tim Cooper.
Carla Dodd was the only one of our team to personally experience the sonic boom from the bolide, which happened while she was cycling in the Elands River valley (Pin 112, Figure 1). She initiated her investigation on her return at approximately 09:30 and received a copy of Zoë’s video via WhatsApp at 12:59. In Johannesburg, Roger Gibson was alerted by a WhatsApp post at 10:03 from Sarah Wurz, a University of the
Witwatersrand (Wits) archaeologist who heard the noise near Klasies River Mouth, and who shared Zoë’s video. At this stage, as indicated by the Luister FM bulletin, anecdotal reports on social media considered the bolide to be moving out to sea, with possible splashdowns in Jeffreys Bay, west of Gqeberha (Figure 1).
As observer reports of the fireball phenomenon were submitted over the next few days, it emerged that the bolide had been seen from numerous sites in the Karoo, and as far afield as Petrusburg to the north and Ceres to the west, over 500 km from what was to prove the epicentre of the event (Figure 1a). Three additional confirmatory videos were found which established that Zoë’s video recorded only the terminal phase of the bolide, which flared to its brightest intensity and disrupted into several smaller pieces seconds before she started recording.
the meteorite
On the outskirts of Nqweba (formerly Kirkwood), ~100 km north of Cape St Francis (Figure 1), Eli-zé du Toit was sitting with her family on the porch of her grandparents’ house shortly before 09:00 when they heard what sounded like a loud thunderclap, followed by a long rumbling noise. Soon thereafter, Eli-zé heard something falling through the large wild fig tree in the garden and, looking towards the tree, noticed a small object falling to the ground beneath it. She immediately went over to see what it was and found a rock smaller than her fist, with a shiny black crust that had partially broken open to reveal a light grey interior that ”looked like concrete” (Du Toit E 2024, oral communication, 30 August; Figure 3a). When she picked it up, she noticed that “[the outside] was very hot, like a cup of tea when it’s finished, [but] the inside was like ice” (Du Toit E 2024, oral communication, 30 August).
After seeing the unusual sample, Eli-zé’s mother, Jesica Botha, started investigating online whether the stone might be a meteorite, and came across Zoë’s video on the Snow Report Southern Africa Facebook group. She posted photos of the sample and several smaller fragments that they had found under the tree on the group at 12:01 (Figure 3b). The post was seen by Carla at 14:44, who established contact via Facebook.
Peter Hers contacted Jesica via WhatsApp at 15:39 after she posted her cell phone number online during her discussion with Carla. Discovering Carla’s involvement, Peter contacted Carla at 16:14, after which he deferred to her regarding securing the meteorite. After finding the Snow Report images at 17:00, Roger Gibson notified Sityhilelo Ngcatsha of the South African Heritage Resources Agency via email of the need to institute a meteorite recovery protocol in terms of the National Heritage Resources Act (No. 25 of 1999). He also alerted fellow Wits meteorite researchers Lewis Ashwal and Leonidas Vonopartis, who joined the online search for further information. His attempts to reach
https://doi.org/10.17159/sajs.2025/21600
Figure 2: Selected frame-by-frame analysis of Zoë van der Merwe’s video (reproduced with permission) showing the bolide post-disruption phase with multiple secondary fragments flaring individually over ~2 s before entering dark flight.
Jesica were unsuccessful as she had turned off her phone owing to the unprecedented number of calls she received from across the world (by 17:00 the Facebook post had received more than 1.9 million views), but he managed to contact Carla at 18:39 via email and set up communication lines to secure and curate the fragments. The following morning, he reached out to Tim Cooper to coordinate the collection of the observational data on the bolide.
Consolidation of research networks
By Monday morning, 26 August 2024, Carla was able to arrange for the delivery of the rock fragments to Nelson Mandela University for proper storage and safekeeping. Upon receipt that evening, they were weighed and photographed and placed in a desiccator. The preliminary assessment was that they appeared to belong to a relatively rare class of stony meteorite called an HED achondrite breccia.8
Meanwhile, following a similar concern about the need to correctly preserve the meteorite and comply with the National Heritage Resources Act, Deon van Niekerk from Rhodes University submitted a permit request to the Eastern Cape Provincial Heritage Resources Agency. With the Wits researchers arriving in Gqeberha on 28 August, the Eastern Cape Provincial Heritage Resources Agency convened a meeting to co-ordinate efforts between the three universities. This was followed by a first inspection and macroscopic description of the meteorite by the team at Nelson Mandela University.
For the remainder of the week, while the astronomers continued collating observer reports on the bolide, the geosciences team traversed the area between Nqweba and Cape St Francis to understand the ground conditions for a search mission and met key witnesses to conduct more in-depth interviews. At the same time, contact was made with various specialists to cross-check instrumental data on the bolide from, inter alia, NASA’s global fireball monitoring network, the Comprehensive Nuclear Test Ban Treaty Organisation’s infrasound station network, and the Council for Geoscience’s local seismometer network.
Engaging citizen science: Connecting the dots through social media noise
The bolide event received a brief mention on the Sunday evening national TV news programmes on 25 August, which reported that objects had
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fallen into the sea.9 No mention was made of Eli-zé’s find and no expert opinion was solicited. To address this, a joint press statement was drafted and released on Monday, 26 August.10 This prompted numerous calls for print and audiovisual media interviews that extended into the evening and the following morning. As part of the science engagement process, the team was clear in interviews that information was still being gathered that would further clarify various aspects of the event, but the recovery of suspected meteorite fragments was not broadcast at that stage. This was only revealed at a joint live-streamed press conference on 3 September.11
From the outset, multiple social media comments and media reports suggested that the bolide had travelled out to sea, and this was reinforced by the Sunday evening SABC News interview that reported an eyewitness seeing fragments splashdown in Jeffreys Bay.9 With Eli-zé’s testimony inextricably linking the Nqweba stone to the bolide, the challenge was to reconcile fall sites ~100 km apart along a seaward (north to south) trajectory with the emerging observer reports and NASA computational data (Jenniskens P 2024, written communication, 7 September).
Bolides are rare, fleeting phenomena, with seemingly disconnected audio and visual effects that can disorientate witnesses. As a result, reports from witnesses of their proximity and duration are typically highly variable, making it difficult to extract quality data. However, as the body of observer reports grew over the first week, a pattern emerged that indicated that ground-level sound effects followed a path stretching in an east-northeast direction from Mossel Bay, inland towards Nqweba (Figure 1), rather than out to sea. A broadly west-to-east trend was also corroborated by several excellent remote-observer reports from near Ceres and the Karoo, and from coastal observers who reported the bolide passing to their north (Figure 1).
The confirmation of an east-northeast trajectory was obtained when Zoë van der Merwe and her friends were interviewed on site on 29 August, and it was revealed, first, that her video arc commenced facing northwest and ended slightly east of due north (Figure 1b). Second, metadata from Zoë’s phone established a gap between her video of the bolide and a second video that she began recording shortly after the group started experiencing ground vibrations and sounds from the sonic boom, which commenced 261 s after her first recording. With sound taking ~3 s to travel 1 km in air, this was consistent with the energy source having been located up to 80–90 km from their location. The
Figure 3: (a) Photo of main meteorite mass retrieved by Eli-zé du Toit, displaying black fusion crust (top) and the grey interior containing multiple angular rock and mineral fragments. (b) Post submitted by Jesica Botha on the Snow Report Southern Africa Facebook page. Photo reproduced with permission of Snow Report Southern Africa
cumulative evidence from these investigations thus indicated that the bolide was moving inland and not out to sea, and marked the Nqweba area as the focal point in the search for further meteorites.
the Nqweba bolide in context
Quantitative global data on bolides have been available in the public domain since 19883, although not all significant events are captured by satellite and ground sensor networks. (An example of the latter is the 27 July 2002 daytime bolide over the Thuathe region of Lesotho, which dispersed more than 1600 meteorite fragments over an 8 × 4 km strewn field.12)
Despite its high international social and news media coverage, the Nqweba bolide was actually the 20th bolide recorded globally in 2024 and one of the smallest of 2024, with a total energy release equivalent to 92 t of TNT.3 Such an energy release is consistent with the original meteoroid having had a diameter in the 1 m size range.13
Since 1992, Tim Cooper has documented 493 reports of fireballs from South African based astronomers and members of the public, of which only 3% are daytime sightings (Figure 4). The reports are numbered (the Thuathe fireball is #116)14 and published in the Monthly Notes of the ASSA. However, NASA’s Center for Near-Earth Object Studies (CNEOS) recorded only two noteworthy fireballs over South Africa prior to the Nqweba event3 (Figure 5). The largest southern African bolide recorded by CNEOS occurred shortly before 22:55 local time on 21 November 2009 (Figure 5). It was captured by numerous CCTV cameras in Gauteng and Limpopo provinces before it disintegrated over the Limpopo River region.15 Despite an intensive search in the rugged Tuli region of southeastern Botswana, no meteorites were recovered. At an estimated 18 kt TNT equivalent3, its energy release was 200 times larger than the Nqweba bolide.
Meteorite recoveries in South Africa are disproportionately linked to fireball events, with 21 out of 51 known South African meteorites being classified as falls 16 Khiri et al.17 reported 75% of all observed African meteorite falls as occurring during the day. The last South African fall recovered after a fireball was in Lichtenburg in 197316, but no details of the fireball survived. The combination of technological advances and the timing of the Nqweba event makes it South Africa’s most completely documented event and an opportunity to demonstrate the potential of citizen science to collect critical data and recover meteorites.
Looking forward, South Africa is steadily increasing its fireball data collection capabilities. Currently, it has 16 cameras running under the auspices of the NASA SETI Institute Cameras for Allsky Meteor Surveillance network (CAMS) and a further 10 cameras that operate as part of the Global Meteor Network (4 of which have been installed in Western Cape schools to promote STEM activities). These are already greatly enhancing nighttime fireball detection rates (Figure 4); however, these low-light cameras function best at night and are, thus, disabled during daylight hours. Unless a meteorite stone is actually observed falling, as was the case with Eli-zé, finding meteorites linked to a fireball is not easy. Ground search parameters are better constrained by using data from multiple fixed cameras that are used to triangulate the bolide’s exact trajectory.18 These cameras will typically be located hundreds of kilometres from the bolide site. For nighttime bolides, the changing position of shadows caused by the moving bolide can also be used where no direct footage of the sky is available.18 Thereafter, wind and other atmospheric factors need to be considered in predicting the strewn field for subsequent ground searches, which still may have to extend over many tens of square kilometres.
Meteorites and South African Law
Meteorites are the most primitive solid objects in our solar system and are, thus, time capsules that allow scientists to study the processes of planetary birth and development.19 Therefore, they constitute the most ancient objects of our common heritage. In promulgating the National Heritage Resources Act (No. 25 of 1999), the South African government included meteorites found within the country’s borders as a protected heritage resource, to be treated similarly to fossils and archaeological and cultural sites and objects. They cannot thus be collected without a permit, nor can they be traded or owned. Similar protected meteorite heritage laws exist in Namibia and Botswana and several countries worldwide. This approach is increasingly being adopted in other countries to protect natural heritage and prevent the drain of significant meteorites into private or large institutional collections overseas.20 A useful synopsis and copy of the Act can be found on the ASSA website.21
The multi-institutional geosciences team has received a permit to collect, temporarily store, and conduct scientific research on the Nqweba meteorite for a maximum period of 3 years. Owing to the reported arrival
over
and, since 2019, the installation of automated meteor-recording cameras. Black indicates the daytime bolides, excluding the
Africa since 1992.14 Increased numbers in 1999–2000 represent a major cometary return to the inner
Figure 4: Histogram of fireballs recorded
southern
solar system
Nqweba bolide.
Figure 5: Map showing recorded bolides over southern Africa since 1988, compiled from data from NASA’s Center for Near-Earth Object Studies website11 (data extracted 11 October 2024). Times are given in Coordinated Universal Time (UTC).
of several international meteorite hunters in the area following the bolide event, the team is withholding reporting any further developments on the search for more meteorite fragments. This protects the strewn field from unpermitted collection and allows the team to try to record its extent, from which additional scientific data can be extracted.12
Concluding remarks
The Nqweba bolide is an example of a regularly occurring natural phenomenon involving rock fragments in the metre-size range that enter Earth’s atmosphere at hypervelocity. Interaction with the upper atmosphere caused frictional heating of the meteoroid’s surface sufficient to melt its exterior, producing a bright fireball lasting several seconds.
The extreme velocity (20.1 km/s4) of the Nqweba bolide also created an atmospheric shock wave which spread downwards and outwards and was intense enough to be heard and felt at ground level, although no reports of damage were received. Ultimately, the meteoroid remnant disintegrated into multiple smaller pieces.
The timing of the Nqweba bolide on a Sunday morning in a largely cloudless sky meant that it was witnessed by hundreds of people who were outside enjoying the pleasant weather. Thousands more heard or felt the subsequent sonic boom. Social media were instrumental in facilitating the mass dissemination of information that allowed scientists to rapidly respond to the event, collect valuable observer reports and identify the potential strewn field. The scientific team intends to maintain communication channels to update the public on further progress on the project.
Acknowledgements
Dr Daniel Cunnama (Science Engagement Astronomer at the South African Astronomical Observatory) fielded numerous initial requests for astronomers to give TV interviews and Dr Peter Jenniskens (NASA Ames Research Center and SETI Institute) continually updated the bolide team
on NASA data and calculations. The AEON-ESSRI Research Group at Nelson Mandela University provided logistical and personnel support for the initial fieldwork. The Eastern Cape Provincial Heritage Resources Agency is thanked for expediting the permit requests and facilitating the establishment of the meteorite team. Much of this work would not have been possible without the enthusiastic response to our calls for witness accounts from the public.
Funding
We thank Nelson Mandela University, Rhodes University and the University of the Witwatersrand for providing ad hoc funding support to undertake the initial responder activities, and for the support of the Public Relations and Media departments in assisting with the public science engagement aspects. R.L.G. receives funding from the South African National Research Foundation (NRF; grant no. SRUG200503519568) and C.D. is funded through an NRF Postdoctoral Grant (grant no. PSTD2304129508).
Declarations
We have no competing interests to declare. We have no AI or LLM use to declare. All authors read and approved the final manuscript.
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8. Mittlefehldt DW. Asteroid (4) Vesta: I. The howardite-eucrite-diogenite (HED) clan of meteorites. Geochemistry. 2015;75(2):155–183. https://doi.org/10.1 016/j.chemer.2014.08.002
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Author: Francis Thackeray1
AFFILIAtIoN:
1Evolutionary Studies Institute, University of the Witwatersrand, Johannesburg, South Africa
CorrESPoNDENCE to: Francis Thackeray
EMAIL: francis.thackeray@wits.ac.za
hoW to CItE:
Thackeray F. The Taung Child (Australopithecus africanus), the Plio-Pleistocene boundary and a supernova hypothesis. S Afr J Sci. 2025;121(5/6), Art. #21846. https:// doi.org/10.17159/sajs.2025/21846
ArtICLE INCLuDES:
☐ Peer review
☐ Supplementary material
KEYWorDS:
Taung Child, Australopithecus africanus, Plio-Pleistocene, South Africa, supernova
PubLIShED:
29 May 2025
The Taung Child (Australopithecus africanus), the Plio-Pleistocene boundary and a supernova hypothesis
Significance:
The Taung Child is a fossilised hominin skull and jaw from the North West Province in South Africa. One hundred years ago it was described by Raymond Dart as the type specimen of Australopithecus africanus, a distant human relative. On the basis of biochronology, it has recently been estimated to be 2.58 million years old. This date coincides with the Plio-Pleistocene boundary. In terms of a supernova hypothesis, it is proposed that global cooling between about 3 and 2.6 million years ago is related to factors associated with a supernova less than 100 parsecs from the solar system.
The Taung Child (Figure 1) is the nickname of the holotype of Australopithecus africanus, a Plio-Pleistocene hominin described by Raymond Dart in the pages of Nature 100 years ago.1 It has been dated at 2.58 Ma on the basis of ratios of dental dimensions, using lower first molars.2-4 Coincidentally, this is the date for the Plio-Pleistocene boundary5 at the time of a change in the earth’s magnetic field from normal (Gauss Chron) to reversed (Matuyama Chron). The date of 2.58 Ma for the Taung Child2-4 is consistent with the lower age estimate of 2.6 Ma given by McKee6 based on a biochronological study of non-hominin fauna from the site of Taung.
Biologically, the magnetic reversal coincided with the extinction of certain species of Discoaster, star-shaped marine algae (nanoplankton) with calcareous exoskeletons, in particular the extinction of D. pentaradiatus and D. surculus. On the basis of such biological signals, the Plio-Pleistocene boundary is defined as the base of the Gelasian as represented in Sicily, corresponding to Marine Isotope Stage 103, astronomically tuned to an age of 2.58 Ma.7
The boundary between the Pliocene and Pleistocene is shown in Figure 2 in relation to δ18O oxygen isotope ratios determined from marine calcareous foraminifera within a period of 3 Ma, showing dominant elements of astronomical Milankovitch cycles (eccentricity, obliquity and precession) in three intervals within the Pleistocene, associated with periodicities of 100 ka, 42 ka and 23 ka, respectively.8
Knie et al.9, Compagnucci et al.10, Deschamps and Mottez11 as well as Melott and Thomas12 explored a scenario of palaeoclimatic change and other events in the context of an isotope of iron (60Fe) in marine core deposits13 linked to a supernova14,15 less than 100 parsecs (pc) from the solar system. This scenario is related to an increase in high-energy galactic cosmic rays and a weakening of the shielding effect of the earth’s magnetic field, associated with an increase in ionisation of the earth’s atmosphere at least 1000 years in duration. 60Fe is a radioisotope (unlike δ18O) with a half-life of 2.6 Ma and therefore does not normally occur on earth. It is extraterrestrial in origin.
Excluding samples with 60Fe detector events of only 1 or 2, I have calculated a three-sample running mean for 60Fe/Fe ratios from east Indian Ocean cores published by Wallner et al.13 (their Table S4). There is a regular increase in the 60Fe/Fe ratio from about 3 to 2.6 Ma, followed by a decline (Figure 2).
Figure 1: The Taung Child, holotype of Australopithecus africanus
Photo: Bernhard Zipfel, Evolutionary Studies Institute, University of the Witwatersrand (reproduced with permission)
Figure 2: Oxygen isotope ratios (δ18O, related to global temperature) associated with dominant elements of astronomical Milankovitch cycles in three periods within the Pleistocene. An increase in extraterrestrial iron isotope ratios (60Fe/Fe) occurs in Late Pliocene deposits between 3 and 2.6 million years ago, in contrast to a decline in temperature (and ice volume) reflected by δ18O in the same period.
It is evident from Figure 2 that an inverse relationship exists between 60Fe/Fe from Late Pliocene deep-sea sediments and δ18O from marine foraminifera. A decline in global temperature spanning at least 300 ka is reflected by oxygen isotope ratios preceding the Plio-Pleistocene boundary at 2.58 Ma. In terms of a supernova hypothesis, I attribute this decline in temperature, between about 3 and 2.6 Ma, to factors associated with a supernova in the same period.
It cannot be concluded that the death of the Taung Child circa 2.58 Ma was directly caused by the effects of a supernova remnant. This would be far-fetched. There is in fact evidence from talon marks on the skull that this individual, about 3 years old, was killed by an eagle.16 In my opinion, it is also too far-fetched to consider that the origin of bipedalism in Plio-Pleistocene hominins relates to the effects of a supernova event, including increased lightning and a subsequent increase of terrestrial fire associated with a change in African habitats from forest to woodland savanna.11 However, it is plausible at least to hypothesise that populations of A. africanus (at around the time of the Plio-Pleistocene boundary) were indirectly affected by factors associated with a supernova, including increased cloud cover (caused by an increase in cosmic-ray induced atmospheric radiation)17 contributing to global changes in temperature before and after 2.58 million years ago. Korschinek and Faestermann18 recognise that palaeoclimatic change may have contributed to the appearance of the genus Homo
This note serves as a contribution to the celebration of the centenary of Raymond Dart’s description of the Taung Child.1
Acknowledgements
I thank Robin Catchpole and two anonymous readers who helped to improve the manuscript.
Declarations
I have no competing interests to declare. I have no AI or LLM use to declare.
r eferences
1. Dart R. Australopithecus africanus: The man-ape of South Africa. Nature. 1925;115:195–199. https://doi.org/10.1038/115195a0
2. Thackeray F, Dykes S. Biochronological ages for South African Australopithecus and a Plio-Pleistocene African hominin lineage (1,5–3,5 Ma)? The Digging Stick. 2023;40(1):11–12.
3. Thackeray JF. A tribute to Yves Coppens: Age estimation of australopithecines in South Africa. Bull Mus Anthropol Préhist Monaco. 2023;10:23–27.
4. Thackeray F. How old are South African fossils like the Taung Child? New study offers an answer. The Conversation. 2024 July 15. Available from: http s://theconversation.com/how-old-are-south-african-fossils-like-thetaung-chi ld-new-study-offers-an-answer-234088
5. Suc J-P, Bertini A, Leroy SAG, Suballyova D. Towards the lowering of the PlioPleistocene boundary to the Gauss-Matuyama reversal. Quat Int. 1997;40, Art. #37. https://doi.org/10.1016/S1040-6182(96)00059-6
6. McKee JK. Faunal dating of the Taung hominid fossil deposit. J Hum Evol. 1993;25(5):363–376. https://doi.org/10.1006/jhev.1993.1055
7. Gibbard PL, Head MJ, Walker MJC, Subcommission on Quaternary Stratigraphy. Formal ratification of the Quaternary System/Period and the Pleistocene Series/Epoch with a base at 2.58 Ma. J Quat Sci. 2010;25:96–102. https://doi.org/10.1002/jqs.1338
8. Hays JD, Imbrie J, Shackleton NJ. Variations in the Earth’s orbit: Pacemaker of the Ice Ages. Science. 1976;194:1121–1132. https://doi.org/10.1126/sc ience.194.4270.1121
9. Knie K, Korschinek G, Faestermann T, Dorfi EA, Rugel G, Wallner A. 60Fe anomaly in a deep-sea manganese crust and implications for a nearby supernova source. Phys Rev Lett. 2004;93(17), Art. #171103. https://doi.o rg/10.1103/PhysRevLett.93.171103
10. Compagnucci RH, Orgeira MJ, Sinito AM, Cappellotto L, Plastani S. Relationship among a supernova, a transition of polarity of the geomagnetic field and the Pliocene-Pleistocene boundary. In: Collantes M, Perucca L, Niz A, Rabassa J, editors. Advances in geomorphology and quaternary studies in Argentina. Springer Earth System Sciences. Cham: Springer; 2020. p. 1–39. https://doi.org/10.1007/978-3-030-22621-3_1
11. Deschamps F, Mottez F. From cosmic explosions to terrestrial fires? A discussion. J Geol. 2020;128(4):389–391. https://doi.org/10.1086/709750
12. Melott AL, Thomas BC. From cosmic explosions to terrestrial fires? J Geol. 2019;127(4):475–481. https://doi.org/10.1086/703418
13. Wallner A, Feige J, Kinoshita N. Recent near-Earth supernovae probed by global deposition of interstellar radioactive 60Fe. Nature. 2016;532:69–72. https://doi.org/10.1038/nature17196
14. Fields BD, Ellis JR, Binns WR, Breitschwerdt D, de Nolfo GA, Diehl R, et al. Near-Earth supernova explosions: Evidence, implications, and opportunities [preprint]. arXiv:1903.04589v1 [astro-ph.SR]. 2019. https://arxiv.org/abs/1 903.04589
15. Ertel AF, Fry BJ, Fields BD, Ellis J. Supernova dust evolution probed by deepsea 60Fe time history. Astrophys J. 2023;947(2), Art. #58. https://doi.org/1 0.3847/1538-4357/acb699
16. Berger LR, Clarke RJ. Eagle involvement in accumulation of the Taung Child fauna. J Hum Evol. 1995;29:275–299. https://doi.org/10.1006/jhev.1995.1 060
17. Christoudias T, Kirkby J, Stolzenburg D, Pozzer A, Sommer E, Brasseur GP, et al. Earth’s atmosphere protects the biosphere from nearby supernovae. Commun Earth Environ. 2024;5, Art. #326. https://doi.org/10.1038/s432 47-024-01490-9
18. Korschinek G, Faestermann T. Recent nucleosynthesis in the solar neighbourhood, detected with live radionuclides. Eur Phys J A. 2023;59, Art. #52. https://doi.org/10.1140/epja/s10050-023-00956-2
https://doi.org/10.17159/sajs.2025/21846
Author: Lieketseng Y. Ned1
AFFILIAtIoN:
1Division of Disability and Rehabilitation Studies, Department of Global Health, Faculty of Medicine and Health Sciences, Stellenbosch University, Cape Town, South Africa
CorrESPoNDENCE to: Lieketseng Ned
EMAIL: lieketseng@sun.ac.za
DAtES:
r eceived: 12 July 2024
r evised: 28 Mar. 2025
Accepted: 12 Apr. 2025
Published: 29 May 2025
hoW to CItE: Ned LY. The creation of debility and disability in South Africa: Colonial and apartheid encounters. S Afr J Sci. 2025;121(5/6), Art. #19140. https:// doi.org/10.17159/sajs.2025/19140
ArtICLE INCLuDES:
☒ Peer review
☐ Supplementary material
DAtA AVAILAbILItY:
☐ Open data set
☐ All data included
☐ On request from author(s)
☐ Not available
☒ Not applicable
EDItor: Floretta Boonzaier
KEYWorDS: disability, South Africa, debility, decoloniality
FuNDING: None
The creation of debility and disability in South Africa: Colonial and apartheid encounters
The global legacy of colonialism has historically been studied in disciplines ranging from sociology and human geography to development economics, political sciences and international relations. However, over the years, the field of public health has also seen an emergence of research on the impacts of colonialism on the health outcomes of populations in the Global South. Operating at the nexus of the field of disability studies and decoloniality, I critically historicise South Africa’s colonial and apartheid encounters, with specific reference to how they created debility and disability. I argue that, while disability existed in pre-colonial African societies, including in South Africa, it was not deemed as an impairment that eroded the humanity and value of persons with disabilities. The construction of disability as an impairment, and the consequences related to this construction, emerged out of colonial and apartheid encounters. Both epistemologically and through layered forms of violence, colonialism and apartheid created debility and disability. Situating discourse in the field of disability studies within the context of colonial and apartheid encounters in the Global South in general, and South Africa in particular, is crucial. It is especially necessary that such discourse be anchored in decolonial theorisation in order that the particularities of the experience of disability in post-colonial and post-apartheid societies can be understood within this context.
Significance:
Research and theoretical orientations of disability studies remain profoundly skewed towards accounts from the Global North. One approach to correcting this bias is that of engaging with debility and disability in the context of colonial experience. Operating at the nexus of the field of disability studies and decoloniality, I critically historicise South Africa’s colonial and apartheid encounters, with specific reference to how they created debility and disability. The analysis lays the foundation for theorising the interconnected systems of post-colonial violence and oppression, as well as the interlocking systems of power that continue to marginalise persons with disabilities.
Introduction
The global legacy of colonialism has historically been studied in disciplines ranging from sociology and human geography to development economics, political sciences and international relations. However, over the years, the field of public health has also seen an emergence of research on the impacts of colonialism on the health outcomes of populations in the Global South. In works such as Alison Bashford’s Imperial Hygiene: A Critical History of Colonialism, Nationalism and Public Health1, racial imaginings emerging from the empire that have shaped the subjects and spaces of public health are critically analysed, drawing the link between colonial encounters and public health systems in developed and developing countries. While research into this link is undoubtedly important given the centrality of health in determining the overall outcomes of a society, there is a paucity of research focusing specifically on this link in the subject of debility and disability.
Despite the complex experiences that persons in the Global South have with debility and disability, and the particularities that define these experiences, the field of disability studies has historically been dominated by Global North thinking.2 The implications of this are twofold. Firstly, with 80% of persons with disabilities worldwide being situated in the Global South3, the disproportionate scholarship reproduces layered forms of epistemic and ontological violence. This exclusion, of both disability scholars and persons with disabilities, enables the erasure of important concepts developed in the Global South.4 This silencing and suppression of Global South disability research universalises approaches to policy and resource interventions, disregarding the specific needs confronting the developing world. Secondly, the negation of experiences of those in the Global South sets parameters for an ahistoric engagement with the subject of disability. Specifically, it erases the impact of the colonial experience on the creation of debility and disability.
One approach to centring the conceptualisation of disability in the Global South is to engage with the subject in the context of colonial experience. This approach is valid, despite debates about the differences in the cultural traditions, spatial constructions, economic trajectories, administrative structures and geo-histories of countries in the Global South, due to colonialism being a universalising encounter. According to Grovogu5, this colonial experience gave birth to the anti-colonialism struggle and to the Global South as a symbolic designation that has significant political implications. In critically engaging with debility and disability in the context of the colonial experience, interlocking systems of power that extend to the public health sphere are explored, laying the foundation for a nuanced understanding of debility and disability as colonial creations in the Global South. Characteristic of the Global South, the impact of colonialism has left a lasting impact on South Africa and its people. Ngcukaitobi6 contends that the colonial experience, at the centre of which is the violent and systematic dispossession of land from Indigenous people, has irrevocably shaped modern South Africa, and that the imperial ambitions that the British exercised on the eastern frontier set the blueprint for the country, spatially and otherwise. Established in the 19th century, these ambitions crystalised during the apartheid era and later shaped the democratic dispensation.
Defining disability in the context of South African society
The implications of the dominance of Global North research on disability scholarship extend to the very question of how disability is defined. Global South countries, including South Africa, have struggled to construct a country-specific definition of the term ‘disability’. While there is an understanding that disability is best defined with the balancing of the approach between the medical model and the social model7, there is limited discourse on how the particularities of the colonial experience in the Global South necessitate a more nuanced definition of the term. In South Africa, it was only in 2006 that Cabinet approved the currently accepted definition of disability as “the loss or elimination of opportunities to take part in the life of the community equitable with others that is encountered by persons having physical, sensory, psychological, developmental, learning, neurological, or other impairments, which may be permanent, temporary, or periodic in nature, thereby causing activity limitations and participation restriction with the mainstream society”8(p.17)
Charles et al.9 contend that, while this definition of disability outlines some key characteristics of disability, it has limitations in failing to consider that barriers to accessibility are key to the inability of many persons with disabilities to participate in community life. There are also universalist inclinations in the definition, and a failure to be cognisant of regional and cultural differences in the experience of disability. Another definitional limitation is the absence of the geohistory of South Africa, which informs some important particularities of its disability context. While the White Paper on the Rights of Persons with Disabilities addresses the interrelated barriers experienced by persons with disabilities, namely, psychological barriers such as fear for personal safety; social barriers such as communication difficulties and lack of disability awareness; and structural barriers such as limited infrastructure and information8(p.17), there is no sense that the colonial and apartheid context of disability in South Africa is considered. This specific context is important as it illustrates the intersectionality of disability, race, gender, class and geography, demonstrating the complex ways in which disability is experienced on the basis of South Africa’s colonial and apartheid history. Such intersectional realities faced by persons with disabilities in the Global South, where colonial legacies continue to shape access to health care, education and employment, cannot be ignored. Thus, this article considers the roots of the structural limitations arising from colonial and apartheid encounters as well as the spiritual, relational, and community-based understandings in defining disability. Indigenous epistemologies, which are frequently based on relational and communal values, offer alternative frameworks for making meaning of disability. For example, the African philosophical notion of ubuntu considers disability as a shared obligation rather than an individual deficiency.2 This definitional approach is relevant not only for South Africa, but for all societies that have experienced colonial and apartheid encounters. In the field of disability studies, there is a need for a decolonial sociological imagination, or what Bhambra10(p.21) aptly articulates as “a more thoroughgoing analysis of the underlying assumptions upon which discourses and practices come to be premised”.
Following the social model of disability, queer perspectives, feminist theories, and post- and decolonial approaches have further offered valuable theoretical and empirical analyses of disability as a political and social phenomenon, as well as the complex relations between non-normative bodies, racial, gender, class issues and histories of domination and colonialism. Alongside Crip Theory, which emerged with an analysis of disability, sexuality and queerness, new viewpoints of disability studies emerged: Disability Critical Race Studies, Black Disability Studies, and Indigenous Post-Colonial Theories. The first assertion described by these perspectives is the intersectional issues related to living with a disability in exclusionary, racist and ableist societies. The second assertion relates to the indigenous, moral-spiritual ideas, practices and discourses about disability. Furthermore, theoretical entanglements between critical disability studies and post- and decolonial theories which explore matters of coloniality, decoloniality and neocolonialism beyond the Global North epistemics emerged.
Methodology and theoretical framing
The prevailing public health system in South Africa, with its structural limitations, particularly for persons with disabilities, is reflective of the dehumanisation and exclusion that persons with disabilities faced during the colonial and apartheid eras. The aim of this article is to critically historicise South Africa’s colonial and apartheid encounters, with specific reference to how the disruption and dispossession of Indigenous people from their lands has created debility and disability. I employed a qualitative approach and used secondary data (official and unofficial) to provide deeper insights into the link between colonialism, debility and disability.
Debility, a concept introduced by Julia Livingston11, is a case example here. Livingston shows how Batswana’s notions of kindship and personhood underscore the interconnectedness of individual bodies. Therefore, debility refers to how forms of bodily non-normativity result not solely from past colonial genealogies of exploitation as well as individual accidents, but can also be linked to moral misdeeds and behaviours of individuals within the network of relationships surrounding the person with the condition. In other words, marginalisation and social issues are not directed toward the individual but redistributed within the community. Puar12 has also developed work on debility to describe individuals deemed unable to fully participate in society, as seen as a product of social and structural barriers, rather than an inherent characteristic of the individual. A critical perspective on disability and debility in the Global South challenges dominant narratives, drawing attention to the intersection of disability with issues like colonialism, racism and classism. Critical disability scholars posit that neoliberal frameworks often view individuals through the lens of productivity and market participation, leading to the marginalisation of those deemed “debilitated” or unable to fully engage. While debility scholars critique disability studies and rights movements for their tendency to focus only on the most “assimilable” individuals – an aspect which leads to a neglect of the experiences and needs of those who are further marginalised due to intersecting oppressions or those who are debilitated – Global North disability scholars criticise debility studies for possibly flattening and ignoring the hierarchy that exists between disabled and non-disabled people.13 They attribute this to critical disability studies where disability is used as an inferential object to advance another argument – one which does not develop disability politics. Global South scholars, however, are of the view that debility encompasses disability and also goes beyond it.14 As Livingston11 observes:
Debility – the impairment, lack or loss of certain bodily abilities – is, on one level, a profound challenge to personhood. But debility also has a history, in the sense that impairment and disfigurement often arise out of a particular historical juncture – for example, the rise of mining and mining accidents, wars, or violence in societies that may not even be at war, in the military sense. This understanding of debility gives us insight into people’s sense of historical experience and changing assumptions about personhood and self 11(p.2)
This article operates at the nexus of the field of disability studies and epistemological decoloniality. Such an approach is significant because, as traditionally constituted, disability studies often perpetuate a colonial epistemology by universalising Western conceptions of disability and neglecting other cultural, historical and geopolitical contexts. The implication of this is in the erasure of many interpretations which are rooted in the Global South and in universalising Western conceptions, as shaped by colonial legacies. Therefore, a decolonial approach to disability studies is both theoretically and practically necessary as it entails redefining disability as a lived experience influenced by overlapping identities, such as race, gender, class, and geography, rather than only portraying it as a deficiency or medical disease. A decoloniality lens is particularly important to serve not only as the guiding theoretical framework, but as a prism through which critique of the limitations of disability studies in the Global South is constructed. Precisely because the field of disability studies is dominated by Eurocentric knowledge forms, despite the experiences of disability being most pronounced in
the Global South2, there is a need to challenge the very histories that inform these knowledge forms and this macro-history. The decolonial approach enables us to reconsider how language, representation and power relations shape the continuation of ableist and colonial narratives.
Creating debility and disability through disruption and dispossession
This section explores the complex ways in which debility and disability were created through dispossession. In this context, dispossession refers not only to the systematic and violent theft of the lands of Indigenous people, which forms part of the geographical or spatial dispossession of the colonised, but also to intellectual dispossession, giving rise to epistemic erasure. In this regard, Harris15(p.165) contends that “the legitimation of and moral justification for dispossession lay in a cultural discourse that located civilisation and savagery and identified the land uses associated with each”. Although dispossession has always been central to the function of colonialism, and in particular, settler colonialism16, it is important to state that African history does not begin with colonialism. Ndlovu-Gatsheni17(p.2) posits that:
As a people, Africans were always there in human history. They were never creatures of ‘discovery’. Africans were always present. Africans were never absent. Africa was never a tabula rasa (Dark Continent). Africans always had their own valid, legitimate and useful knowledge systems
African history does not begin with colonialism, thus the Africa before the colonial encounter did not resemble the one that emerged out of that experience. In that respect, it would not go amiss to state that, rather than birthing African history, colonialism interrupted it. This is especially true in the pre-colonial African conceptions of disability. This is not to say that the disability experience is homogeneous across African contexts.
Pre-colonial African societies conceptualised disability differently from the dominant Eurocentric conception of disability as bodily impairments. Similarly, the concept of disability, as understood today, did not exist in precolonial Africa. Rather, various terms described different forms of non-normative bodyminds.2 According to Ojok and Masenze18, in pre-colonial Africa, disability was not always perceived as a handicap, and persons with disabilities were accepted and well-integrated into their communities, where their human value was not negated by their disabilities. According to Gallagher19, the people of Dahomey in West Africa believed that infants born with disabilities possessed supernatural powers and symbolised good luck. As they grew into adults, they were appointed to important roles, such as state constables. Obermann20 contends that the Chagga people in East Africa believed that children with disabilities were protectors of their communities. Thus, African spiritualism consecrated persons with disabilities in profound ways.2 Similarly, many Indigenous societies in Asia and Latin America view disability through symbolic and spiritual lenses, frequently linking it to special skills or divine intentions.
In South Africa, pre-colonial KhoiSan communities co-existed with persons with disabilities and utilised their own psychosocial health practices, the therapeutic merits of which are under-researched. In their study on psychosocial health management practices of the KhoiSan in the Northern Cape Province of South Africa, Mahlatsi et al.21 demonstrate that the said community has, since long before the dawn of colonialism, conceptualised ill-health as a manifestation of the interruption of the connectedness of life, rather than as individual pathology. This theorisation of ill-health, and of disability, was systematically delegitimised by colonial and apartheid governments, primarily legislatively, with the promulgation of Section 1 of the Witchcraft Suppression Act (Act no.3 of 1957)22 , which suppressed and criminalised Indigenous African health systems. The impact of this has been devastating to the health outcomes of black people.23 Ndlovu-Gatsheni24 characterises this as the direct result of Euro-North American centric modernity, and colonialism, as it were, creating modern problems for which there is no modern solution, and argues that the imposition of Euro-North American centric knowledges
and theories have impeded on the understanding of contemporary challenges of the Global South.
Beyond the dispossession of African Indigenous knowledges and theories of disability, colonial and apartheid encounters created debility and disability through physical and violent dispossession of land and the economy in South Africa. According to Ohenjo et al.25, people dispossessed of land, and without security of tenure, have poorer health outcomes in comparison to those who own and control the land. Several factors were at play. Firstly, land dispossession initiated food insecurity in urban and rural South Africa. Achieved through systematic violence and the creation of institutions that legitimised draconian laws facilitating the annexing of land and forced removals, land dispossession meant that Indigenous black people could no longer produce their own food.26 This assault on subsistence farming forced them into the segmented labour market where wages were too low to afford even the most basic nutrition. This may be linked to issues of poor nutrition in many communities.
Linked to this, many labour workers in the Western Cape Province of South Africa lived on the farms which grow grapes and produce wine. Under the system of apartheid, for over at least two centuries, these workers were provided with wine as a form of partial payment for their labour. This practice was referred to as the ‘dop’ system. Believed to present a major public health problem, this dop system has elevated drinking rates in South Africa and rates of impairments such as foetal alcohol spectrum disorders (FASD) to this day. The same apartheid system played a limited role in assisting families to care for the needs of their children with disabilities. Affirming this, Swartz27 acknowledged these South African realities, pointing out that black South Africans with disabilities have historically been shamefully excluded from a range of services and opportunities –exclusion which was often on the basis of racial oppression as part of the colonial and apartheid project to provide only to white people, including white people with disabilities, in order to ensure a better standard of living to that of their black counterparts. It is here that we clearly see how the intersecting systems of power operate to disempower others (e.g. black disabled) while empowering others (white disabled). We also see the clearly complex interplay between congenital/biological and the socio-political context within which disabilities are formed.
Secondly, and interrelated with the inability to produce their own food and to afford nutritional food, black people were compelled to consume adulterated food as substitutes.26 This gave rise to a myriad of health-related problems, including the rise in obesity levels. Obesity has been linked to debility and disability28, with black people having the highest prevalence of obesity of all racial groups in South Africa, particularly in urban areas29. The same study noted the prevalence of overweight in rural women being significantly higher than that of women in urban areas. While poor diets contribute to the obesity and overweight challenges in black communities, another important factor, linked to landlessness, is imposed sedentary lifestyles.
In the South African context, sedentary lifestyles are not a question of moral failure or a lack of desire for healthier living. Rather, they are a function of the consequences of colonial and apartheid spatial planning. Beyond this, issues such as obesity are also linked to modern neo-colonial and neoliberal systems that foster unemployment, food deserts, and other socio-economic challenges. This link also demonstrates how historical and contemporary forces shape disability in South Africa today, especially the link between disability, poverty and ill-health. According to the African Centre for Obesity Prevention, environments that lack neighbourhood sidewalks and recreational spaces do not support active, healthy lifestyles, and are usually the cause of obesity.30 Shackleton and Gwedla31, in their study on the effects of colonialism and apartheid on urban greening and sustainability, contend that the contemporary urban form – with green spaces that do not reflect African identities, needs and perspectives on the natural and built environments – is reminiscent of colonial and apartheid spatiality. Furthermore, in a South Africa where contact and violent crime occurs mainly in townships32, where African races reside, the implication is that sedentary lifestyles have been imposed on Africans, as the fear of
https://doi.org/10.17159/sajs.2025/19140
crime leads to confinement. Additionally, this highlights the difficulties regarding mobility and productive existence for persons with disabilities. Frantz Fanon has commented on the contribution of colonialism to the continuation of systemic injustices, especially those that impact people with disabilities. In The Wretched of the Earth, Fanon33 discusses mental health pathologies in colonised people. He draws comparisons between the experiences of persons with disabilities who have encountered both systematic and symbolic violence and the psychological and physical effects of colonial oppression. He contends that colonialism as a system gave rise to mental health pathologies in black people, who have had to negotiate their existence in violent societies, with violence being both structural and institutionalised. According to Fanon, colonialism, in alienating colonised people from themselves, created a world in which they were in a permanent state of discombobulation from their very humanity and their ways of being. The impact of colonialism and apartheid continues to find expression in post-apartheid South Africa, and to impose upon the colonised mental health pathologies. Wa Azania34 traces these mental pathologies to Black students in institutions of higher learning, contending that they battle with debilitating mental illnesses that are both structural and generational. In this regard, she connects the mental health problems among black students to the apartheid encounter of their parents and the systemic violence in post-apartheid South Africa. This encounter is punctuated by the persistent legacy of coloniality, which Ndlovu-Gatsheni35(p.181) describes as “an invisible power matrix that is shaping and sustaining asymmetrical power relations between the Global North and the Global South”. This power matrix continues to shape and define post-apartheid South African society. It is on this basis that Ned36(para.10) insists that: “The rates of suicide, mental distress and violence mean we need to look at how mental health is influenced by effects of landlessness and the continuing stressors of colonisation, imposed sedentary lifestyles and inferior self-image, all of which leave landless people with very little autonomy over their lives.”
Finally, an equally salient cause of debility and disability arising from disruption and dispossession is the uneven and separate development that made it possible for rural areas and townships to be neglected, while historically white-only areas were prioritised for development and investment. Magubane37 contends that the deliberate institution of policies of separate development led to limited or non-existent infrastructure for black people, including health infrastructure. According to Coodavia et al.38(p.817), the root of South Africa’s dysfunctional health system, and the collision of the epidemics of communicable and non-communicable diseases, is the direct result of policies beginning from colonial conquest to apartheid dispossession, and, ultimately, the post-apartheid dispensation in which a two-tier and unequal health system is in place. Significantly, under apartheid, spending on health care in former white provinces was ZAR172 average per capita, in contrast to only ZAR55 in the homelands and townships.39 This uneven spending has continued in the post-apartheid dispensation in which we continue to see large racial differentials existing in social determinants of health, particularly housing and sanitation for the poor, who are predominantly black.40 And while there are no data on the current government expenditure on average per capita for persons with disabilities, we can infer from statistics on the under-funding of the public healthcare system, on which the majority of poor black South Africans rely, that the challenges of poor access persist.
Disability, debility and the migrant labour system
The migrant labour system formed the backbone of the political economy of the colonial and apartheid states. Magubane41 posits that the incorporation of black South Africans into the evolving settler society through proletarianisation, initially into agriculture and then into mining, is one of the key events that have an explanatory value for the development of South Africa’s socio-economic order. This incorporation was not geared towards equalising the colonisers with their colonised subjects, nor to equalise the metropole with the colony. Rather, it sought to facilitate the creation of a black reserve army of labour. According to Vosloo42(para.1), the migrant labour system is
an historical system, manipulated by capitalist, colonial and apartheid powers as a means of reconciling the conflicting needs for cheap labour in the mines and cities of ‘White’ South Africa, with the desire to restrict Black people to rural areas far away from the ‘White’ cities
The creation of Bantustans, or homelands, which Evans43 characterises as an extension of the patterns of colonial segregation that were already in existence, was facilitated through the devolution of political structures that would be replaced by putative independence in the native homelands. Thus, Bantustans were not only intended to segregate black South Africans by confining them in ethnic, poverty-stricken enclaves, but were also an effective means of ‘influx control’. This system impacted not only the nature of work in South Africa, but also the profile of the worker – mainly black, male and able-bodied.
Linking the migrant labour system to debility and disability is important, as “inequality of revenue and wealth is not only an economic fact; it implies inequality of life chances”41(p.2). Furthermore, the development of the capitalist mode of production necessitated the deprivation of the immediate producers of the means of production, this being especially pronounced in people with disabilities. While black people experienced collective deprivation, marginalised groups within the black community, particularly persons with disabilities, suffered far more. With colonialism and apartheid functioning spatially, black settlements were established in under-developed rural areas and in townships on the outskirts of towns and cities. For persons with disabilities living in these segregated spaces, access to the already limited healthcare and social services was very difficult, resulting in black persons with disabilities not receiving the necessary and appropriate medical attention.44
That exploited black labour built the South African economy has been established.41 45 46 The colonial and apartheid states were built on cheap labour, largely in the agricultural and mining industries that served as the backbone for their economies. Black men, in particular, forced into wage labour by centuries of dispossession and landlessness, provided a reserve army of labour in the metropole. On the diamond fields of Kimberley, in the gold mines of Johannesburg, and in the platinum mines of the North West, they toiled for low wages and were concentrated in hostels on the outskirts of central business districts, and isolated from the urban fabric, where they lived in conditions that were unfit for humans.42 It was in these hostels, under these conditions, that disease spread. Specifically, workers’ compounds in the gold mines of Johannesburg became the epicentre of tuberculosis outbreaks, caused by poor working and living conditions.47 But tuberculosis was only one of several devastating diseases that plagued black workers, families and communities in the 20th century, and these created a backlog of diseases that were worsened by the lack of development of effective public health measures for treatment.47 The outcome of this was a heavy disease burden in black communities38, which contributed significantly to debility and disability.
The intersection of the migrant labour system and the spread of HIV/ AIDS is observable in South Africa. According to the International Organization for Migration’s Position Paper on HIV/AIDS and Migration, in Africa, migration has emerged as the strongest single predictor of the prevalence and risk of HIV.48 The study contends that men who work far from home and live in men-only camps are more vulnerable to HIV infection. This is significant because, under the apartheid regime, hostels were constructed as men-only dwellings42 as a means of controlling the movement of black labourers. But migrant workers were not the only group at risk of infection. The International Organization for Migration48 contends that the partners of migrant workers are also shown to be at a particularly high risk of infection when their partners return from countries or cities with a high prevalence of HIV. This is aptly summarised by Lurie (cited in Nicholas et al.49(para.19) who states:
It is not hard to see how migrant labour plays a major role in the spread of the HIV/STI epidemic in Southern Africa: take millions of young men, remove them from their rural homes, house them
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in single-sex hostels, give them easy access to sex workers and alcohol and little or no access to condoms, and pretty soon, you will have a major HIV/STI epidemic
With the spread of sexually transmitted diseases in hostels built for male migrant workers, the parameters for debility and disability were set, and they persist in the post-apartheid dispensation.
Debility, disability and violence in post-apartheid South Africa
Structural inequalities that persist in modern South Africa, rooted in colonial and apartheid histories, continue to shape economic and social practices and outcomes, impacting on the lives of persons with disabilities. These inequalities created and reproduced a toxic paradigm of difference whereby the ‘other’, in this case persons with disabilities, were deemed not only unfit for work, but were also seen as non-human. In their study on enhancing the public sector’s capacity for inclusive economic participation of disabled youth in rural communities, Ned and Lorenzo50 contend that, in post-apartheid South Africa, young persons with disabilities face bleak prospects for skills development and securing employment. While South Africa’s official unemployment and youth unemployment rates are very high, at 32.1% and 44.3%, respectively, in the fourth quarter of 202351, the rate is significantly higher for persons with disabilities. According to Morwane52, unemployment rates for persons with disabilities are as high as 80% to 90%.
The implications of the low participation rates of persons with disabilities in the South Africa labour market are far-reaching. According to Braithwaite and Mont53, these low participation rates are a key pathway from disability to poverty. This is evidenced by findings which indicate that households headed by persons with disabilities experienced higher rates of poverty, with more than half not having access to a flush toilet, as well as a significant number lacking basic sanitation and electricity, thereby relying on wood for cooking and candles for light.54 Disability thus becomes both a cause and a consequence of poverty55, as persons with disabilities, encountering tougher barriers to the labour market, as well as education and skills development, have limited income owing to unemployment, and reduced earnings owing to the disability pay gap, which is used to measure pay gaps between disabled and non-disabled people and for different groups of disabled persons.56(p.x) These inequalities cause poverty for persons with disabilities. In terms of consequences, poverty limits access to health care, preventative health care and social services.55 In the context of South Africa, these limitations are often a result of uneven development – spatially and economically – linked to our colonial and apartheid encounters.
In post-apartheid South African society, debility and disability are often the direct consequence of violence and violent crimes. This is especially true of disability in young black men, who experience the highest levels of violent crime, including homicide, attempted murder and assault with intent to cause grievous bodily harm. According to Langa et al.57, black South Africans in general are more likely to be victims of violent crime than their white counterparts. While white South Africans make up just over 8% of the population, they account for less than 2% of murder victims, with black people accounting for a significantly higher and disproportionate number.58 There is clear statistical evidence that black men in particular are victims of this violent crime. Yet, according to van Niekerk et al.59, black men receive less prioritisation as victims of violent crimes. The invisibilisation of black men in post-apartheid South Africa is a continuation of the colonial and apartheid practice of locating them in what Fanon60 describes as a “zone of non-being”, which he describes as “an extraordinarily sterile and arid region, an utterly naked declivity”60(p.2) where black people are simultaneously problematic and inhuman. This colonial process of dehumanisation – made possible precisely because the very construction of being, in the eyes of whiteness, depends on non-being61 – is at the heart of why, under colonialism, black people in general were rendered invisible in law and beyond. Cock44 asserts that the invisibilisation was especially pronounced for black persons with disabilities – a practice that continues today.
Ratele62 posits that the highest rates of interpersonal violence-related fatalities in South Africa occur within African race groups in poor and low-income neighbourhoods. Specifically, these occur largely in metropolitan areas, mainly Cape Town. This is a significant finding given that the city served as the bedrock of colonial and apartheid administrations.63 Black men are particularly rendered vulnerable to homicidal victimisation and violence due to interlinked dynamics located at individual and societal levels.64 These interconnected dynamics are in great part the direct result of “a past marked by apartheid racism and segregation, state repression, arbitrary detentions, political unrest and violence, and a struggle for national liberation”64(p.249-250). Significantly, this violence contributes significantly to the debility and disability that is experienced in black communities.
Conclusion
While disability existed in pre-colonial African societies, including in South Africa, it was not deemed an impairment that eroded the humanity and value of persons with disabilities. The construction of disability as an impairment, and the consequences related to this construction, emerged out of colonial and apartheid encounters. Both epistemologically and through layered forms of violence, colonialism and apartheid created debility and disability. The migrant labour system in particular, which emerged out of the colonial and apartheid encounters as a means to dispossess, disenfranchise, dehumanise and de-civilise black people, played an important role in the legislation and practice of the exclusion of persons with disabilities. This exclusion continues in post-apartheid South Africa, evidenced through the social, economic, cultural and structural impediments that have been imposed on persons with disabilities.
Situating discourse in the field of disability studies within the context of colonial and apartheid encounters in the Global South in general, and South Africa in particular, is crucial. It is especially necessary that such discourse be anchored in decolonial theorisation in order that the particularities of the experience of disability in post-colonial and post-apartheid societies can be understood within this context. And while decoloniality may not be the panacea to erasing the experiences and prevailing perceptions, as well as consequences of coloniality towards persons with disabilities, it provides us with the opportunity to seek epistemological and ontological justice. It also lays the foundation for theorising the interconnected systems of post-colonial violence and oppression, as well as the interlocking systems of power that continue to push persons with disabilities to the margins.
Data availability
There are no data pertaining to this article.
Declarations
I have no competing interests to declare. I have no AI or LLM use to declare.
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AuthorS: Maria L. Kaiser1,2
Yael Dahan-Moss1 2
Lizette L. Koekemoer1 2
Mbavhalelo B. Shandukani3 Delenesaw Yewhalaw4 5 Basil D. Brooke1 2
AFFILIAtIoNS:
1Centre for Emerging Zoonotic & Parasitic Diseases, National Institute for Communicable Diseases, National Health Laboratory Service, Johannesburg, South Africa
2Wits Research Institute for Malaria, Faculty of Health Sciences, University of the Witwatersrand, Johannesburg, South Africa
3Directorate: Malaria and Other Vector Borne and Zoonotic Diseases, National Department of Health, Pretoria, South Africa
4Tropical and Infectious Diseases Research Center, Jimma University, Jimma, Ethiopia
5School of Medical Laboratory Sciences, Institute of Health, Jimma University, Jimma, Ethiopia
CorrESPoNDENCE to: Basil Brooke
EMAIL: basilb@nicd.ac.za
DAtES:
r eceived: 05 Apr. 2024
r evised: 17 Mar. 2025
Accepted: 26 Mar. 2025
Published: 29 May 2025
hoW to CItE: Kaiser ML, Dahan-Moss Y, Koekemoer LL, Shandukani MB, Yewhalaw D, Brooke BD. Anopheles stephensi and the risk of increased urban malaria in South Africa. S Afr J Sci. 2025;121(5/6), Art. #18359. https://doi.org/10.1 7159/sajs.2025/18359
Anopheles stephensi and the risk of increased urban malaria in South Africa
Owing to the scarcity of malaria vector mosquito populations in urban settings, urban malaria is rare in South Africa. Anopheles stephensi, an efficient urban malaria vector in South Asia and parts of the Arabian Peninsula (excluding southwest Saudi Arabia and Yemen), has recently expanded its range into African countries and territories where it has not previously occurred. The central hypothesis to explain the recent dispersal of An. stephensi out of its endemic range and into sub-Saharan Africa is via shipping, making seaports especially vulnerable to introductions of this species, although land crossings and general population movements are likely important as well. Based on an analysis of global shipping networks, South Africa is at risk of invasion by this species, although it has not been recorded in southern Africa to date. The World Health Organization has issued an alert for the spread of An. stephensi, including guidelines for surveillance in non-invaded areas, territories or countries that could be at risk. The aim of this review was to assess the risk of An. stephensi to South Africa and provide recommendations for vigilance and vector surveillance. We conclude that the range expansion of An. stephensi poses a significant threat to malaria control and elimination in southern Africa, and recommend regularised surveillance in at-risk areas, further engagement with existing multisectoral and cross-border initiatives, the mitigation of malaria in urban planning, and community awareness concerning water storage practices.
Significance:
The recent and continuing range expansion of the South Asian malaria vector mosquito Anopheles stephensi poses a significant threat to malaria control and elimination in sub-Saharan Africa. Fortunately, there are no records of this species in the southern African region to date, but this scenario will likely change and could lead to an increase in the incidence of urban malaria in South Africa and neighbouring countries.
Introduction – urban malaria in South Africa
Malaria in South Africa is primarily rural, and local transmission is restricted to the low-altitude, northeastern border regions of KwaZulu-Natal, Mpumalanga and Limpopo provinces. This restriction may, however, shift as urbanisation increases. Urban malaria is rare in South Africa due to the scarcity of malaria vector species in urban settings. However, there is increasing evidence that populations of some of these species can proliferate in such settings if conditions are favourable.1 Favourable conditions may occur when urban planning fails to provide for proper drainage or where densely populated informal areas provide adequate breeding sites for mosquitoes, even in heavily polluted sites. Recent evidence shows that one of South Africa’s principal malaria vectors, Anopheles arabiensis, is able to breed in water polluted with heavy metals, fertilisers and herbicides.2-4 Added to the risk of adaptation of local vector populations to urban environments is the possible introduction of the major malaria vector An. stephensi into South Africa.
background to anopheles stephensi
Anopheles stephensi, an efficient urban and, to a lesser extent, rural malaria vector in South Asia and parts of the Arabian Peninsula (excluding southwest Saudi Arabia and Yemen), has recently expanded its range into countries and territories where it has not previously occurred.5 The first detection of An. stephensi in Africa was from Djibouti in 2012, where it was implicated in a malaria resurgence.6 Since then, it has been detected in Ethiopia and Sudan in 20167 8, in Somalia in 20199 and in Ghana, the Republic of Somaliland and Nigeria in 202010-12. A year later, this invasive species was reported in Yemen13, followed by reports in 2022 in Kenya and Eritrea14 15
Anopheles stephensi poses a threat to countries declared malaria-free. For example, Sri Lanka was declared malaria-free in 201616 and the detection of this species in December 2016 highlighted the threat it poses to maintaining Sri Lanka’s malaria-free status17. This range expansion prompted the World Health Organization (WHO) to issue an alert for An. stephensi, acknowledging that there is potential for this species to spread throughout Africa, posing a serious threat to malaria control and elimination in affected territories.9
anopheles stephensi general bionomics
Anopheles stephensi shares some morphological similarities with certain African malaria vector species, specifically those of the An. gambiae species complex, possibly leading to misidentifications. In cases of uncertainty, confirmation of species identity is by polymerase chain reaction (PCR) assay.18 Anopheles stephensi has three forms (type, intermediate and variety (var.) mysorensis (hereafter mysorensis)), that can be separated by egg morphology.19 Geographical distribution and ecotype vary by form, with the type form occupying urban areas, the intermediate form semi-urban areas and mysorensis rural areas.19,20 All forms transmit malaria.5,9
Anopheles stephensi, described as anthropozoophilic (human and animal feeding), tends more toward zoophily, especially in rural areas. Female adults are commonly found in cattle sheds, although they will also enter houses,
Review Article
https://doi.org/10.17159/sajs.2025/18359
especially those that are more openly constructed and roofed with thatch, to feed on human occupants.20,21 Feeding occurs mainly outdoors at dusk.5 However, there have been reports of endophily (indoor-resting) and endophagy (indoor-feeding)22, highlighting the plasticity of this species’ behaviours that are not unlike those of An. arabiensis23. For example, in southeast Iran, the majority of the mysorensis form fed on bovine blood, while 11.8% fed on humans.24 In Rajasthan, India, Nagpal et al.25 reported outdoor-feeding by this species at dusk, followed by indoor-resting in houses. Their resting behaviour was somewhat affected by the use of DDT, causing blood-fed mosquitoes to rest on unsprayed surfaces (such as hanging clothing, utensils and furniture), and it was noted that ambient temperatures exceeding 35 °C reduced house entry of blood-fed female mosquitoes.
Adult collection methods for An. stephensi include aspiration from houses or shelters, pyrethrum spray catches, human landing catches, CDC light traps, black resting boxes and cattle-baited tents.19,20,26,27 Black resting boxes only appear effective near horse stables.27 Of the methods used by Balkew et al.27 for collecting adult mosquitoes, the most effective were aspiration, black resting boxes and animal-baited traps. CDC light traps, human landing catches and pyrethrum spray catches were less effective.27
Typical An. stephensi larval sites are small water bodies, including artificial water containers such as cisterns, fountains and freshwater wells.9,26,27 These are similar to sites typically occupied by certain important Aedes mosquito species, of which Aedes aegypti and Ae. albopictus are vectors of several arboviruses including dengue, Zika and chikungunya. Anopheles stephensi larval sites can also include pools, streambeds, river margins and marshy areas with slow-flowing water24, similar to the preferred breeding sites of the African malaria vectors An. funestus and An. arabiensis28
Of the forms, ‘type’ and ‘intermediate’ are efficient vectors of Plasmodium falciparum and P. vivax malaria.5 9 By comparison, a laboratory study showed that An. stephensi was more susceptible to Plasmodium infections than An. arabiensis.29 This finding should, however, be interpreted with caution as field situations may differ. For example, of the An. stephensi specimens screened for Plasmodium parasites in Ethiopia, none were found to be infected with P. falciparum26,27, and approximately 0.4% were infected with P. vivax27. Note that in this study the ELISA boiling step was not used – an omission that increases the likelihood of false positives from mosquitoes that fed on non-human animal blood.30 Additionally, the An. stephensi human blood index was low.27 Owing to its zoophilic nature, the mysorensis form is not a major malaria vector, although it has been implicated in malaria transmission in rural areas of Afghanistan and Iran.5,9
Interestingly, and unsurprisingly given the type of larval habitats An. stephensi utilises, seasonal rainfall is not the most accurate predictor of increases in population abundance. Temperature and land-use patterns, as opposed to rainfall, more accurately predict population densities of this species.31
Control methods
Primary control methods for An. stephensi in South Asia and the Arabian Peninsula are larval source management in urban areas (covering of potable water containers, drainage of potential breeding sites, larviciding using temephos and Bacillus thuringiensis var. israelensis (Bti) in aquatic breeding sites), indoor residual spraying of specially formulated insecticides20,32 and the mass deployment of insecticide-treated nets. Larval control using larvivorous fish occurs in some urban areas of India.20 Owing to the primarily exophilic nature of An. stephensi, indoor residual spraying and the distribution of insecticide-treated nets may not be particularly effective control options for this species in some regions. Nevertheless, these methods are used in certain rural localities where blood-fed female mosquitoes are found indoors20, and in areas where these methods are effective against other vector species.
Of particular concern is resistance to multiple insecticides in many An. stephensi populations.27 33 34 In Ethiopia, An. stephensi is resistant to pyrethroid, carbamate, organophosphate and organochlorine insecticides.27 35 36
risk to South Africa
The central hypothesis to explain the recent dispersal of An. stephensi out of its endemic range is via shipping, making seaports especially vulnerable to introductions of this species, although land crossings, the importation of goods via containers transported overland, and general population movements are likely important as well.5 6 8 Based on an analysis of global shipping networks, South Africa is at risk of invasion37 because it has seaports in the malaria-endemic province of KwaZulu-Natal. In addition, there are several suitable urban habitats for An. stephensi in all endemic provinces where Plasmodium parasites occur (Figure 1). Specifically, Durban and Richard’s Bay are higher-risk ports of entry because they are major international harbours situated in malaria-receptive eco-zones permissive to the proliferation of An. stephensi.5 Importantly, Maputo harbour in Mozambique also represents an importation risk for South Africa owing to the transit of goods from Maputo into South Africa or via South Africa to neighbouring countries. This may also be true of seaports in Namibia. The risk of malaria transmission is substantially lower in major seaports of non-endemic provinces, like Gqeberha in the Eastern Cape Province and Cape Town in the Western Cape Province. While An. stephensi can be introduced at these ports, the absence of locally occurring Plasmodium parasites in these non-endemic regions mitigates the risk of transmission, although there is a low risk of inadvertent transport of imported mosquitoes from these ports to other parts of the country via modes of land transport.
An introduction of An. stephensi into South Africa’s malarious regions, including at-risk urban areas, is likely to increase the incidence and geographical spread of locally acquired malaria. This is because South Africa’s annual vector control measures – indoor residual spraying and larval source management – are primarily implemented in rural and specific peri-urban settings where local malaria transmission regularly occurs. Owing to the current scarcity of urban malaria in South Africa, there is no proactive implementation of vector control in urban settings. Instead, a locally acquired case triggers a reactive response that may include localised indoor residual spraying, larval source management and vector surveillance, and an outbreak triggers a wider response using the same measures. If the incidence of locally acquired urban malaria substantially increases in South Africa, possibly caused by the localised establishment of An. stephensi populations, then proactive vector control measures will be necessary38, especially in terms of achieving malaria-free status. As South Africa’s national and provincial malaria control programmes aim to eliminate malaria within the country’s borders by 2028, an introduction of An. stephensi, and its subsequent proliferation in urban settings, could pose a significant risk to this objective.
Vigilance, vector surveillance and response
The WHO’s alert9 includes guidelines for An. stephensi surveillance in non-invaded areas, territories or countries that could be at risk. Owing to the breeding characteristics of this species and the reduced likelihood of collecting good samples of adult specimens using many of the conventional adult collection methods, the recommended approach is sampling of aquatic stage mosquitoes from potential breeding sites, especially in urban and peri-urban areas.9 Adult collection methods can nevertheless be used in addition to larval sampling, especially from animal shelters and those houses constructed in an open fashion and with thatched roofs.9 21 27 Passive resting sites may also be useful for adult collections in and around animal shelters.27
Identification of larval specimens necessitates rearing them to adulthood. Adult mosquitoes are identified by external morphology using dichotomous keys39 followed by PCR and sequencing for confirmation if necessary14,19. Larval habitats from where samples were collected should be thoroughly characterised and field surveillance officers are encouraged to report any newly detected An. stephensi localities through the WHO’s reporting and tracking system.40 Should sample sizes allow, determining insecticide susceptibilities and other key indicators (feeding, resting and breeding habits) in newly detected populations of this species is especially important, as these data inform control operations. Anopheles stephensi surveillance is best implemented within an operational research framework by including information on collection site geolocation,
https://doi.org/10.17159/sajs.2025/18359
Map created using the QGIS Geographic Information System (Open Source Geospatial Foundation Project, http://qgis.org) and the malaria risk map courtesy of the National Department of Health https://www.health.gov.za/outbreaks-malaria/
collection method, date and time of collection, climate parameters, land cover, land use, breeding site characteristics and other Anopheles species that occur in sympatry. These are important parameters for predictive modelling of malaria transmission dynamics against a backdrop of changing land-use patterns, increasing urbanisation and climate change.
Control of An. stephensi , where detected, ought to form part of an integrated vector management strategy41, noting that indoor residual spraying and the mass deployment of insecticide-treated nets have proved effective in reducing malaria prevalence in An. stephensi populations in India, Pakistan, Iran and Afghanistan. Personal protection measures, including the use of repellent products containing Diethyl-3-methylbenzamide (DEET), are also indicated.36,42-44 The Global Vector Control Response to invasive An. stephensi 45 has identified three key aspects to curb the spread of this species, i.e. enhanced surveillance, deployment of additional vector control approaches for malaria vectors and the consideration of the roles of different partners and funding sources in tackling and mitigating in-country risk posed by this species.
Conclusion and recommendations
The range expansion of An. stephensi poses a significant threat to malaria control and elimination in sub-Saharan Africa. This is especially pertinent in light of recent information suggesting that this species may be partly responsible for the introduction of antimalarial-drug- and diagnostic-resistant P. falciparum into the Horn of Africa.46 Fortunately, there are no records of this species in the southern African region to date, but this scenario will likely change.
We recommend that South Africa remains vigilant through annual surveillance and additional spot checks at seaports, airports and land points of entry in those endemic districts where ongoing malaria transmission occurs. Incorporation of the required An. stephensi surveillance into the broader integrated vector management strategy
https://doi.org/10.17159/sajs.2025/18359
for South Africa is necessary as soon as possible, as is the upskilling of provincial surveillance personnel for detection and control of this species, which has already been initiated. Continued monitoring at a national level of the molecular markers of antimalarial drug resistance in P. falciparum is especially important.47 If, or when, necessary, South Africa and neighbouring countries should approach the implementation of vector control interventions for An. stephensi through multisectoral and cross-border initiatives including those of Elimination 8 and MOSASWA (Mozambique, South Africa and Eswatini).48
Other important recommendations, as suggested by the WHO Global framework for the response to malaria in urban areas38, include: urban leadership, whereby city/municipal leaders ensure that urban malaria forms part of urban planning and policymaking; community engagement concerning water storage practices; and a multisectoral response to urban malaria, including quality clinical care.
Acknowledgements
Managers of South Africa’s national and provincial malaria control programmes are thanked for supporting the training of surveillance personnel in the identification of malaria vector species.
Data availability
There are no data pertaining to this study/article.
Declarations
We have no competing interests to declare. We have no AI or LLM use to declare.
Authors’ contributions
M.L.K.: Conceptualisation, writing – initial draft and revisions. Y.D.M.: Conceptualisation, writing – initial draft and revisions. L.L.K.: Writing –
Figure 1: Malaria risk map for South Africa showing major seaports through which the urban malaria vector Anopheles stephensi may be imported.
revisions. M.B.S.: Writing – revisions. D.Y.: Writing – initial draft and revisions. B.D.B.: Conceptualisation, writing – initial and final drafts, project lead. All authors read and approved the final manuscript.
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https://doi.org/10.17159/sajs.2025/18359
Author: Anastassios
Pouris1
AFFILIAtIoN:
1Institute for Technological Innovation, University of Pretoria, Pretoria, South Africa
CorrESPoNDENCE to: Anastassios Pouris
EMAIL: anastassios.pouris@up.ac.za
DAtES:
r eceived: 10 Apr. 2024
r evised: 29 Nov. 2024
Accepted: 16 Feb. 2025
Published: 29 May 2025
hoW to CItE:
Pouris A. The state of artificial intelligence research in South Africa. S Afr J Sci. 2025;121(5/6), Art. #18416. https://doi.org/10.17159/sa js.2025/18416
ArtICLE INCLuDES:
☒ Peer review
☒ Supplementary material
DAtA AVAILAbILItY:
☐ Open data set
☐ All data included
☒ On request from author(s)
☐ Not available
☐ Not applicable
EDItorS:
Chrissie Boughey
Nkosinathi Madondo
KEYWorDS: South Africa, artificial intelligence, policy, scientometrics
FuNDING: None
The state of artificial intelligence research in South Africa
This article presents the results of a scientometric investigation of the field of artificial intelligence (AI) in South Africa over the period 2013–2022. Such investigations inform policy and research management development and assist researchers to identify topics for investigation, collaborating organisations, etc. The Liu et al. methodology (Scientometrics 2021;126:3153–3192) was used for the identification of AI documents. The approach is appropriate for a growing discipline with constantly expanding terminology. The activity index was estimated to reveal the contribution of South African researchers in the field of AI, taking into account the country’s scientific size and the world’s involvement in the field. Finally, a content analysis of the titles of South African publications was employed to reveal the domains of emphasis and weakness within South African research in the field.
Significance:
The field of AI is growing in South Africa. During 2022, South Africa produced over 1000 relevant publications in the field of AI. The activity index revealed that South Africa should substantially increase this contribution in order to make a contribution proportional to its scientific size and the world’s average productivity in the field. The majority of the AI publications were produced by South African universities, and spread among several universities. Comparisons with prolific organisations internationally show that South Africa produces only a fraction of the research produced worldwide. International funders have been found to be important in the field but may not be appropriate for a research field close to commercialisation. The content analysis revealed the lack of investigations related to coordination and alignment of AI research and national policy.
Introduction
Artificial intelligence (AI) has attracted national and international attention, promising to revolutionise the workplace, the economy and even our personal lives. It has its roots in philosophy, mathematics, computation, psychology and neuroscience1 and is becoming the ‘new normal’ in both manufacturing and service industries2
There is no acceptable definition for AI. Probably the broader one is by Nilsson3 who maintains that “artificial intelligence … is concerned with intelligent behaviour in artefacts”.
Currently, high-profile AI applications fall within a variety of domains, i.e. manufacturing robots; advanced web search engines such as Google Search; autonomous cars like Tesla; recommendation systems that analyse user data to provide personalised recommendations (used by YouTube, Amazon and Netflix); understanding human speech and performing services for individuals (such as Siri and Alexa); generative or creative tools (ChatGPT, Ernie bot and AI art); automated decision-making; and competing at the highest level in strategic game systems (such as chess and Go).
According to Fortune Business Insight4, the global AI market size was valued at USD428 billion in 2022 and was projected to grow from USD515.31 billion in 2023 to USD2025.12 billion by 2030 – a compound annual growth rate of 21.6%.
This article aims to provide information related to the state of AI research in South Africa. Scientometrics is usually the approach used in the effort to identify the state of a scientific topic or discipline in a particular context (e.g. in a country or in a research organisation). Scientometrics has been used widely in the context of South Africa and internationally.5-7
It is emphasised that scientometrics is a scientific field and bibliometrics a sub-field within the main field of scientometrics. In this article, the two words are used interchangeably.
Analyses were undertaken for the period 2013–2022 (2022 is the most recent year for which complete data were available). In this approach, more than 100 keywords were used as search terms to search the Web of Science (WoS) database (Appendix 1 in the supplementary material), which also includes 19 journals that specialise in AI (Appendix 2 in the supplementary material). The search words were chosen to qualify in terms of recall and precision – the necessary preconditions for the validity of a scientometric investigation.
Literature review
AI has attracted the attention of researchers and multilateral organisations like the Organisation for Economic Co-operation and Development (OECD), which have investigated the field scientometrically.
OECD8 has identified and measured AI-related developments in science, algorithms and technologies using information from scientific publications, open source software and patents. The major findings were: (1) since 2015, AI-related publications have increased by 23% per year; (2) from 2014 to 2018, AI-related open source software contributions grew at a rate three times greater than other open source software contributions; and (3)AI-related inventions comprised, on average, more than 2.3% of IP5 patent families in 2017. China’s growing role in the AI space was also identified.
Njei et al 9 investigated AI for health care in Africa. They identified 26 relevant articles published by 178 authors from 31 countries. The most prolific African countries were South Africa, Nigeria and Ghana.
https://doi.org/10.17159/sajs.2025/18416
Liu et al 10 developed a scientometric approach in order to resolve the issue of searching for AI using only the term ‘artificial intelligence’. Their approach started with benchmark records of AI captured by using a core keyword and specialised journal search. Subsequently, they extracted candidate terms from high-frequency keywords of benchmark records, refined keywords and complemented their methodology with the journal subject category ‘artificial intelligence’.
Vasquez et al 11 presented a scientometric analysis to answer the question: what is the academic overview of the application of AI in agriculture? They covered the period 2000–2019 using data from the WoS and Scopus databases. They identified that the countries with the highest number of publications were China, the USA, India and Australia.
Pereira et al.12 reviewed 60 papers exploring the relationship between AI and workplace outcomes and examined the interface between AI and workplace outcomes, drawing on different levels of analysis, disciplines and organisational functions.
A scientometric analysis of scientific productivity of AI research in India13 included a scientometric analysis of publications related to AI research in India during 2009–2018. It evaluated the scientific productivity, collaboration, citation impact and research focus of Indian AI researchers and compared them with those of other countries.
A variety of other investigations have been published focusing on particular topics. Chatterjee et al.14 investigated wind-turbines; Pliego-Marugán et al.15 reviewed 190 papers in the last five years under investigation, presenting the challenges and technological gaps in utilising artificial neural networks in time-series forecasting of certain parameters (i.e. wind speed and turbine power), with a perspective on fault diagnosis and prognosis. Maldonado-Correa et al.16 reviewed 37 articles on applying AI techniques for short-term energy forecasting and others.
Approach
Undertaking a scientometric investigation requires two decisions: the first is to identify which database should be utilised for the investigation, and the second is which approach should be used to identify the relevant documents.
The WoS databases (Science Citation Index Expanded, Social Sciences Citation Index and Arts and Humanities Citation Index) are the most often used for these types of investigations.
The combined databases cover the most prestigious journals in the world in all fields of research endeavours comprehensively, and constitute a unique information platform for the objectives of this effort.
The most important advantage of the usage of WoS-indexed journals is that they constitute the most important (in terms of impact) journals in the world. Furthermore, an important advantage is that the database includes the particulars of all authors and co-authors and that the methodology to be used was applied to the same database.
South Africa’s Department of Higher Education and Training has identified the WoS-indexed journals for subsidy purposes and some universities give incentives to their researchers to publish in WoS-indexed journals. Consequently, it is expected that the databases selected will cover not only the most important South African AI-related research but the majority of it as well.
A literature review1 was undertaken, and it was identified that different approaches are used for scientometric analysis of the discipline of AI. The approaches range from the use of the term ‘artificial intelligence’ to searching journals specialising in AI, to the utilisation of a variety of related keywords. In the last approach, the challenge is that, in order to fully evaluate the effectiveness of a model, one must examine both precision and recall. Unfortunately, precision and recall are often in tension, in that improving precision typically reduces recall and vice versa.
Recall refers to the proportion of actual positives that were identified correctly, whilst precision is used to answer the question: what proportion of positive identifications was actually correct? To state it differently, precision is of critical importance. If it is ignored, then the
search engine will include terms that are only partially (if at all) relevant to the subject matter of the investigation and will over-inflate the identified population.
Liu et al.10 developed a particular methodology for the bibliometric analysis of AI and compared it with the methodologies of other researchers whose approach appeared to better cover the field of AI. There were four key steps in the procedure used to build the search strategy. In the words of the authors:
First, we generate a benchmark set of artificial intelligence publications. We use the core lexical query ‘artificial intelligence’ as a topic search as well as a query of specialised artificial intelligence journals as a source search. Second, from these benchmark records, we extract ‘Author Keywords’ and ‘Keywords Plus’ and derive the frequencies of these keywords. We confirm the precise meanings of high-frequency keywords from descriptions found in online sources. This process leads to a retained list of high-frequency ‘candidate keywords’ related to artificial intelligence. Third, to maintain a balance between recall and precision, we test and refine this set of terms through co-occurrence analysis and manual checking identification. Fourth, we augment our strategy by combining the final term set with the use of a subject category search 1
Liu et al.10 compared their results with those of Gao et al.17, Zhou et al.18 and WIPO19. Liu et al. identified all articles by Gao et al.17 and just over 78% of the records captured by Zhou et al.18, whilst the WIPO19 approach delivered a larger number of outputs. Liu et al.10 suggested that more than half (54%) of the WIPO’s search results comprised records not included in Liu’s definition of ‘artificial intelligence’. They argued that several generic statistical and mathematical terms such as ‘logistic regression’, ‘hidden Markov model’ and ‘fuzzy logic’ are included by WIPO but excluded in Liu et al.’s approach. These three terms returned 195 477 article records in the search period.
Liu et al.’s10 approach was used in this study. Hence, the findings are compatible with those of Liu et al. and all other studies that adopted the same approach. Moreover, the approach does not need to test issues of recall and precision. The list of search terms utilised and the names of the included journals appear in Appendices 1 and 2, respectively, in the supplementary material. It is emphasised that the included journals were covered in their totality and specialise in AI, and hence, their editors make sure that all articles published are relevant to AI.
As content analysis is a well-established technique utilised in the areas of intelligence, marketing, document analysis and others, this methodology was used to analyse the titles of the published research in order to identify the main focus of the AI research by South African researchers.
A global bibliometric view of artificial intelligence (2013–2022)
According to the WoS, 1 536 741 documents on the subject of AI were published in the past 10 years. Table 1 shows the top scientific disciplines that attract research documents related to AI. The various branches of computer science dominate the domain, followed by engineering and mathematics. It should be mentioned that articles may be categorised into more than one scientific discipline.
Table 2 shows the most productive nations in the field of AI research, as well as South Africa’s AI research output. The People’s Republic of China dominates with 311 712 documents, with the United States of America ranking second with 229 911 documents and India third with 77 530 documents. South Africa published 4610 papers during this period.
Table 3 shows the main funders of AI internationally.
With over 175 000 acknowledgements, the National Natural Science Foundation of China tops the list of funders, with the US National
Scientific discipline r ecord count
Computer science
Engineering
Mathematics
Communication
Telecommunications
976 047
771 215
326
544
179
table 2: Countries that produced the highest AI research outputs and South Africa’s output shown for comparison (2013–2022)
table 1: Classification of AI articles according to scientific discipline (2013–2022) Country
712
911
530
558
985
237
267
Korea
148
37 820
South Africa 4933
table 3: Main funders of AI research according to the number of funder acknowledgements (2013–2022)
Funding agency r ecord count
National Natural Science Foundation of China (NSFC) 175 105
US National Science Foundation (NSF) 38 180
US Department of Health and Human Services 33 601
US National Institutes of Health (NIH) 33 178
Chinese Fundamental Research Funds for the Central Universities 25 019
Science Foundation (NSF) ranking second at approximately 38 000 acknowledgements.
Artificial intelligence in South Africa’s academic domain (2013–2022)
Table 4 shows the number of South African publications related to AI during the period under consideration. This production placed the country 46th in the world. The field grew 7.8-fold during this period –from 137 publications in 2013 to 1071 publications in 2022.
Table 5 highlights the scientific disciplines that have been prioritised in the field of AI in South Africa. The first two fields are nearly identical to those on the worldwide list (Table 1). It should be noted that the field ‘Energy fuels’ appears in the fifth position in South Africa, while internationally the position is occupied by the field of ‘Telecommunications’. Similarly, ‘Environmental sciences and ecology’ occupies the third position in South Africa, while in the international list the position is occupied by the field of ‘Mathematics’.
Table 6 shows the main producers of AI-related publications in South Africa. The University of Johannesburg is at the top of the list with 856 publications, followed by the University of KwaZulu-Natal with almost the same number of publications. It is noticeable that the annual number of publications by the various universities is relatively small, with the top universities in the field in the world (e.g. Harvard) producing twice as many publications as all the South African universities together. It can be argued that this is the result of the pluralistic management approach used in the national system of innovation.
Table 7 shows the main funders of AI research in South Africa, with the National Research Foundation (NRF) of South Africa topping the list with 366 acknowledgements. It is noteworthy that all other funders mentioned by the authors from South Africa are international organisations in the UK, China and the USA.
Table 8 shows the countries that collaborated with South Africa in the field of AI research, with the USA, England and China being the main collaborating countries.
table 4: The number of AI publications from South Africa in the period 2013–2022
table 5: Classification of published AI articles from South Africa according to scientific discipline (2013–2022)
South African research area r ecord count
Computer science 1492
Engineering 1435
Environmental sciences and ecology 405
Science and technology and other topics 318 Energy fuels 299
table 6: The South African universities most prolific in the field of AI research (2013–2022)
South African affiliation r ecord count
University of Johannesburg 856
University of KwaZulu-Natal 810
University of Pretoria 548
University of the Witwatersrand 544
University of Cape Town 514
https://doi.org/10.17159/sajs.2025/18416
table 7: Main funders of South African AI research
Funder of South African AI research r ecord count (acknowledgements)
National
US National Science Foundation (NSF)
US Department of Health and Human Services
table 8: Countries collaborating with South Africa on AI research (2013–2022)
table 9: Frequency of words appearing in South African publications on AI
The activity index was estimated in order to assess the South African production of AI research outputs compared with the worldwide production. The activity index is the country’s share in the world’s publication output in the given field divided by the country’s share in the world’s publication output in all science fields. Hence, the index takes cognisance of the country’s scientific size vis-à-vis the rest of the world.
An activity index of 1 indicates that the country’s research effort in the investigated field corresponds precisely to the world average. An activity index greater than 1 reflects a higher than average effort dedicated to the field under investigation, and an activity index lower than 1 reflects a lower than average effort in the field.
The relevant numbers for the estimation of the activity index are : South African AI documents = 4933; South African total documents = 238 973; world AI documents = 1 536 741; and world total documents = 30 861 543.
Using the above numbers, the activity index for AI research in South Africa for the period 2013 2022 is 0.42, meaning that South Africa is producing well below the world average for AI research.
A content analysis of the titles of AI articles by South African authors was undertaken for the period 2020–2023 in order to provide indicators of the main topics, trends and challenges in AI research in the country.
Table 9 lists the most often appearing words in the titles of publications on AI research from South Africa.
The most frequently used terms (‘learning’, ‘using’, ‘machine’, ‘neural’, ‘artificial’ and ‘network’) suggest that machine learning and neural networks are the dominant methods and techniques of AI research in the country. These methods are used internationally for issues of detection, classification, prediction, forecasting, recognition and optimisation.
Similarly, the terms ‘data’, ‘model’, ‘models’, ‘modeling’ and ‘modelling’ indicate that data-driven and model-based approaches are also prevalent in AI research in South Africa.
The terms ‘education’, ‘health’, ‘agriculture’, ‘security’, ‘power’, ‘energy’, ‘smart’ and ‘development’ indicate the main domains and sectors to which AI research applies in South Africa. Similarly, the terms ‘Africa’, ‘African’, ‘COVID’ and ‘sentinel’ reflect the specific contexts (regional and continental perspectives) and challenges (e.g. COVID) that AI research in South Africa addresses.
The identified focus on the above terms also reveals the lack of investigations into topics such as natural language processing and computer vision and on issues related to coordination and alignment of AI research and national policy (with a scarcity of terms such as regulation, standardisation and certification).
Discussion and main findings
These findings on the state of AI research in South Africa are important for policymaking and management of the support and funding of the field in the country and for research planning by the relevant researchers.
The investigation identified the number of documents produced during the 2013–2020 period and calculated the activity index (which shows the extent to which South Africa produces the number of AI documents expected by the total number of research documents in the country in relation to the international production of AI documents). Furthermore, the main funders of AI research and the main productive organisations in the field were identified. Finally, a content analysis identified the focus areas of AI research in the country.
The field expanded substantially, in terms of the number of relevant documents, during the 10 years under investigation, from 137 publications in 2013 to 1071 publications in 2022. It is interesting to note that the South African government has not advertised any support for the field, nor made any announcements about AI. The growth in the field of AI is the result of the recognition of the importance of the field by individual researchers in the country. However, an estimation of the field’s activity index reveals that the field produced only 40% of what was expected during this period, according to the country’s scientific size and the international performance of the field.
It was identified that South African research in the field is funded substantially by international funders. While this may be indicative of the quality and recognition of the South African researchers, it is important to note that foreign funders will not support the national interest, particularly on a topic which appears to be close to commercialisation. The government is expected to also be aware of the socio-economic benefits of the emerging technologies and support them appropriately.
It should also be noted that the top universities in the world (e.g. Harvard) produced as many publications in the field as all South African universities produced together. It can be asserted that this is the result of the pluralistic management approach used in the national system of innovation. It can also be argued that the followed approach creates diseconomies of scale. Universities could resolve the issue through collaboration (nationally and internationally), although the best approach for the local system could be through central coordination.
Content analysis of the titles of the South African articles on AI identified that machine learning and neural networks are the dominant methods and techniques of AI research in the country.
The scarcity of terms such as regulation, standardisation and certification reveals the lack of investigations related to coordination and alignment of AI research and national policy.
AI has the potential to boost economic growth and productivity, but at the same time, it creates equally serious risks, rising inequality, unemployment and the emergence of new undesirable industrial structures. This investigation has revealed a distributed approach in the development of AI in South Africa as well as a lack of support or coordination by the government. South Africa's policies need to create the necessary conditions for nurturing the potential of AI, while considering carefully how to address the risks involved.
Conclusion
This investigation into the state of AI research in South Africa reveals a dynamic field with substantial growth and untapped potential. Despite a significant increase in the number of publications from 2013 to 2022, the country produced only 40% of the expected AI research based on scientific capacity and international benchmarks. This finding underscores the need for strategic support and investment.
International funding plays a crucial role in sustaining AI research in South Africa, highlighting both the global recognition of the quality of local researchers and the gaps in national funding. The disparity between the output of South African institutions and top global universities points to the need for improved coordination and collaboration within the national innovation system.
Machine learning and neural networks dominate the research landscape, yet there is a notable lack of focus on regulation, standardisation and policy alignment. This gap presents both a challenge and an opportunity for South Africa to shape a regulatory framework that balances innovation with socio-economic benefits.
AI holds promise for boosting economic growth and productivity, but it also poses risks, including rising inequality and unemployment. The government must recognise the socio-economic implications of AI and create policies that foster its potential while mitigating adverse effects. Central coordination and increased local funding are essential in harnessing the full benefits of AI for national development.
By addressing these challenges, South Africa can leverage AI to drive inclusive and sustainable growth, positioning itself as a leader in the global digital economy.
Acknowledgements
I acknowledge the constructive comments made by the reviewers of this article.
Declarations
I have no competing interests to declare. I have no AI or LLM use to declare.
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7. Pouris A. A bibliometric assessment of energy research in South Africa. S Afr J Sci. 2016;112(11–12), Art. #2016-0054. https://doi.org/10.17159 /sajs.2016/20160054
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AuthorS: Sharthi Laldaparsad1 Nerhene Davis1
Serena Coetzee1
AFFILIAtIoN:
1Department of Geography, Geoinformatics and Meteorology, University of Pretoria, Pretoria, South Africa
CorrESPoNDENCE to: Sharthi Laldaparsad
EMAIL: slaldaparsad@gmail.com
DAtES:
r eceived: 10 Apr. 2024
r evised: 16 Mar. 2025
Accepted: 25 Mar. 2025
Published: 29 May 2025
hoW to CItE:
Laldaparsad S, Davis N, Coetzee S. “Our struggle with addressing in South Africa” – Capturing public stakeholder perspectives. S Afr J Sci. 2025;121(5/6), Art. #18417. https:// doi.org/10.17159/sajs.2025/18417
ArtICLE INCLuDES:
☒ Peer review
☐ Supplementary material
DAtA AVAILAbILItY:
☐ Open data set
☐ All data included
☒ On request from author(s)
☐ Not available
☐ Not applicable
EDItor: Floretta Boonzaier
KEYWorDS: address infrastructure, addresses, address data, public stakeholders, governance, South Africa
struggle with addressing in South Africa” –Capturing public stakeholder perspectives
Addresses are important for socio-economic gains and good governance in cities and municipalities. However, some countries, including South Africa, experience deficiencies in their address infrastructure. As a result, stakeholders who need addresses and address data to perform their respective mandates need to manoeuvre to find workarounds to overcome these deficiencies. In this paper, we explore the challenges and responses within the South African address infrastructure from the vantage point of governance stakeholders. Findings from semi-structured interviews reveal ambiguity about the need for addressing and uncertainty about its implementation. Adaptive strategies are deployed to overcome governance deficiencies, but these come at a significant cost. To resolve the struggle for an address infrastructure in South Africa, a congruent and coordinated governance approach informed by clear definitions, mandates and responsibilities is recommended. This study represents the first of its kind in capturing insiders’ perspectives on governance-related challenges from the vantage point of addressing stakeholders. The improved understanding of addressing governance challenges paves the way for further research into a transformative way forward for addressing in the country.
Significance:
This deeper understanding of the governance challenges in the struggle for an effective and efficient address infrastructure in South Africa can inform the way forward to a congruent and coordinated governance framework based on clear mandates and responsibilities.
Introduction
An address is structured information that allows the unambiguous determination of an object for purposes of identification and location.1 The maturity of address infrastructures differs from one country to another. In some more developed countries, good governance leads to comprehensive address assignment and availability of up-todate address registers2, while other countries experience ambiguities in addresses3 4 and limited availability of address data5. Often, the cause of addressing deficiencies is linked to historical backlogs, rapid urbanisation, and lack of basic infrastructure, like streets and roads, and names for them. The challenges associated with addressing are global but more widespread in sub-Saharan Africa.6
The state of addressing in South Africa is particularly problematic and undeniably seen as an expression of the country’s apartheid legacy7, because street names and addresses were not allocated to large swaths of the country, specifically, traditional rural villages and urban townships. In post-apartheid times, rapid urbanisation has led to informal settlements without addresses. However, even in some city-regions, the quality of addresses is a concern.8 The backlog in addressing is estimated at about 5 million.9
Despite the availability of South African national address standards since 2009, the struggle with addressing persists. The standards define an address as “an unambiguous specification of a point of service delivery”10 Therefore, an address is the actual location where a service is provided, thus emphasising the important role of addresses in service delivery. These services are postal and utility services, municipal billings and revenue generation, disaster management and emergency response, and opening bank accounts, amongst others. Addresses have also been associated with providing a sense of identity and recognition as a proper citizen.11
Despite general assumptions and the existence of national address databases at different organisations, an authoritative register of addresses in South Africa does not exist.8 Additionally, there is no clarity over stakeholder responsibilities in the governance of addresses and address data8 – the primary concern of this research. The consequences of this were acutely visible during the recent COVID-19 pandemic, during which the lack of awareness and use of national addressing standards in data collection hindered the effective use of addresses in life-saving circumstances.11 To add to the country’s addressing challenges, there is financial distress at the address sources, namely the South African Post Office and the local municipalities.12,13
A systematic literature review revealed the multiple purposes for addresses, and the emergence of new purposes driven by evolving technologies and a growing base of stakeholders, uses and users.14 For South Africa in particular, it was found that, despite a greater demand for addresses due to emerging new purposes, addressing challenges remain a reality and are experienced at various levels of governance.4 A better understanding of barriers and opportunities in the South African addressing infrastructure is therefore needed.8 However, the nature of these challenges and organisational responses from the vantage point of governance stakeholders, have not been investigated to date in any coherent manner. This stated gap in existing knowledge informed the purpose of this paper.
The aim of this paper is twofold. Firstly, we capture addressing challenges in South Africa, and how organisations deal with them, from the vantage point of key governance stakeholders in the public and private sector who need addresses and address data to fulfil their respective mandates and business functions. Secondly, we interpret the stakeholder perspectives with reference to governance, allowing us to identify and describe the nature, strengths, and shortcomings of addressing governance in South Africa. The results contribute to an improved understanding
of governance challenges in the struggle for an address infrastructure in South Africa, and how to overcome these challenges.
A governance perspective
Governance refers to the structures, processes, rules, and traditions that determine how people in societies make decisions, share power, exercise responsibility and ensure accountability.15 A generic definition of governance is: “The sum of rules and regulations, processes as well as structures, justified with reference to a public problem brought about by actors.”16 Good governance is defined as an effective, efficient and reliable set of legitimate institutions and actors engaged in a process of dealing with a matter of public concern; what ultimately lies behind the complex challenge of governance is the increased interdependencies amongst the actors across policy fields.17
Governing starts with the identification of societal problems, which can then shift to finding solutions.18 In this context, problem-solving is not the preserve of a central authority that imposes solutions on subordinate agencies and individuals, but the result of the interaction of a plurality of actors, who often have different interests, values, cognitive orientations and power resources.19 Governance complexity arises from interdependencies and interactions.20 The governance perspective starts from the diversity, dynamics and complexities of the societies to be governed. The concept of interactions is central in the governance perspective; governance issues arise in these interactions and are handled in governing interactions. The governance approach assumes that many of these interrelations are based on the recognition of interdependencies, as no single actor, public or private, has all the knowledge and information required to solve complex, dynamic and diversified societal challenges.20 In other words, governance is fundamentally about change.19 From this perspective, governance is a process by which problems are collectively solved to meet society’s needs.21
First- and second-order governance can be distinguished.22 First-order governance is essentially about power and politics in the larger sense, as the interplay between the exercise of legitimate power and its support endowed by stakeholders, whereas second-order governance is about the rules and regulations needed and how to enact them. Finally, governance is about policy outcomes that result from the first- and second-order governance arrangements. Outcome refers to the extent to which the governance system has brought about a solution, obtained a desired level of goal attainment, and brought about intended outcomes. This reading of governance thus centralises the need to understand stakeholder perspectives and manoeuvres in performing their mandated functions.
Method
A qualitative analysis approach was adopted, which entailed semistructured interviews with addressing stakeholders to capture their unique insights and daily experiences. The interviews focused only on organisational issues from their perspectives. Their individual perspectives on addresses or the lack thereof, as well as how the public uses addresses, were not in the scope of this research. A set of pre-determined open-ended questions was prepared with opportunities for input.23
A purposive sampling approach was used to recruit knowledgeable representatives who work directly with addresses or address data, and who understand the strategic role of addresses in the organisation. Moreover, representatives across the three spheres of government –national, provincial and local – were selected, because each of these spheres has legislative and executive authority functioning in distinctive, interdependent and interrelated roles. Due to time constraints, only urban-based municipal representatives from the Gauteng Province were recruited. This limitation implies that the study’s findings cannot be generalised to all municipalities. To address this bias, we followed a stratified sampling approach by recruiting representatives from national entities who had in-depth experience of addressing and other projects, in both urban and rural settlements. Representatives interviewed were from national entities (5), metropolitan municipalities (3) (i.e. metropolitan), local municipalities (6), and private sector companies (2) that collect, integrate and sell address data and related services. The non-proportional nature of participant involvement is acknowledged, but the intent of the study was exploratory in nature, seeking to obtain nuanced insights from insiders rather than generalisable confirmatory trends. Quantitative proportional analysis was therefore beyond the scope of the study as the aim was to highlight participants’ unique perspectives, i.e. their voices.
Deploying these purposive selection criteria, 21 semi-structured openended interviews were conducted. Upon accepting the interview invitation, each participant signed an informed consent agreement. They also received an interview guide, which covered the purposes, requirements and mechanisms (or systems) for addresses, and considerations towards a transformative way forward for addressing in the country. The guide allowed participants to prepare for the interview so that their responses would be well thought through. This may have reduced the spontaneity of their responses; however, we conducted the semi-structured interview in such a way that participants could freely express their perspectives and opinions. Interviews were conducted over a 7-month period during 2022. All participants preferred scheduled online interviews conducted on Microsoft Teams. Research ethics approval was obtained from the Research Ethics Committee of the Faculty of Natural and Agricultural Sciences at the University of Pretoria.
We approached the data-gathering process with prior thematic understanding of the subject, but the open-ended nature of the questions allowed new categories to emerge inductively as well, therefore following a mixed or hybrid approach.24 The approach meant that we were able to validate our prior knowledge of possible themes (deductive) while allowing other themes to emerge during the interview process (inductive), thus enabling us to capture the unique perspectives of the participants.
The interview scripts were loaded into Atlas.ti (Version 23.3.4.28863). The thematic analysis was data-driven (inductive)25, that is, coded as obtained from the interview responses to all sections of the interview guide. Approximately 300 codes were created and organised into themes and sub-themes that summarise the main outcomes of the study.
r esults
The four themes and nine sub-themes that emerged from the inductive thematic analysis are illustrated in Figure 1 and presented in the subsequent sections. Tables 1–7 show the second order sub-themes
Figure 1: Themes and sub-themes that emerged from the inductive thematic analysis.
(i.e. codes assigned to the responses). A cross (X) indicates that a participant from the respective stakeholder group mentioned a given sub-theme during the interview. The tables, in conjunction with the paragraphs that capture the responses of representatives from the various stakeholder groups, thus reflect unique insider perspectives, i.e. voices of daily lived encounters.
theme 1: there are needs for addresses and address data
Stakeholders generally believe that they need addresses and/or address data to deliver their mandated service. However, there was a distinction between (1) participants who regularly perform activities for which they identified a clear need for addresses, and (2) those who mentioned some uncertainty about the extent to which legislation requires addresses in the execution of their functions, and they also mentioned potential future needs.
there are clear needs
All participants in the local municipality stakeholder group explained that addresses need to be included in the financial system so that bills can be delivered for revenue collection, e.g. addresses are “part and
parcel of the accounts or revenue” of the municipality. They elaborated that addresses are needed for municipal service delivery, the “supply, upgrading and maintenance of municipal services”. Addresses are also seen as important for communication with the public: without an address the “interface with the public will be difficult”. They described the different ways that addresses are integrated into their operating procedures, e.g. when “a township is established then the address is added”; when “the title deeds are issued then the address goes on it”; and when “consolidations and sub-divisions take place”. Addresses are shared with other sections in the municipality, sometimes “in a spreadsheet format”. Respondents acknowledged that addresses are required in terms of various pieces of legislation, e.g. the Municipal Property Rates Act No.6 of 2004 which, for some participants, gives “a mandate for addresses”.
Similarly, participants in the metropolitan stakeholder group responded that addresses are needed for billings and revenue generation. Participants suggested that a proper address ensures delivery of “the bigger mandate”, which is “to deliver services to everyone”. Addresses are also seen as important for digitalisation, which was especially evident during the COVID-19 pandemic when reporting dashboards required addresses to be correct and legitimate. Web portals were created for
various processes conducted face-to-face before the pandemic. A participant referred to the geocodes included with their addresses on the websites, as “online mapping viewers”, which can be used for billing, health care, and in general by the public. Awareness of the legislative requirements for addressing was confirmed, with participants referring to “section 69 of the Local Government Ordinance Act (No. 17 of 1939)”, elaborating that “Council is the authorised body to allocate addresses, from this a Bylaw was done”.
The needs for addresses by national entities are different for each entity. However, all of them mentioned that their needs are based on organisational mandates and objectives, e.g. according to the Electoral Act No. 73 of 1998, for a person to register on the voter’s roll, the address where the voter ordinarily resides needs to be known. Addresses are incorporated into operating processes or organisational value chains, e.g. for statistical data collection, the recruitment system uses addresses to identify fieldworkers within the study area. For participants from utility companies, addresses are a point of service delivery with the main purpose of generating revenue. Most participants spoke about the importance of address data for analysis and data visualisation, e.g. to locate their customers and fix service delivery problems, to conduct gap analysis for more targeted interventions, to aggregate data from the granular level, and to analyse information by location.
Participants from private companies need addresses for the economic (or business or paid) services they offer. For these entities, addresses empower various sectors of the economy to deliver services optimally to their customers. They “source, maintain and sell address data” obtained from municipalities, and create products that provide “property solutions”, “reports” and “analytical services” to various institutions. In fact, they have created a standardised and comprehensive national database of addresses for various institutions, but this does not include addresses in the rural and informal settlements. They raised the importance of addresses for financial risk mitigation and fraud management: “If banks know your address or location, they know your risks.”
there is uncertainty about needs and there are potential future needs
All local municipality representatives perceive addresses to be needed to fulfil various mandates, but there is seemingly uncertainty about how they are needed. Respondents mentioned that the “Spatial Planning and Land Use Management Act (No. 16 of 2013) (SPLUMA) requires addresses; but the act is not explicit on how to use addresses”. There is recognition of the importance of an organisational database of addresses
table 2: Needs about which respondents expressed uncertainty and potential future needs
so that the different sections of the municipality can make use of it, but there is uncertainty about how to implement it.
Metropolitan participants also perceive addresses to be required by legislation, referring to “SPLUMA (No. 16 of 2013)”, and the Municipal Property Rates Act. One respondent, however, highlighted uncertainty about legislative mandates: “We are not certain whether it is legislated from that side, or not.” Another explained that, for property evaluations, they do not need Acts, because they can use postal addresses, aerial photography, or other geospatial information.
Some national entity representatives perceive addresses to be important for the application of the National Environmental Management Act No. 107 of 1998, e.g. for environmental impact assessments, “the land parcels, land administration, and address becomes critical” to specify the location of an intended development. However, uncertainty emerges because others did not recognise the legislative importance of an address for environmental impact assessments.
Regarding future potential needs, respondents perceived the future to be in digitalisation: “smart billing, smart planning, meters that report themselves, the smart city concept”, which requires an adequate address infrastructure. For these observers, the future benefits of address data reside in “data science”, i.e. “we are trying to integrate geospatial information and other data” and “once we have gone through the journey of integration, it will revolutionise how we utilise the address”. Participants from private companies perceived that an address unlocks “future potential to start a business”. These participants felt strongly that addresses are urgently needed for informal settlements: “People living in informal settlements need addresses because these are different players who need to enter the market.”
theme 2: there is no need for addresses and address data
The second theme groups responses as: (1) They can do all their work without addresses; (2) They have other pressing priorities; and (3) They cannot accommodate dysfunctionality any longer. Responses for (2) and (3) were evident only for local municipalities. None of the private company responses was related to this theme.
Three sub-themes emerged for the local municipality stakeholder group. Firstly, some participants felt that addresses are not needed because they can do all their work without an address, as they make use of the surveyor-general code (land parcel identifier). They consider this code to be “more important”, “the main reference”, “a priority”, and that “every property has a code but not necessarily an address”, which enables
table 3: They can do all their work without addresses (except to communicate with the public)
7.
Second order sub-themes
1. they service informal settlements but do not bill them
2. they use the surveyor-general code (or cadastral code or land information code)
3. they use aerial photography and geospatial information
4. they use the postal address
5. Addresses are not needed to achieve their organisational objectives; they are not legally bound regarding addresses
6. the coordinates are becoming more important than the address
them to perform their service delivery mandate. Secondly, due to other pressing priorities, some participants mentioned that they do not need to be concerned with addresses, it is not their mandate: “addresses are low on our priority list compared to other duties like changing land use” and “we have a mandate for land use management”, which indicates that their mandated responsibilities take precedence. Thirdly, participants noted that, due to the dysfunctionality in the addressing infrastructure, they did not need addresses to perform their daily functions. Some participants observed “why do we need addresses if we struggle with the Post Office, mail does not get delivered” and “people don’t collect their mail anymore”.
Metropolitan participants also use address alternatives like the surveyor-general code.
Some national entity participants stated outright that addresses are not needed to achieve their organisational objectives and that they are not legally bound. They admit that location is important, “but location is not an address”. The surveyor-general code “is not cumbersome to use”, but they acknowledged that the public can more easily locate themselves via an address, concluding that “it can be beneficial to start incorporating addresses with our data”. Some participants prioritised coordinates over an address, declaring that “addresses have become less important for us”, because coordinates are used to navigate to the dwelling and the address is only needed for confirmation that people live at that location.
theme 3: there are deficiencies in the address infrastructure
The third theme groups (1) responses that identify governance deficiencies, e.g. the lack of addressing mandates, ownership and policies; and (2) responses that refer to the lack of decision-making and resources which stifles planning and implementation.
there are governance deficiencies
The local municipality stakeholders unanimously responded that they did not have a mandate for addressing because there is no “policy like SPLUMA that regulates addresses”. Most noted that there was no custodian for addressing in the local municipality and, to their
knowledge, there is also not a national custodian. There are no policies imposing the national address standard: “we don’t follow it [the address standard]”. Participants attributed the current conditions to the lack of communication about the standard. Most respondents honestly admitted that their addresses were of poor quality, “not complete”, “not reliable”, “not consistent”, and “not maintained”. Participants also mentioned concerns about confidentiality of address information as per the Protection of Personal Information Act No. 4 of 2013; however, this is only relevant if a person is associated with an address.
Participants from the metropolitan municipalities pointed out that there is no national custodian or requirements for addressing, because “national requirements must come from national sphere”. Stakeholder management for addressing is lacking; for example, a participant mentioned that “in the informal settlements, the ambulance service uses geocodes, we don’t keep record of it, and have no idea who manages it”. Although there are no policies imposing the addressing standard, some metropolitan municipalities make use of the standard because they are aware of it, while others refer to “a spoken standard that we [they] use which started from years back”.
National entity participants pointed out that local municipalities do not have a mandate for addressing: “Nothing compels local municipalities to compile an address database.” Participants question which national organisation is “accountable and responsible for addressing in South Africa”. They acknowledge that there are addressing gaps, because municipalities assign addresses in proclaimed townships only; they do not cover the full extent of their areas of jurisdiction.
Participants from private companies concluded that there is no mandate for addressing at the source (that is, local municipalities), as “not all municipalities include addresses on their valuation rolls”. They were not aware of a national custodian for addressing, nor policies imposing the standard, as data from different sources were structured differently. They observed that address data quality differs between local municipalities and metropolitan municipalities. Participants noted the lack of collaboration – there is a “silo approach amongst the different government departments towards addressing, which detrimentally slows down address assignment”.
Second order sub-themes 1. No national custodian 2. No policies imposing the standard
No mandate for addressing
Confidentiality of address information limits sharing
Lack of communication about the standard
Addresses are poor quality 7. No stakeholder management
8. No custodian at local municipality
9. Gaps in addressing (rural traditional and informal settlements)
10. Lack of geospatial leadership and strategic thinking
11. Negative impacts from other legislation table 4: Governance-related deficiencies identified by respondents
there are planning and implementation deficiencies
Participants from local municipalities observed a lack of cooperation amongst the different sections to keep addresses updated and maintained in a master database. They all mentioned “resources are a problem” and “we struggle to get approvals, commitment and support”. Generally, participants noted that their geospatial data and aerial photography were outdated. They confirmed that layout plans or zoning for informal settlements do not exist.
Metropolitan representatives voiced strong opinions about the lack of implementation of supporting legislation, such as the Spatial Data Infrastructure Act No. 54 of 2003 that should “bring the address community together to deal with the challenges”. Participants noted concern with incomplete national cadastral data with given backlogs in street names and address assignments in former townships and informal settlements.
Some national entity participants expressed frustration because an official national database of addresses is not available. They noted difficulties in implementing supporting legislation – “the implementation of the Spatial Data Infrastructure Act No. 54 of 2003 and the address standard are two things that are very difficult”. Rural traditional and informal settlements are deprived of addresses, which requires intervention.
Participants from private companies also observed a lack of addresses at local municipalities, which makes it difficult for them to “access address data”; and “that’s where we spend [waste] our time”. These participants agreed that “poor quality data needs to be fixed at the source”, and “many municipalities have burnt their fingers with consultants building proprietary systems”.
theme 4: there are adaptions to overcome the deficiencies
This theme reflects adaptions to deficiencies in the address infrastructure: firstly, what the stakeholders themselves do to overcome the deficiencies
in the current address infrastructure, and secondly, what other entities do, which the stakeholders have accepted.
there are organisational adaptions
Generally, participants from local municipalities reported that they are adopting digital communication media like email and short message service (SMS) for service delivery and billings. A participant also explained that the surveyor-general code (land parcel identifier) is also increasingly adopted as the key for all local municipalities: “The cadastral is the backbone of the municipality” and “addresses are additional to it”. It was also reported that adaptions for informal settlements vary, including numbering dwellings on aerial photography and assigning a barcode and coordinates to each dwelling. Some mentioned that, in future, private developers will have to provide street names for new developments, which will go through the municipal approval processes and, thereafter, be included on layout plans.
Participants from the metropolitan stakeholder group mentioned that they have adapted in similar ways, e.g. in informal settlements, only the location of “emergency assembly points” is known and used by other social services like mobile healthcare services.
Except for a few, national entity representatives have included addressing in their organisational mandates so that they can deliver their organisational outputs. However, for some, this approach has come at a cost: “If addresses were available, our funds [could] be used elsewhere.” Participants also mentioned the use of descriptive addresses for rural traditional and informal settlements where cadastral data are not available; others have adapted by not requiring proof of residential address. Participants reported some examples of collaboration: “Stats SA must spatialise the Post Office addresses”, and in return, Stats SA has relied on the Post Office to assign addresses in rural traditional settlements. Most participants indicated that they followed the addressing standard.
table 5: Deficiencies related to the lack of decision-making and resources for planning and implementation
Second order sub-themes
1. Informal settlements are deprived of addresses
2. there are limited resources for addressing
3. No (official) address database
4. Lack of cooperation amongst different sections for addressing
5. Lack of institutional decision-making hampers the implementation
6. Lack of implementation of supporting legislation
7. Lack of street names
8. their geospatial data is outdated
9. the national set of cadastral data is incomplete
10. Geocodes as addresses might not work
11. r esidents in some townships prefer the sur veyor-general code as an address
12. r ural traditional settlements are deprived of addresses
13. there is misalignment of place names
14. there is a lack of address data at the source
table 6: Adaptions to deficiencies by the respondents’ institutions (what they do)
Second order sub-themes
1. they have a way to deal with addressing in formal proclaimed areas
2. they have a way to deal with informal settlements
3. they have adapted to following the address standard
4. they are adopting digital approaches for service delivery
5. the finance section is the keeper of the billings addresses, and town planning the physical addresses
6. they have a way to deal with street naming
7. they have a way to deal with address data disclosure
8. they have a way to deal with not having a national set of addresses
9. they have a way to deal with rural traditional settlements
10. they have included addressing in their organisational mandates and budgets
table 7: Adaptions by other institutions (what others do), accepted by the respondents
1 2 3 4
X X
X
X X
Second order sub-themes
1. there are national entity initiatives
2. there are community-driven initiatives
3. they collaborate
4. they benefit from legislation imposed on the address source
X
Participants from private companies mentioned that they had created national address databases by standardising and integrating address information from municipalities, which is used in the services they offer, and is purchased and utilised by various entities.
there are external adaptions
Participants from local municipalities spoke about community-driven addressing initiatives in informal settlements, e.g. “the community assigns their own addresses” or “when they want to open a bank account, the ward councillor confirms where they are staying”. In the absence of addresses, some national entities have informal settlement initiatives for identifying dwellings or to determine the number of dwellings for service delivery purposes. For example, electricity is supplied and billed by the country’s electricity supply commission (Eskom) who have assigned identifiers for the dwellings they electrify. The National Upgrading Support Programme of the National Department of Human Settlements conducts housing surveys in these settlements using their dwelling identifiers, and the municipality makes use of the census data to learn more about informal settlements.
Metropolitan representatives indicated that they have adapted to using house numbers from national entity initiatives, e.g. numbers assigned by the SA Post Office or Stats SA to informal dwellings, instead of re-assigning different numbers.
Participants from national entities confirmed their use of municipalities’ addresses in proclaimed urban areas, obtained from municipal valuation rolls, and street names supplied by the municipalities. In some municipalities, they have more up-to-date and complete address data than the municipality, especially in rural traditional and informal settlements due to the national projects they conduct. These data are shared with other institutions.
Private companies indicated that they have no influence on how local governments fulfil their responsibilities, but they benefit from addressing-related legislation imposed on municipalities.
Discussion
The addressing struggle reflected in the results section (see Tables 4 and 5) suggests that we are dealing with a matter of public concern17 for which governance is required – “rules and regulations, processes as well as structures”16, to make decisions, share power, exercise responsibility and ensure accountability15 The governance deficiencies observed by our participants reveal the pockets of tension (or sources of problems)20 that have led to the problematic situations they are experiencing.
All stakeholder groups confirmed the need for addresses to advance socio-economic development in the country. Municipalities particularly mentioned the important role of addresses for billing and revenue generation (Table 1). Given that the country’s social and economic challenges are mounting26, such a realisation by all stakeholder groups is a typical characteristic of a societal problem20 in which problem-solving (e.g. tackling the country’s socio-economic challenges) and opportunity creation are a public as well as a private challenge. Therefore, all stakeholder groups should be part of the ‘who’ or the ‘multiple actors or stakeholders’ included in the governance17 of the address infrastructure. However, governance solutions can only be sought after societal problems have been identified.22 While there was agreement that addresses are required in terms of various pieces of legislation (Table 1) and generally needed for socio-economic development, there was also disagreement
about whether addresses are needed or not (Table 3), suggesting that the societal problem related to addressing is not clearly identified and defined. Without a clearly identified problem, deciding who can legitimately resolve the public problem, for whom and how17, is not possible.
Uncertainty about the need for addresses, and potential future needs expressed by participants (e.g. promoting socio-economic development, improving economic outlook, digitalisation, data science, supporting legislation) shown in Table 2, can also be seen as opportunities for organisations and the country. In practice, such opportunities may be realised through governing activities aimed at solving the problem.20 The private sector has already recognised opportunities by providing address data products and services, an example of problem-solving structures already in place20, which could be considered when looking for addressing governance solutions in South Africa.
Addressing in South Africa necessitates governance complexity, arising from interdependencies and interactions20 between the many diverse stakeholders who use addresses for a multitude of purposes, at different levels of government, in different sectors of the economy, and each with varying capacity to cope or deal with addressing. The interview results expose several problems related to first-order governance, namely the interplay between the exercise of legitimate power and its support endowed by stakeholders.22 National entities identified a lack of leadership and vision (Table 4) related to geospatial data at the local government level, but at the same time questioned who should take the lead with addresses at the national level. Thus, there are leadership and vision issues at different levels of government, which will have a knock-on effect on the country’s ability to advance governance of an address infrastructure.
First-order governance challenges are further exhibited by the South African Post Office, which was recently placed in business rescue27, and by local municipalities that were adamant that a mandate for addressing had not been assigned to them (Table 4), and confirmed by national entities that stated that nothing compelled local municipalities to compile a database of addresses. Local municipalities also raised concern about their limited resources for implementing addressing and utilising what limited resources there are for other pressing priorities. National entities and private companies agreed by mentioning that local municipality’s mandate was not empowered, and that addresses required money and skill. The first-order governance question of legitimate power and support by stakeholders is clearly not resolved.
Governance problems also arise if the actors involved in interactions regard certain tensions within and between the different elements of interactions as unwanted and changeable.19 The fact that for some participants work continues, even without addresses (because of dysfunctionality or other pressing priorities), is a sign of problems arising from such tensions.
Interview results also exposed significant challenges in second-order governance, which deals with the rules and regulations and how to enact them. For example, none of the respondents was aware of any policies (rules and regulations) making conformance to the national address standard mandatory. There is a lack of conformance to the address standard amongst the municipalities.8 In this regard, challenges related to the implementation of the South African Spatial Data Infrastructure Act No. 54 of 2003 also have a negative impact on conformance to standards and the availability of address data. A firm decision, strong political leadership and sustainable funding are required to move forward.11
Representatives from the metropolitan stakeholder group reported that addresses are now generally maintained as a corporate-wide resource (although some also mentioned lack of cooperation) and some organisations have incorporated addresses into their operating procedures and organisational value chains – positive evidence of second-order governance. However, a lack of institutional decision-making for address strategy implementation was experienced at some national entities and at local municipalities, where approvals just did not happen, and implementation was stuck, in some cases for years.
Based on the above-mentioned first- and second-order governance challenges, it is no surprise that the desired outcome – resolving the
struggle for addressing – remains elusive. To date, there is no authoritative national address data set (Table 5) to support socio-economic needs, such as voter registration, credit risk assessment, or locating people during disasters. This has resulted in private companies leveraging the business opportunity of selling address data and related services, maintained in parallel and leading to costly duplication and data integrity concerns.7 Respondents also raised concerns about address data quality, with local municipalities admitting that their addresses were not correct and therefore not reliable. In fact, some organisations considered the desired outcome (addresses for their daily functions) to be so undesirable and dysfunctional that they had resorted to other means.
Inadequate road and street networks are a challenge for building effective addressing systems in many developing countries.28 In the case of Ghana, in the absence of a publicly available database of street names, not even at the district or town level, standard geocoding procedures based on street names are almost impossible.6 In South Africa, the absence of streets and street names in some rural and informal settlements continues to hinder establishment of a uniform address infrastructure. Public participation processes at municipal level are often impacted by politics and power play, where it can become so heated that no action is taken, and this is often the case for street naming, and is one reason why settlements do not yet have street names.9
Finally, respondents reflected on innovative and adaptive strategies in the face of undesirable and dysfunctional outcomes (Tables 6 and 7). Some organisations are now implementing addressing standards, even though there are no rules or regulations enforcing this, and others have incorporated addressing into their organisational mandates, legitimising the time and money spent on addresses and address data. Community-driven and collaborative initiatives or assigning (numeric) identifiers instead of (textual) addresses in rural and informal settlements are examples aimed at overcoming shortcomings in the address infrastructure. However, concerns were raised about the costs arising from such adaptions.
Conclusion
In this paper, we have described the nature, strengths and shortcomings of addressing governance in South Africa. We have captured organisational addressing challenges, and how they are dealt with, from the perspective of key governance stakeholders in different spheres of government and the private sector. Semi-structured interviews were conducted to obtain an insider perspective on what addresses are used for, how they are used, challenges that are experienced and how these are overcome in the pursuit of achieving mandates and business functions.
Interpreting the stakeholder perspectives in the context of governance theory allowed us to identify and describe the nature, strengths and shortcomings of addressing governance and accountability concerns in South Africa. Responses confirmed that there is a societal problem related to addressing, but it is not clearly defined, leading to first-order governance issues (e.g. uncertainty about mandates and responsibilities together with accountability), as the issue of legitimate power and support by stakeholders is not resolved. Furthermore, addressing in South Africa necessitates governance – coherence, arising from the interdependencies and interactions of a multitude of stakeholders and address purposes. While there is positive evidence of second-order governance (e.g. addresses are maintained as corporate resources and integrated into value chains), there are also signs of deficiencies in second-order governance (e.g. lack of policies related to addressing), some of which can be overcome by correcting the first-order governance problems. However, other issues – e.g. limited resources, and deadlocks in public participation processes –will require more dedicated interventions. Interestingly, organisations are finding solutions and alternatives in the absence of addresses and address data, but concerns were raised about the costs of these.
The results of our study contribute to a deeper understanding of the governance challenges in the struggle for an effective and efficient address infrastructure in South Africa. From the vantage point of key governance stakeholders, this provides a unique opportunity for the different organisations to better understand the needs, priorities and challenges from each other’s perspectives. This improved understanding
of addressing governance challenges paves the way for further research into a transformative way forward for addressing in the country. As part of this, one needs to understand the role of legislation and accountability in overcoming challenges and facilitating a way forward.
Acknowledgements
We sincerely appreciate participants’ time in explaining their daily experiences with addressing, as well as their frankness and optimism towards this study.
Data availability
The data supporting the results of this study are available upon request to the corresponding author.
Declarations
We have no competing interests to declare. We have no AI or LLM use to declare. Ethical clearance was obtained from the University of Pretoria’s Faculty of Natural and Agricultural Sciences Research Ethics Committee (NAS073/2022).
Authors’ contributions
S.L.: Conceptualisation, methodology, data collection, sample analysis, data analysis, validation, data curation, writing – the original draft, writing – revisions. N.D.: Conceptualisation, student supervision. S.C.: Conceptualisation, student supervision. All authors read and approved the final manuscript.
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27. Mantshantsha S. High court gives nod to Post Office’s business rescue, staving off liquidation amid R2.4bn bailout. News24. 2023 July 10. Available from: https://www.news24.com/fin24/companies/high-court-gives-nod-to-p ost-offices-business-rescue-staving-off-liquidation-amid-r24bn-bailout-202 30710
28. Gah SK, Katsriku F, Gyamfi NK. Using GPS and Google Maps for mapping digital postal addresses. Commun Appl Electron. 2018;7(13):15–20. https:// doi.org/10.5120/cae2018652749
AuthorS: Grizelda van Wyk1 Shaw Badenhorst2
AFFILIAtIoNS:
1School of Geosciences, University of the Witwatersrand, Johannesburg, South Africa
2Evolutionary Studies Institute, University of the Witwatersrand, Johannesburg, South Africa
CorrESPoNDENCE to: Grizelda van Wyk
EMAIL: Grizelda.VanWyk@gauteng.gov.za
DAtES:
r eceived: 13 Jan. 2024
r evised: 24 Mar. 2025
Accepted: 24 Mar. 2025
Published: 29 May 2025
hoW to CItE:
van Wyk G, Badenhorst S. Teaching human evolution: How a museum programme in the palaeosciences improved learner performance. S Afr J Sci. 2025;121(5/6), Art. #17925. https://doi.org/10.17159/sa js.2025/17925
ArtICLE INCLuDES:
☒ Peer review
☐ Supplementary material
DAtA AVAILAbILItY:
☐ Open data set
☒ All data included
☐ On request from author(s)
☐ Not available
☐ Not applicable
EDItorS:
Chrissie Boughey
Nkosinathi Madondo
KEYWorDS: human evolution, inquiry-based learning, informal science learning institutions
FuNDING: None
Teaching human evolution: How a museum programme in the palaeosciences improved learner performance
The teaching of evolution at school level in South Africa was introduced in 2006. However, evolution remains a controversial aspect for school learners in South Africa, and many misconceptions persist among teachers and learners. The study described in this paper sought to investigate whether an interactive palaeosciences university-based museum programme (PUMP) would benefit the examination outcome of learners in human evolution in the Gauteng Province of South Africa. The PUMP made use of sociocultural theory and consisted of inquiry-based activities with casts of hominid skulls and pelvic bones. The Cultural-Historical Activity Theory (CHAT) framework was used as a theoretical framework. Pre- and post-tests were written, before and directly after the activities, and a provincial examination essay question was analysed to see if there was a difference in results between those who attended the PUMP and those who did not. Focus interviews were conducted with learners and teachers. The results of this study indicate that the understanding of human evolution increased following PUMP. This study advocates an inquiry-based approach to the teaching of evolution to learners, preferably at an informal science learning institution such as a museum.
Significance:
• Workshops increased Grade-12 learners’ understanding of human evolution.
• The workshops improved the preliminary examination results of the Grade-12 learners.
• It is recommended that the teaching of human evolution to school learners be supplemented with visits to informal learning centres such as museums.
Introduction
South Africa has a rich fossil heritage.1 However, when the teaching of palaeosciences was introduced into the school curriculum in 2006, it was met with resistance.2 Learners and teachers have many misconceptions regarding the basic principles of biological evolution3, and mistakes in South African school textbooks further perpetuate these misconceptions4. South Africans have some of the lowest rates of acceptance of human evolution5, mostly because of conflicting religious views6 7 and the use of standard forms of instruction8 rather than interactive methods9 such as inquiry-based techniques, application or analysis10. In this paper, we describe a study conducted with schools in the province of Gauteng and the Museum of the Evolutionary Studies Institute (ESI) at the University of the Witwatersrand, Johannesburg (Gauteng), South Africa. The study was launched in 2018 and was aimed at stimulating interest in the palaeosciences. In particular, we sought to investigate whether a palaeosciences university-based museum programme (PUMP) would benefit the examination outcome of learners. The study involved presenting the topic of human evolution as an interactive activity whilst Grade-12 learners from schools in one educational district in Gauteng visited the ESI museum.
Many have suggested that collaborations between schools and informal science learning (ISL) centres had a positive cognitive and affective outcome in school learners and that pedagogical research, where learning takes place in an informal setting, should be pursued.11 For example, natural history museums often have an abundance of information on display12 and inquiry-based activities are successful in helping learners to gain knowledge and meaning about the past13. Such visits encourage learners to ‘see and think’, thus exposing them to ‘thinking skills’ through guided conversation and questions asked by educators and learners. The new information is therefore gained through reasoning, inference and deduction, which enhance learning.14 Sociocultural theory dictates that the interaction with peers, while engaged in an activity, as well as the scaffolding provided by educators, deepens the learning experience.15,16 In the context of South Africa, studies of ISL centres have found that visits by learners improved learning17, with pre- and post-visit sessions by teachers assisting to reinforce an informal learning experience18
Study design
We used a mixed-methods approach.19 Data were collected through pre- and post-tests, examination scripts, observations, focus interviews as well as semi-structured interviews.20 Purposeful stratified sampling21 was chosen. In this type of sampling, the population used in a study is divided by the researcher based on specific characteristics. Then, random sampling is used to represent each subgroup. South Africa has different types of schools, and for this study, two different types of schools were selected: former model-C schools and township schools. Former model-C schools are usually well resourced and perform well22, whereas township schools are usually located in under-resourced communities. The sample used in this study was composed of a total of 13 schools, represented by former model-C (6) as well as township (7) schools.
The study was guided by the third-generation Cultural-Historical Activity Theory (CHAT)23, which links educational theory and practice24 25 CHAT acts as a lens through which research is viewed, and intermediate theories are filters when analysing data.26 The intermediate theories used in this study were sociocultural theory27 and community of practice28. According to Foot29, CHAT is composed of six components. The first component is the subject, the individual or group that performs an activity together to obtain an object or outcome, which is the second component of the activity system. The activity is modified by the cultural and historical influences of the community of the activity system. The third component is the community, which is made up of people who have an interest in the same common object and who participate in the activity system. This temporary activity system exists only while the university and schools are busy with the activity.30 Tools, the fourth component, are used by the subject to achieve the object of the activity system, and could be conceptual or material. The tools are shaped by the needs, values and norms of the culture of the activity system. Rules, the fifth component, regulate the actions of the subject towards the object and community. The university had its own rules and division of labour, while the schools had their own. Sometimes this led to contradictions in the system. The last and sixth component is the division of labour, which relates to the horizontal division of tasks and the vertical division of power, resources and access. The activity system is dynamic and continuously evolving through collective actions.31 Hence, the object is dynamic.32 The activity theory was further developed into a system with two interacting activity systems with a shared object.33 This system is known as the third-generation CHAT. According to Engestrӧm and Sannino34, the internal contradictions within the activity systems drive transformation within the activity systems. The contradictions within and between two activity systems, working on the same object, could be compared. Contradictions are the central driving force of change and development in CHAT35, which are structural tensions within and between activity systems that emerge due to historical developments, systemic mismatches or conflicting motives. More recently, Engeström and Sanino34 developed the fourth-generation CHAT, which focuses on networks of activity systems rather than just
interactions between two systems. It emphasises dialogicality, polyphony (multiple voices) and distributed agency in expansive learning, incorporating globalisation, digital technologies and sociopolitical complexities, highlighting how multiple, interconnected activity systems co-evolve through negotiation and boundary-crossing. Fourth-generation CHAT seeks to address challenges such as global crises, digital transformation and power dynamics by examining how diverse activity systems interact at a broader scale.
We used the third-generation CHAT framework25,36 to investigate the influence of the PUMP on the performance of Grade-12 learners in human evolution in one educational district in the Gauteng Province, South Africa (Figure 1). We also investigated the learners’ views on evolution, as well as the community of practice between the different communities and learners’ views on the PUMP. One of the contradictions of the activity system was the feedback from school principals during the first year that field trips to the university-based museum were costly and impacted teaching time for the final exit examinations.20 This led to a second activity centre where PUMP was taken to schools. Hence, the first activity system is concerned with PUMP at the university-based museum, while the second system is concerned with PUMP at schools. The subject (S) of this activity system is the Grade-12 learners who attended the PUMP. These learners came from schools within one educational district. Second, the community (C) of this activity system consists of the university lecturer (IJM) and assistants, the district Life Sciences Subject Advisor (GvW), teachers and principals of the schools. Third, the rules (R)that govern the activity system are the rules of the university, that of the schools, and the rules and regulations of the Gauteng Department of Education (GDE) when learners go on field trips. Fourth, the tools (T) of this system are sociocultural theory, inquiry-based learning, the nature of science, the university laboratory with fossils and fossil replicas, the museum and the worksheet that the learners completed. Fifth, the division of labour (D) was between the university lecturer (IJM) and assistants, the Subject Advisor (GvW) and the teachers. Sixth, the object (O) of this activity system was to teach human evolution to Grade-12 learners in an effective way to improve their performance. This paper focuses on one of the aspects of CHAT, namely the object.
Figure 1: The third-generation Cultural-Historical Activity Theory (CHAT) design used for this study.
PuMP
The National Diagnostic Report on learner performance on the National Senior Certificate examinations37-39, released by the South African Department of Basic Education, identifies common errors and misconceptions of learners. The PUMP aimed to address these common errors and misconceptions in human evolution.20 The PUMP started at the University of the Witwatersrand with a tour of the palaeontology museum and fossil preparatory division. For the museum part of the study, the PUMP included a worksheet that had instructions for a treasure hunt. Learners were briefed before they started and were then given an hour and a half to search for the different clues in the museum. Afterwards, a feedback session was held with the learners. Thereafter, the learners went to the fossil preparation laboratory where they viewed the extraction of fossils. Lastly, they were exposed to inquiry-based human evolution activities. They had to observe, infer, predict and reach a conclusion.40 For this purpose, the learners had to follow the instructions on the worksheet and investigate artefacts. They measured cast skulls of different primates (Gorilla gorilla, Pan troglodytes, Australopithecus africanus, Australopithecus sediba, Homo naledi, Homo erectus and Homo sapiens), observing and making inferences about skull features such as the size of brow ridges, prognathous, dentition, palate shape, the position of the foramen magnum and cranial ridges. Then the learners, working in groups, had to use their data, compare these skulls and place them in an evolutionary sequence from Gorilla gorilla to Homo sapiens. Further, pelvic bones of three species/genera (Pan troglodytes, Australopithecus and Homo sapiens) were compared to decide which were bipedal, quadrupedal or a transitional species/genus. The three types of stone tools were real artefacts that the learners had to study (Olduvai, Acheulian and Middle Stone Age). The university lecturer scaffolded their learning by discussing each one at the beginning of the workshop, indicating how sophisticated they were.40 The sophistication of the tools was linked to cranium size and cognitive development. Learners then had to decide which species of hominin was most likely to produce each stone tool. Moreover, they had to analyse mutations in shortened DNA sequence fragments of six different species and decide who had the most in common. After this, they had to draw a phylogenetic tree using the information they generated during the workshop. During the activity, at least one mentor was moving between groups and helping the learners.40 Learners had to make inferences at the end of the session which were discussed during the feedback session. Based on input from school principals during the first year of the programme which indicated financial constraints, schools did not visit the university-based museum during the second year of the study. Instead, the university-based museum conducted the inquiry-based activities of the PUMP at schools during the afternoons. The same schools participated during the first and second years of the study.
The learners also wrote pre- and post-tests, which contained the same five questions on human evolution. The pre- and post-tests were piloted on two groups of learners. No questions were left out by any learner during the pilot, and the timing for the tests was found to be adequate. The pre-tests were also checked for questions that were too easy, and there were no questions that were correctly answered by all the learners. Content validity41 is the degree to which questions are representative of all the possible questions that could be asked. Test-retest reliability42 was used to check reliability, with reliable instruments delivering scores that are stable and consistent. The test score should be nearly the same when the test is administered at different times. This study ran over 2 years and multiple groups of learners were tested. The values stayed consistent. The statistical significance of the data was obtained by calculating the p-value using the two-tailed t-test. The p-value indicates the probability that the data was obtained randomly. A critical value (α) of 0.05, which is the value typically chosen by statisticians43, was selected and a p-value smaller than this indicates statistical significance as there is only a 5% chance of the null hypothesis being accepted. The reason for using a two-tailed t-test was that one group of people was tested at a different time, and the sample group was greater than 30.42 The pre- and post-test also had a question in which learners were asked whether humans evolved from other species of animals.
Observational notes were taken and video clips and photos were analysed. Observations were made regarding each learner’s involvement, whether
they asked for assistance, and whether and how they participated in the feedback session. The observational notes were coded inductively and themes were generated. After the workshop, four to six volunteers were asked to participate in a focused interview. They were asked what they enjoyed, what they did not enjoy and if they thought humans evolved from animals. The interview notes were transcribed and coded inductively. Themes were generated which were triangulated with the themes obtained from the observations. Semi-structured interviews were conducted with the teachers and school principals. The teachers were asked what their view was of the workshop. Principals were asked about the logistical impact of the workshop on their school and if they supported learners participating in field trips to informal learning centres. Interviews were also held with museum educators. The researcher and outreach staff reflected on how the PUMP changed over time as a result of feedback from learners, teachers and subject advisors via feedback from the pre- and post-tests, interviews and observations, and whether the changes had had a positive impact on learners’ cognitive, affective and formal academic performance, as well as the participation of the teachers.
The provincial preliminary examination of Gauteng during the first year of the study contained an essay question that addressed human evolution. The question expected learners to describe the characteristics of the skull of Homo sapiens that differentiate them from African apes. Learners had to explain how the differences between the human skeleton and that of African apes result in different modes of locomotion. The following year, the principals of schools in the educational district were asked for permission to analyse the essay question in the question papers. A total of 13 schools still had the scripts available. The group that attended PUMP had a sample size of 246 learners and consisted of five township schools and three former model-C schools. The group that did not attend PUMP had a sample size of 323 learners and consisted of four township schools and one former model-C school. The data from the preliminary examinations were compared using an unpaired two-tailed t-test because two different groups of people were used.
Permission for the study was obtained from the University of the Witwatersrand (HRECN18-04-017), the GDE and the ESI. Learners had to give assent while their parents, teachers and school principals provided consent to be part of the study.20
r esults
Pre- and post-tests
Overall, 687 learners completed both the pre- and post-tests. The highest score for the tests was 7 marks. The results indicated that the performance of the learners improved from the pre-test to the post-test (Table 1), showing the value of the PUMP. The t-test indicated that the difference was statistically extremely significant (p<0.0001, 95%, t = 23.7825, df = 686, standard error of difference = 0.078). The 95% confidence interval (CI) of [–1.68,–1.43] indicated that there was a 95% certainty that the confidence interval contained the true mean of the population. The standard error of the mean (SEM), which evaluates how closely the sample estimates the population, was small, also indicating a more precise estimate.44 When we compared the university with the school-based PUMP (Table 2), the results were similar, indicating that the location of the programme did not affect the outcomes of the preand post-tests. The t-test values for the university-based workshop were p < 0.0001, 95%, t = 18.1862, df = 330, standard error of difference = 0.088, with a 95% CI of [–1.77, –1.43]. For the school-based workshops it was p < 0.0001, 95%, t = 13.3043 df = 276, standard error of difference = 0.110, with a 95% CI of [–1.67, –1.24]. Regarding the question of whether humans evolved from animals, 41% of learners agreed or strongly agreed in the pre-test and this increased to 51% in the post-test. In the pre-test, 26% of the learners neither agreed nor disagreed, and this decreased to 6% in the post-test.
Observations and interviews
Using the answers from all the sources (the interviews at the university museum, at the different schools, and the post-test, n = 714 with some
https://doi.org/10.17159/sajs.2025/17925
learners selecting more than one option), the results indicate four themes obtained from learners on their views of the workshop, supporting the finding that the workshops were beneficial to learners:
• 60% of the learners found the workshop beneficial, learnt new facts and gained a deeper understanding of human evolution.
• 25% of learners found the workshop enjoyable, exciting and interesting.
• 20% of learners found the hands-on workshop with good explanations better than a lecture or using textbooks.
• Only 8% of learners did not enjoy the workshop, got confused, or felt that the school was not a suitable venue.
The benefits of the workshop, as expressed by learners, were also echoed by the interviewed teachers (n = 10 with some teachers selecting more than one option). All the teachers thought the workshop and the hands-on activities were beneficial to the learners. Most of the teachers (90%) referred to the fact that the learners could link what they saw in the workshop to the theory taught at school. Half of the teachers indicated that the learners could refer to the workshop when they were studying for the exams because the learners also took photos of the artefacts. Moreover, 40% of the teachers said the workshop was very educational, and that the lecturer was knowledgeable and able to answer all the questions of the learners. They also found the mediation that he provided in the groups during activities very beneficial. Three teachers indicated that the workshop would help the learners with the exams and that the analytical skills used in the workshop were beneficial. Five teachers were interviewed a year after the workshop, and they were asked whether they saw a difference between the groups that attended the workshop and the groups that did not attend the workshop. All the teachers agreed that the learners who attended understood human evolution better than the ones who did not attend the workshop. In this regard, the learners who attended were better able to visualise the content than the learners who had used only textbooks. The taking of pictures by learners seemed to have helped. One teacher was interviewed on how the workshop at the university differed from the workshop at school. In this case, the learners attended the workshop at the university three years prior and now the workshop was conducted at the school. The teacher responded that while the workshop was beneficial and educational, it was easier to conduct the workshop at school, but some of the enjoyment was lost.
The two types of workshops had their benefits and drawbacks. At the university, the late arrival of the buses negatively affected the workshops; some learners were ill-disciplined and bothered the other university staff; too few teachers joined the school groups, leaving the education team to deal with discipline; bus strikes caused the dates to change; learners missed out on a day of schooling in other subjects; and extramural activities at schools caused learners to leave early. However, the learners were very enthusiastic and energetic, and they enjoyed being in a different environment. The afternoon school-based workshop was more convenient for the schools, but the learners seemed tired and hungry because they had attended a whole day of normal schooling, which required more effor t to keep them focused during the feedback session. As a result, the workshop duration was shortened. The learners also did not have the benefit of seeing the fossil laboratory and museum.45
Preliminary examinations
The schools that attended the PUMP obtained higher marks for the examination question (out of a total of 20 marks) on human evolution, compared to those schools that did not attend (Table 3). An unpaired t-test found that the difference was extremely statistically significant (p < 0.0001, 95%, t = 10.9467, df = 567, standard error of difference = 0.362). The SEM values were small, which indicated a more precise estimate. However, the average scores remained below 50%.
Discussion and conclusion
The outcome of CHAT indicates that the knowledge of learners about human evolution improved after attending the PUMP. The success of this workshop highlights the value of the tools in this activity centre, namely inquiry-based learning, sociocultural theory as well as working with fossils and replicas. Based on a sociocultural theoretical perspective, effective learning is most likely to take place where learners work in groups, solving problems and handling objects under the guidance of an experienced facilitator.16 Furthermore, it enables active participation in the learning process to obtain ownership of the process46 and develop curiosity, interest and a desire to learn47. It is recommended that inquiry-based activities, rather than teacher-centred methods, should be used to enhance the scientific understanding of human evolution by learners.20 The degree of conceptual change could be linked to the degree of active learning.48 Through this process, observation and communication skills will be enhanced, thus allowing learners to connect previously obtained knowledge and experiences to new concepts.
table 2: Comparison of the pre-test and post-test data between the university- and school-based palaeosciences university-based museum programme (PUMP)
table 3: Comparison of examination result between the schools that attended the palaeosciences university-based museum programme (PUMP) and those that did not
table 1: The pre- and post-test results of 687 learners
Teachers often do not have the time, experience or the necessary skills to design these types of learner activities.49 The learners who participated in the study indicated that the university lecturer explained the content well, and some even felt that it was better than a lesson from their teacher at school.20 This finding is supported by Connealy45, who indicated that staff at ISL centres often possessed more in-depth knowledge about some subjects than teachers. For this reason, it is recommended that learners should be taken to a relevant ISL centre to experience these types of interactions. According to Hutson and colleagues50, a field trip with a single focus would likely impact the cognitive skills, knowledge, interests and future careers of learners. They found this to be particularly true for academically challenged learners. Field trips provided opportunities to create connections which would help with understanding classroom concepts and developing an enjoyment of learning and skills.15 51 52 The teachers in the study indicated that learners who were usually troublesome were surprised by their interest and willingness to participate in the PUMP.20 Whitesell52 found that it was most effective for relatively disadvantaged learners and that it could be an important tool for closing gaps in racial and socio-economic achievement in science. The pre- and post-tests used in this study showed that learner performance in both advantaged and disadvantaged schools improved after attending the PUMP. Moreover, those learners who attended the PUMP also performed better in their essay question on human evolution in the preliminary examinations, compared with those learners who did not attend the workshop. As a result, this collaboration with a university-based museum had a positive outcome on the performance of learners in human evolution.
The workshop increased the acceptance of evolution from 41% (n = 595) to 51% following the workshop, even though it was not the purpose of the study to increase the acceptance of human evolution, but rather to improve the understanding of the topic. This increase could be attributed to the hands-on approach of the workshops, in which learners could observe, measure and analyse various aspects, applying analytical techniques. Moreover, facilitation of the workshop by an expert in evolution enhanced the experience. In this regard, Sutherland and L’Abbie7 note that “Even though an acceptance of evolution is positively correlated with understanding evolution, it is not necessary. A person can understand evolutionary theory without accepting it as true.” Teachers still have poor content knowledge concerning human evolution52 and religion and the non-acceptance of evolution is a stumbling block which hinders the understanding of evolution by teachers7. ISLs are valuable tools to address these shortcomings in teacher knowledge as their professional development is positively influenced by visits to these centres. However, all the teachers in this study taught the topic in the required detail and did not have any objections to the teaching of the topic. They seemed happy to be part of the programme, as they felt that they also learnt something new about human evolution. Hence, the workshop also assisted teachers in addressing their misconceptions or understanding of human evolution.20
Currently, not all schools in Gauteng can attend programmes such as the PUMP, and the university staff cannot visit all the schools. To overcome this challenge, several interventions can be considered. For example, Life Sciences teachers must receive training on the content, as well as the pedagogy of teaching human evolution. Common misconceptions of teachers can be identified through surveys, and intervention workshops should be planned around these misconceptions. Teachers in South Africa still have poor content knowledge concerning human evolution.52 Given the complex nature of evolution8, there are many misconceptions regarding evolution and that learners find evolution challenging7. The GDE currently has a teacher professional development programme offering free training, which can be used for such a purpose. Moreover, ISL centres in Gauteng offer exhibitions on human evolution and fossils (e.g. at the University of the Witwatersrand, the Ditsong National Museum of Natural History, Maropeng, Sterkfontein Caves and the Sci-Bono Discovery Centre). It is recommended that the GDE annually promotes school visits to these places.
Acknowledgements
This paper is dedicated to our friend and mentor Dr Ian J. McKay, outreach officer at the Evolutionary Studies Institute at Wits, who passed away in 2022. Without his passion, this study would not have
been possible. He conceptualised this project, procured the funding, managed the project and conducted the workshops. It was a passion of his that all learners should be exposed to the wonderful world of fossils. In addition, we thank the Evolutionary Studies Institute, the University of the Witwatersrand, teaching assistants, the Gauteng Department of Education, the schools, principals, teachers, parents and learners who partook in the study.
Data availability
All the data supporting the results of this study are included in the article itself.
Declarations
We have no competing interests to declare. We have no AI or LLM use to declare. Ethical clearance for the study was obtained from the University of the Witwatersrand’s Human Research Ethics Committee (HRECN18-04-017). Permission to conduct the study was obtained from the Gauteng Department of Education and the ESI granted permission for use of their premises.
Authors’ contributions
G.v.W.: Conceptualisation, methodology, data collection, data analysis, validation, data curation, writing – the initial draft, writing – revisions, project leadership, project management, funding acquisition. S.B.: Data analysis, writing – the initial draft, writing – revisions, student supervision. Both authors read and approved the final manuscript.
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https://doi.org/10.17159/sajs.2025/17925
AuthorS: Manny Mathuthu1
Samuel O.O. John1
Dithole H. Seepamore2 Vincent Maselesele3
AFFILIAtIoNS:
1Centre for Applied Radiation Science and Technology (CARST), North-West University, Mmabatho, South Africa
2National Metrology Institute of South Africa, Pretoria, South Africa
3Steve Biko Academic Hospital, Pretoria, South Africa
CorrESPoNDENCE to: Samuel John
EMAIL: samjoh2014@gmail.com
DAtES:
r eceived: 29 Apr. 2024
r evised: 05 Feb. 2025
Accepted: 19 Feb. 2025
Published: 29 May 2025
hoW to CItE:
Mathuthu M, John SOO, Seepamore DH, Maselesele V. The impact of radiation dose variability on the response of radiophotoluminescence glass dosimeters – an experimental approach. S Afr J Sci. 2025;121(5/6), Art. #17896. https:// doi.org/10.17159/sajs.2025/17896
The impact of radiation dose variability on the response of radiophotoluminescence glass dosimeters – an experimental approach
The dosimetric properties of radiophotoluminescence glass dosimeters (RPLGDs) make them valuable tools for accurately measuring doses in various radiation fields. Over the years, thermoluminescence dosimeters have been used for both personal and environmental monitoring in South Africa, although they have certain limitations. We investigated the exceptional properties of RPLGDs by characterising their response to different radiation doses, using radiation sources of 60Co, 137Cs, and 241Am. The objective was to assess the ability of RPLGDs to be read multiple times without losing the original signal, and to explore their potential to replace TLDs in diverse radiation environments. A substitution method was employed to determine the reference measurements across all radiation source set-ups. In this approach, the RPLGD, serving as the unit under test, was exposed to the same dose as the ionisation chambers, which acted as reference detectors to accumulate the radiation signal, which was then corrected to determine the air kerma and absorbed dose to water. All relevant corrections affecting the unit under test response were applied to the final readings to characterise the RPLGDs, which were compared with the prescribed dose. The findings of this research are valuable to medical facilities and radiation workers as they offer both technical and economic benefits through improving the accuracy and reliability of radiation dose monitoring.
Significance:
• Radiophotoluminescence glass dosimeters (RPLGDs) were successfully characterised with 60Co, 137Cs, and 241Am radiation beams.
• The glass dosimeters were annealed and irradiated at a temperature of 400 °C.
• The RPLGD calibration coefficients, air kerma rate and absorbed dose to water measurements were established.
• RPLGDs are capable of being re-read multiple times without losing any signal.
Introduction
Ensuring accurate radiation dose measurement and delivery across diagnostic radiology, radiation therapy, radiation protection and environmental monitoring is a priority, especially in the fight against cancer and in safeguarding public health and the environment. Radiation dosimetry plays a pivotal role in safeguarding human health and the environment by ensuring accurate dose measurement in a wide array of applications, from cancer treatment in radiotherapy to radiation protection in industrial and environmental settings.1-3 Specialised dosimeters, such as radiophotoluminescence glass dosimeters (RPLGDs), are indispensable tools for quantifying and monitoring radiation doses across these various fields. Dosimetric quantities, such as air kerma and absorbed dose, are used to determine the amount of energy imparted by a radiation beam. Air kerma is a measure of the kinetic energy released to matter
The determination of physical quantities like air kerma and absorbed dose to water requires both the radiation source and measuring instruments. In this study, RPLGDs were employed for calibration purposes. The radiation sources used, as recommended by the International Organization for Standardization (ISO 4037-1), were 60Co, 137Cs and 241Am, with their respective energies of 1252 keV (the mean of 1173 keV and 1332 keV), 662 keV and 59.5 keV.4,5
Ionising radiation can be an invaluable tool for various medical and industrial applications, but it also poses significant risks when it interacts with matter. While harmful to living organisms, radiation has proven beneficial in treatments such as cancer therapy.2 6 To detect different types of radiation, different radiation instruments are used. Different types of radiation – gamma rays, X-rays, beta particles and alpha particles – can deposit energy in matter.7,8 In this study, the focus was on the interaction of gamma radiation with luminescent materials. The material under investigation in this study was the RPLGD, a member of the family of passive dosimeters, which also includes thermoluminescence dosimeters (TLD) and optical stimulated luminescence dosimeters (OSLD).9 We explored the response of RPLGDs to gamma radiation, with an emphasis on the ability of the RPLGDs to measure air kerma and absorbed dose to water. For more than 50 years, scientists have worked on developing RPLGDs. They were first introduced in 1947 with a suboptimal luminescent material and readout technique. However, in 1950, a new RPLGD, using a glass compound as the luminescent material (with a pulsed ultraviolet laser beam to excite the glass compound, thereby causing an orange luminescence to be emitted), was developed to address the limitations of TLDs.10,11
The excitation source was switched from ultraviolet (UV) light to pulsed UV laser beams. When a silver-activated phosphate glass compound of the RPLGD is exposed to ionising radiation, stable colour centres form. These colour centres increase in number as radiation intensity rises. Upon irradiation, the colour centres are excited by a pulsed
Research Article
https://doi.org/10.17159/sajs.2025/17896
UV laser beam, and emit orange light with wavelengths between 600 nm and 700 nm – a phenomenon known as radiophotoluminescence.12 The radiation dose received by glass dosimeters is directly proportional to the intensity of the orange light emitted by the RPLGD. One key advantage of the RPLGDs is that their signal can be read repeatedly without losing the original information, unlike TLDs, which can only be read once.
TLDs are the most widely used traditional passive dosimeters in radiation protection for personal and environmental monitoring. However, TLDs and optical stimulated luminescence dosimeters employ different excitation methods and readout techniques. The luminescent materials that constitute the solid structure of TLDs are typically phosphors, such as calcium fluoride (CaF) or lithium fluoride (LiF). When radiation interacts with the solid crystal, it deposits energy to the phosphor, ionising the material.13 The energy deposited by radiation is retrieved by annealing the dosimeter, exciting the electrons to a higher energy state. The excited electrons then return to the ground state, releasing energy that corresponds to the absorbed dose. However, a major limitation of TLDs is their inability to retain and re-read a signal once it has been read, as the trapped radiation energy dissipates after a single readout. This challenge poses a significant issue in radiation protection and its applications, particularly when repeated dose measurements are required, with high precision. In contrast, RPLGDs offer distinct advantages, including excellent reproducibility of the readout values, long-term stability with fading effects of less than 1% over 30 days, and low energy dependence for photons in the range of 0.03–1.3 MeV. Additional advantages include a good dose linearity (0.00001–0.5 Gy) and the ability to repeatedly read out the dosimeter’s signal, making RPLGDs a promising alternative to TLDs.14 15
In this study, we aimed to address the challenges associated with TLDs by exploring the potential of RPLGDs as an effective alternative passive dosimeter. The primary objective was to develop reference measurements for air kerma and absorbed dose to water for RPLGDs using three radiation sources: 60Co, 137Cs and 241Am. These measurements will support the development of a viable alternative to the limitations posed by TLDs, which are predominantly used in medical facilities and by radiation workers in South Africa, as recommended by the Department of Health (DoH) and the South African Health Products Regulatory Authority. By providing baseline reference data, this study will facilitate the adoption of RPLGDs in medical facilities and among radiation workers in South Africa, addressing the critical issue of signal loss in accumulated radiation dose measurements. The findings of this research are valuable to medical facilities and radiation workers, as they offer both technical and economic benefits through improving the accuracy and reliability of radiation dose monitoring.
Experimental methods
The materials and methods used in this study were based on the procedures developed in the Dosimetry Standards Laboratory of the National Metrology Institute of South Africa in Pretoria. Two reference radiation detectors were employed to obtain reference measurements for characterising RPLGDs. These were the Physikalisch-Technische Werkstatten GmbH (PTW) spherical ionisation chamber (1000 cc) and PTW cylindrical ionisation farmer chamber (0.6 cc). The RPLGD model used was the RPL glass element of the International Atomic Energy Agency (type FD-R1.5(12)-7). A total of 58 RPLGDs were used in this study, each with a diameter of 1.5 mm and a length of 12 mm.
These ionisation chambers served as reference detectors to determine the air kerma rate from three radiation sources: 60Co, 137Cs and 241Am, all of which are located inside irradiators. The RPLGDs were characterised against the reference detectors using the substitution method, whereby ionisation was exchanged with RPLGDs under identical set-up conditions. The Dose Ace reader, capable of reading doses from 0.00001 Gy to 10 Gy (with an extended range of up to 100 Gy), was used to read the glass dosimeters. This reader employs a pulsed UV laser to excite electrons in the RPLGDs. When the silver phosphate glass is excited by the pulsed UV laser, it emits visible orange light (600–700 nm) and returns to its original colour centre. To extract meaningful information from the radiation counts (which are linearly proportional to absorbed radiation), the calibration coefficient for each radiation source per glass
dosimeter and relevant correction factors were applied to the recorded radiation counts.11
experimental set-up
The experimental set-up involved positioning the radiation sources at specific distances from the dosimeters placed in their respective phantoms, based on their activity. The distances were set at 100 cm for the 60Co source, 200 cm for the 137Cs source and 50 cm for the 241Am source, as shown in Figure 1a–f. Two laser beams, mounted on the wall and aligned perpendicular to each other, were used to position the farmer ionisation chamber and the RPLGD.
The calibration coefficient (N D, W) for the 60Co source was obtained from the calibration certificate (No.65 (2023) ion chamber in 60Co, PTW30010-132), which was calibrated in water at the Primary Standards Laboratory at the BIPM (International Bureau of Weights and Measures) in France. The calibration coefficient, (N D, W), was given as 5.32E+07 Gy/C. The farmer chamber has a volume of 0.6 cm3 (or 1 L) and an inner diameter of 6.1 mm. The calibration coefficient (N K) for the 137Cs source was 2.518E+04 Gy/C, as stated in its calibration certificate. The chamber has a volume of 1000 cm3 and a diameter of 140 mm. The calibration coefficient (N K) for the 241Am source was 2.513E+04 Gy/C. The equipment used was verified and calibrated to ensure traceability of air kerma measurements to national and international standards. Additionally, the absorbed dose to water could be traced back to the BIPM.
Before irradiation, the glass dosimeters were annealed at 400 °C for 2 h, then allowed to cool for at least 2 h. This process allowed the electrons to return to the valence band. The background counts recorded after annealing were subtracted from the absorbed radiation counts. After irradiation, the glass dosimeters were pre-heated at 70 °C for at least 1 h in an oven to excite the captured electrons into the conduction band. They were then cleaned in an ultrasonic bath with ethanol to remove any contamination.
A read-out magazine (numbered 018) was used to process the dosimeters. The magazine has 20 positions in which the RPLGDs were inserted for reading. The 20 RPLGDs were irradiated with 2 Gy from the 60Co beam and read in all 20 positions. The global average of all the readings was calculated, and each reading was normalised to the global average.
Prescribed radiation doses used to irradiate rPLGds
Prescribed doses refer to the absorbed dose expected to be read on the RPLGDs after their irradiation with respective radiation sources. Each source has a reference dose, which was used to calculate the calibration coefficient of the glass dosimeter. The reference doses are highlighted in bold in Table 1 for each source.
The calibration coefficient for the glass dosimeter in the 60Co beam was determined for the absorbed dose to water using solid water measurements, with the glass dosimeter placed inside the solid water phantom. The radiation counts obtained when the glass dosimeters were irradiated at a distance of 100 cm, with a prescribed radiation dose of 2.0 Gy, were taken as the reference radiation dose (M ref, 2.0 Gy). The calibration coefficient N RPLGD(60 Co) was calculated using Equation 1:
Equation 1
where M 2.0 Gy is the average of all radiation counts from six glass dosimeters exposed to the reference dose of 2.0 Gy.
The air kerma calibration coefficient (N RPLGD(137 Cs)) for the glass dosimeter with the Perspex rod was calculated using Equation 2. The radiation count obtained when the glass dosimeter was irradiated at 200 cm with a prescribed radiation dose of 0.020 Gy was taken as the reference radiation dose (M ref, 0.02 Gy).
Equation 2
https://doi.org/10.17159/sajs.2025/17896
N RPLGD(137 Cs)
Figure 1: (a) Ionisation farmer chamber set-up in the 60Co source; beam distance 100 cm. (b) Radiophotoluminescence glass dosimeter (RPLGD) set-up in the 60Co source beam. (c) Spherical ionisation chamber set-up in the 137Cs source; beam distance 200 cm. (d) Set-up of RPLGD in the 137Cs source. (e) Spherical ionisation chamber set-up in the 241Am source; beam distance 50 cm. (f) RPLGD set-up in the 241Am source.
table 1: Prescribed doses for the three radiation beams with the corresponding radiophotoluminescence glass dosimeter (RPLGD) number
where M 0.02 Gy is the average of all radiation counts from five glass dosimeters exposed to a reference dose of 0.02 Gy.
Similarly, the air kerma calibration coefficient N RPLGD(241 Am) for the glass dosimeter with the Perspex rod was calculated using Equation 3. The radiation count obtained when the glass dosimeters were irradiated at 50 cm with a prescribed radiation dose of 0.00002 Gy was taken as the reference radiation dose M ref, 0.00002 Gy
RPLGD(241 Am) = M ref, 0.00002 Gy M 0.00002 Gy
Equation 3
where M 0.00002 Gy is the average of all radiation counts from three glass dosimeters exposed to the reference dose irradiated with a prescribed dose of 0.00002 Gy (i.e. the average radiation counts of the three glass dosimeters exposed to the reference dose)
These calibration coefficients were then used to determine the air kerma rate by Equation 4 16
= D t * N RPLGD ( Gy s )
Equation 4
Values in bold are the prescribed reference doses (Gy).
where D is the absorbed dose read from the RPLGD, t is the irradiation time, and N RPLGD is the dosimeter’s calibration coefficient for the radiation source.
temperature, pressure and charge measurements
The detectors used in this study were corrected for temperature and pressure, with humidity monitored under allowable working conditions in the laboratory.17 Temperature and pressure measurements were recorded before irradiation (T1 and P1) and after irradiation (T2 and P2). Equations 5 and 6 were used to obtain interpolated temperature and pressure values, found between two instrument readings indicated on the calibration certificate.
T(° C) = T 1 + T 2 2 T corr
P(mbar) = P 1 + P 2 2 P corr
Equation 5
Equation 6
where T corr and P corr are the temperature and pressure corrections between the reference measurements and the instrument’s readings obtained during calibration.
Equation 7 was used to calculate the temperature and pressure correction factors, with results presented in Table 2
K T,P = 1013.25 P × T + 273.15 20 + 273.15
Equation 7
Charge background measurements were recorded to quantify chamber leakages when the radiation source was off (i.e. pre- and post-irradiation measurements), as well as during irradiation. Background measurements were recorded before and after irradiation correction for any leakage in the ionisation chambers. The averages of the pre-irradiation (Q pre), post-irradiation (Q post) and irradiation measurements (Q irr) were
calculated using Equation 8. The leakage, Q leakage, was obtained from the average of Q pre and Q post Q pre,post,irr(C) = 1 n ∑ i 1 n x
Equation 8
where n is the total number of charge measurements and x i is the individual charge measurement.
The irradiation time T, the ratio of absorbed dose to dose rate, was recorded in seconds, except for the 60Co source, where time was recorded in minutes as entered into the irradiation software. The intrinsic effect was tested using the ionisation chambers, with no signal detected during intrinsic time measurements.
r esults and discussion
Figure 2 shows the magazine corrections plotted against the 20 magazine slots, illustrating the relationship between the corrections applied to the RPLGDs and their respective positions in the magazine. The plot features three distinct curves: the actual data curve (blue), the curve fit (green) and the Gaussian curve fit (red). The actual data curve represents the raw, experimental measurements taken from the dosimeters positioned in various slots of the magazine. The curve fit was applied to the actual data in order to approximate the relationship between the magazine corrections and slot numbers. The curve is based on an algorithm that minimises the difference between the fitted curve and actual data. The Gaussian curve fit (or bell-shaped) was applied and reflects the nature of variation in the magazine corrections across the magazine slots. A second-order polynomial was also fitted to determine the function used in the calculation of magazine correction factors (red curve). The quadratic term ( 0.0004x2) indicates that the correction values follow a parabolic pattern. The linear term (0.0087x) slightly shifts the curve, influencing the slope of the correction values, while
Figure 2: Magazine correction factors for actual data, correction factors and curve fitting.
the constant term (0.9658) represents the baseline correction factor for the central slot (x = 0). The use of the Gaussian curve fit helps to validate that the magazine corrections exhibit a symmetrical, bell-shaped distribution around the central position. This suggests that the RPLGDs’ performance is generally more consistent in the centre slots and deviates towards the edges. This model provides a reliable understanding of how the magazine slot number affects the correction values applied to the dosimeter readings, which is crucial when standardising and calibrating dosimeters across varying slot positions in the magazines. The magazine correction factors are used throughout the measurements for position correction of the magazine reader. These factors played a significant role in optimising the results.
Table 2 shows the temperature and pressure measurements for the 60Co, 137Cs and 241Am sources. The temperature range for the radiation sources is from 18.377 °C to 20.171 °C, while the pressure range spans from 868.40 mbar to 874.46 mbar. The correction factors for temperature and pressure range from 1.1523 to 1.1658. The highest value of temperature was recorded for the 137Cs source, while the highest pressure was recorded for the 60Co source. The relative humidity recorded for the sources was 54.20%RH, 42.40%RH and 50.00%RH, for 60Co, 137Cs and 241Am, respectively. Although the measurements were not corrected for humidity, the temperature and pressure measurements were corrected.
The RPLGDs responded well to the environmental conditions of temperature and pressure. The annealing temperature of 400 °C and subsequent irradiation were sufficient for appropriate characterisation of the RPLGDs. The importance of temperature and pressure measurements is central to the sensitivity of the glass dosimeter, which aligns with the findings of Sato et al.15
Figure 3 shows the charge measurements recorded pre- and post-irradiation for the radiation sources for the ionisation chamber and RPLGDs. The average charge (Q irr) collected from the sources ranged
from 1.31750E-10 C for 241Am to 7.24740E-9 C for the 60Co source, indicating a reasonable charge range for detection by the RPLGD. The wide range of charges observed reflects the varying intensity of the radiation fields generated by each source, as well as the sensitivity of the RPLGDs to these radiation levels.
The corrected charge measurement values for the sources, with respect to the RPLGDs, ranged from 1.532E-10 C for 241Am to 1.047E-09 C for 137Cs. These corrected values provide a more accurate reflection of the dosimeter’s response to radiation, considering potential influences such as environmental factors, detector calibration, and other adjustments.
It is worth noting that the negative charge values are consistent with the expected behaviour of ionisation chambers and RPLGDs, which generate a negative charge when exposed to ionising radiation. The relatively higher charge for the 60Co source compared to 241Am can be attributed to the higher energy and intensity of the 60Co radiation, which resulted in greater ionisation and, therefore, a higher recorded charge.
The charge measurements are critical for determining the dose rates for each radiation source. The relationship between the charge collected and the radiation dose rate is well established, and these charge measurements provide essential data for calculating the absorbed dose delivered by the radiation sources. The results are further used to determine the dose rate for the various radiation sources in relation to the RPLGDs, which is key for evaluating the dosimeter’s accuracy and effectiveness.3 The subsequent calculations and analysis will help assess the feasibility of using RPLGDs as a reliable alternative to traditional dosimetry methods, particularly in clinical settings.
Additionally, comparing the charge measurements from the ionisation chamber and the RPLGDs allows for an evaluation of the consistency and reliability of the RPLGDs. If the charge measurements between the two methods are consistent, it would support the case for using RPLGDs
table 2: Temperature and pressure for the radiation beams
Figure 3: Results of pre- and post-irradiation charge measurement for various sources on the radiophotoluminescence glass dosimeter.
in routine dosimetry applications. If discrepancies are observed, further investigation into the sources of error, such as calibration or environmental factors, would be necessary.14
The charge measurements serve as a critical component in validating the performance of the RPLGDs in relation to traditional ionisation chambers, providing valuable insight into suitability for practical dosimetry applications.10
The charges measured were used to obtain the dose rate for the various sources and in relation to the RPLGD.
Figure 4 shows the irradiation times and corresponding prescribed doses for various sources on the RPLGD, demonstrating the optimised response of the glass dosimeter. The results indicate that 60Co yielded higher irradiation times (in seconds), corresponding to its higher radiation levels, while 241Am presented shorter irradiation times, also measured in seconds. The compatibility of the measurements with the time, along with the re-read results, confirms that the RPLGD is sufficiently sensitive to be used in place of TLDs, thereby addressing their limitations.
The dose rate and corrected charge (Q) for the respective sources on the RPLGD are 0.538 Gy/s, 8.38463E-09 C for 60Co, 8.785E-08 Gy/s, 1.04666E-09 C for 137Cs, and 6.416E-07 Gy/s, 1.53186E-10 C for 241Am. The values are presented in a simplified format for ease of calculating the time set on the irradiator during RPLGD irradiation. As expected, 60Co had the highest dose rate, while 241Am had the lowest. The results align with the prescribed doses and source strengths of the radiation sources used. Furthermore, the corrected charge values show negligible error percentages, indicating improved accuracy in the charge measurements.
The calibration coefficients of the RPLGDs were determined using Equations 1–3, with the radiation counts taken at the reference doses of 2.0 Gy (for 60Co), 0.02 Gy (for 137Cs) and 0.00002 Gy (for 241Am). The mean values of the calibration coefficients, along with their respective uncertainties, were found to be 9.347E-07 ± 4.030E-09 Gy/C for 60Co, 7.962E-07 ± 6.048E-10 Gy/C for 137Cs and 2.056E-08
± 5.323E-11 Gy/C for 241Am. It is noteworthy that the calibration coefficients for the farmer ionisation chamber, which was calibrated in water for the radiation sources, were found to be higher than those of the RPLGD. This suggests that the RPLGD has a unique property that enables it to measure very low radiation doses, as low as 0.00001 Gy, owing to its higher sensitivity compared to the ionisation chamber.
Table 3 summarises the absorbed dose and the air kerma rate measured for the RPLGDs under irradiation from the three radiation sources: 60Co, 137Cs, and 241Am. The table shows the results for each RPLGD, along with the corresponding uncertainties at k = 2, based on measurements of absorbed dose (Gy) and air kerma rate (Gy/s).
From Table 3, the absorbed dose values for 60Co, 137Cs, and 241Am radiation sources show a clear trend in increasing values with respect to the radiation energy and exposure levels. For 60Co, the absorbed doses range from 0.1990 ± 0.005 Gy to 9.1475 ± 0.210 Gy with air kerma rates of 1.41E-08 Gy/s. Similarly, for 137Cs, the absorbed doses range from 0.0099 ± 2.49E-04 Gy to 0.0415 ± 1.67E-04 Gy, with corresponding air kerma rates ranging from 6.94E-12 Gy/s to 7.25E-12 Gy/s. For 241Am, the absorbed doses ranged from 1.91E-05 ± 1.15E-07 Gy to 13.46E-05 ± 6.66E-07 Gy, with air kerma rates ranging from 4.54E-16 Gy/s to 4.57E-16 Gy/s.
The data show a high level of consistency between the absorbed doses measured by the RPLGD and the prescribed doses for the three radiation sources. The uncertainties at k = 2 were minimal, confirming the excellent precision of the RPLGD. The R2 value of 0.971 indicates a strong correlation between absorbed doses and air kerma rates, suggesting a good overall response from the RPLGD. The air kerma rates calculated for the different radiation beams, as presented in Table 3 (columns 3, 5 and 7), show similar values for each respective radiation source. The average air kerma rates for each source are as follows: 1.40E-08 ± 1.60E-10 Gy/s for the 60Co radiation beam, that of 137Cs is 7.04E-12 ± 1.10E-13 Gy/s and that of 241Am is 4.75E-16 ± 1.76E-17 Gy/s. These values reflect the different radiation energies associated with each source, as well as the prescribed doses. The RPLGD consistently provided accurate and sensitive measurements, even at very low dose
Figure 4: Irradiation times and corresponding prescribed doses for various sources on the radiophotoluminescence glass dosimeters (RPLGDs).
table 3: Absorbed dose (Gy) and air kerma rates (Gy/s) with their respective uncertainties (k = 2) for the various radiation beams on the radiophotoluminescence glass dosimeters (RPLGDs). Reference to the prescribed radiation dose is given in Table 1.
1
2
3
4
5
6
7
8
9
levels, demonstrating its potential for use in radiation monitoring and dosimetry applications. Therefore, it can be concluded that the RPLGD demonstrated excellent performance in measuring absorbed doses and air kerma rates for 60Co, 137Cs and 241Am radiation sources. Its ability to measure low doses accurately, its high sensitivity, and repeatable readings make it a strong alternative to traditional dosimetry methods, such as ionisation chambers and TLDs. The data obtained from RPLGDs align well with the prescribed radiation doses, further supporting their use in precise radiation monitoring applications.
Conclusion
The characterisation of RPLGDs was aimed at quantifying their response when exposed to gamma radiation from 60Co, 137Cs and 241Am sources. This study stemmed from the use of TLDs, which are widely employed by radiation workers in South Africa. The use of TLDs is mandated by the South African Health Products Regulatory Authority (SAHPRA) to ensure proper radiation monitoring of workers handling radiation sources in their activities.
When the RPLGDs were exposed to various radiation doses from different radiation beams, with correction factors applied to all parameters with significant influence, the final measurement results were found to be in close agreement with the prescribed doses. The successful characterisation of RPLGD using 60Co, 137Cs and 241Am radiation beams has been demonstrated, with calibration coefficients, air kerma rates, and absorbed dose to water measurements all being established.
The traceability of the reference measurements was ensured by utilising the calibration coefficients of ionisation chambers, which provided the foundation for the reference measurements used in the characterisation of the glass dosimeters for air kerma and absorbed dose to water. Reference detectors were employed to determine the dose rates at the prescribed reference distances, which in turn facilitated the calculation of the necessary irradiation times for the RPLGDs. This process highlighted the unique properties of the RPLGDs studied, especially in terms of their sensitivity and reliability.
Based on the results, the RPLGDs demonstrated excellent response characteristics and were capable of being re-read multiple times without any noticeable signal loss, showcasing their robustness and accuracy. This suggests that RPLGDs hold great promise for long-term radiation monitoring applications.
Further studies will focus on exploring the energy dependence of the RPLGDs, investigating the fading effects, and evaluating the long-term
stability and depletion of the dosimeters. These investigations will further contribute to enhancing the dosimetric performance and expanding the practical applications of RPLGDs in radiation monitoring.
Acknowledgements
We acknowledge the National Metrology Institute of South Africa (NMISA) for providing access to equipment and facilities for the experiment and the International Atomic Energy Agency (IAEA) for providing the radiophotoluminescence glass dosimeters.
Data availability
The data supporting the results of this study are available upon request to the corresponding author.
Declarations
We have no competing interests to declare. ChatGPT was used to correct spelling and grammatical errors.
Authors’ contributions
M.M.: Conception and design of the study, data collection, data analysis, supervision. S.O.O.J.: Conception and design of the study, data analysis, writing – the initial draft. D.H.S.: Conception and design of the study, data collection, data analysis, writing – the initial draft. V.M.: Conception and design of the study, data collection, data analysis, supervision. All authors read and approved the final manuscript.
r eferences
1. International Atomic Energy Agency (IAEA). Radiation protection and safety of radiation sources: International basic safety standards. No GSR Part 3. Vienna: IAEA; 2014. https://doi.org/10.61092/iaea.u2pu-60vm
2. Vaz P. Radiation protection and dosimetry issues in the medical applications of ionizing radiation. Radiat Phys Chem. 2014;104(1):23–30. https://doi.org /10.1016/j.radphyschem.2014.02.007
3. Adlienė D, Adlytė R. Dosimetry principles, dose measurements, and radiation protection. In: Sun Y, Chmielewski AG, editors. Applications of ionizing radiation in materials processing. Warsaw: Institute of Nuclear Chemistry and Technology; 2017. p. 55–80.
4. Dietze G. Dosimetric concepts and calibration of instruments: International Radiation Protection Association (IRPA) [document on the Internet]. c2001 [cited 2023 Jun 18]. Available from: https://www.irpa.net/irpa10/pdf/E03.pdf
5. International Organization for Standardization (ISO). X and gamma reference radiation for calibrating dosemeters and dose rate meters and for determining their response as a function of photon energy: Radiation characteristics and production methods [document on the Internet]. c1996 [cited 2025 Jan 31]. Available from: https://www.iso.org/obp/ui/#iso:std:iso:4037:-1:ed-1:v1:en
6. Hooshang N, Shuzo U, Dimitris E. Interaction of radiation with matter. New York: CRC Press; 2012. https://doi.org/10.1201/b12109
7. John SOO, Usman IT, Akpa TC, Abubakar SA, Ekong GB. Natural radionuclides in rock and radiation exposure index from uranium mine sites in parts of Northern Nigeria. Radiat Prot Environ. 2020;43(1):36–43. https://doi.org/1 0.4103/rpe.RPE_7_20
8. Mathuthu M, Uushona V, Indongo V. Radiological safety of groundwater around a uranium mine in Namibia. Phys Chem Earth. 2021;122(1), Art. #102915. https://doi.org/10.1016/j.pce.2020.102915
9. Akselrod M, Bøtter-Jensen L, McKeever S. Optically stimulated luminescence and its use in medical dosimetry. Radiat Meas. 2006;41(1):S78–S99. https:/ /doi.org/10.1016/j.radmeas.2007.01.004
10. Rah J-E, Hong J-Y, Kim G-Y, Kim Y-L, Shin D-O, Suh T-S. A comparison of the dosimetric characteristics of a glass rod dosimeter and a thermoluminescent dosimeter for mailed dosimeter. Radiat Meas. 2009;44(1):18–22. https://doi .org/10.1016/jradmeas.2008.10.010
11. Seepamore DH. Quantification of radio-photoluminescence glass dosimeter with different radionuclide beams [MSc dissertation]. Mmabatho: North-West University; 2021. Available from: https://repository.nwu.ac.za/bitstream/hand le/10394/38202/18029701%20seepamore%20dh.pdf?sequence=1
12. Miyamoto Y, Takei Y, Nanto H, Kurobori T, Konnai A, Yanagida T, et al. Radiophotoluminescence from silver-doped phosphate glass. Radiat Meas. 2011;46(12):1480–1483. https://doi.org/10.1016/j.radmeas.2011.05.048
13. Weihai Z, Weiqi L, Guoying Z, Gang H, Guocai M. Comparisons of dosimetric properties between radiophotoluminescent glass rod detector and thermoluminescent detectors [document on the Internet]. c2007 [cited 2025 Jan 31]. Available from: https://www.osti.gov/etdeweb/biblio/21118320
14. Huang DY, Hsu S-M. Radio-photoluminescence glass dosimeter (RPLGD. In: Gali-Muhtasib H, editor. Advances in cancer therapy. London: InTechOpen; 2011. p. 553–568. https://doi.org/10.5772/23710
15. Sato F, Zushi N, Nagai T, Tanaka T, Kato T, Yamamoto T, et al. Development of radiophotoluminescence glass dosimeter usable in high temperature environment. Radiat Meas. 2013;53–54(1):8–11. https://doi.org/10.1016/j. radmeas.2013.03.016
16. International Atomic Energy Agency (IAEA). Dosimetry in diagnostic radiology: An international code of practice. TRS No. 457 [document on the Internet]. c2007 [cited 2025 Jan 31]. Available from: https://www.iaea.org/ publications/7638/
17. South African National Accreditation System (SANAS). TR 18-02 [document on the Internet]. c2014 [cited 2025 Jan 31]. Available from: https://www.san as.co.za/Publications%20and%20Manuals%20Files/TR%2018-02.pdf
https://doi.org/10.17159/sajs.2025/17896
AuthorS: Cleopatra T. Dube1 Hope Baloyi2
AFFILIAtIoNS:
1Centre for Rubber Science and Technology, Department of Chemistry, Nelson Mandela University, Gqeberha, South Africa
2Department of Chemical and Materials Engineering, University of South Africa, Johannesburg, South Africa
CorrESPoNDENCE to: Hope Baloyi
EMAIL: baloyh@unisa.ac.za
DAtES:
r eceived: 28 Feb. 2024
r evised: 28 Jan. 2025
Accepted: 28 Feb. 2025
Published: 29 May 2025
hoW to CItE:
Dube CT, Baloyi H. Co-combustion of tyre waste char and biomass blends using thermogravimetric-mass spectrometric analysis. S Afr J Sci. 2025;121(5/6), Art. #18082. https:// doi.org/10.17159/sajs.2025/18082
ArtICLE INCLuDES:
☒ Peer review
☐ Supplementary material
DAtA AVAILAbILItY:
☐ Open data set
☐ All data included
☒ On request from author(s)
☐ Not available
☐ Not applicable
EDItorS: Michael Inggs† Thywill Dzogbewu
KEYWorDS: microalgae, tyre char, ternary blends, CO2 emission, cleaner combustion
FuNDING: South African National Research Foundation (UID: 116683)
Co-combustion of tyre waste char and biomass blends using thermogravimetric-mass spectrometric analysis
Tyre waste chars from pyrolysis are a potential fuel source due to their attractive energy properties and high carbon content. However, the high concentration of sulfur in tyre char and the release of carbon dioxide (CO2) when burned prevent its use as a fuel. In this study, Scenedesmus microalgae and torrefied pine wood waste were blended with tyre waste chars. Blending was done at varying biomass ratios. The aim was to evaluate the effects of biomass additions on tyre char combustion characteristics and gas emission resultants using the thermogravimetry-mass spectrometry method. Results show that the combination of biomass with tyre char significantly affects the physicochemical properties of the tyre char. Biomass enhances the combustion characteristics of tyre char. Ternary blends with optimised proportions of microalgae led to higher burnout temperatures and prolonged combustion phases. Torrefied wood–tyre char blends at a 90:10 ratio showed higher rates of CO2 evolution, but adding torrefied wood at 15–20 wt% and increasing microalgae from 4 to 11 wt% reduced CO2 emissions. The experimental results show that tyre char could be a potential combustion co-fuel with biomass feedstock and suitable for clean combustion applications. The study emphasises the critical role of incorporating clean, renewable biomass sources in mitigating gas emissions during the combustion of tyre waste chars, thereby promoting the sustainable utilisation of carbon resources. Additionally, the integration of biomass to enhance the usability of tyre waste chars presents a promising opportunity to improve the economic viability of the waste tyre pyrolysis process.
Significance:
Tyre char is a waste by-product from the pyrolysis of waste tyres. It possesses good energy properties and can be used as a fuel, but its combustion is undesirable due to the generation of carbon dioxide during combustion. The blending of tyre char with biomass material influences the physicochemical properties of tyre char and can have a consequent effect on the combustion characteristics of these chars. The addition of microalgae and torrefied wood at various blending ratios had a significant influence on the reduction of CO2 emission patterns in the tyre char–biomass blends. Tyre char–biomass blends can be considered for cleaner combustion processes.
Introduction
The by-product of waste tyre pyrolysis is known as tyre pyrolysis char and presents an inescapable environmental challenge due to its detrimental impact on both health and the environment if left unattended after the tyre pyrolysis process.1 Consequently, there has been a growing need to explore viable methods for repurposing these pyrolytic chars, promoting environmental sustainability and enhancing the economic viability of the waste tyre pyrolysis process.1,2 The focus of many studies has been on recycling and upgrading waste tyres to create products that can replace commercially available carbon black.1 2 In addition, researchers have explored thermal treatments for tyre chars to remove impurities and enhance their physicochemical properties, thereby elevating their potential as substitutes for carbon black in high-value applications.1
Tyre chars are also considered a viable option for energy production as they can serve as a solid fuel source for heat and energy generation in various industries, including cement factories.3-5 The potential utilisation of tyre pyrolysis char for fuel purposes is attributed to its high calorific value and carbon content, as well as its chemical composition that is comparable to coal chars.3 6 However, the practical use of tyre pyrolysis chars as a combustion fuel has been hindered by a combustion process characterised by extended residence times at high temperatures and the generation of large amounts of carbon dioxide (CO2).6 7
Additionally, the tyre chars contain significant levels of retained sulfur (2 wt%) and heavy metals that could be released during combustion.1,7,8 An effective strategy to overcome the limitations that prevent the utilisation of tyre chars as a fuel feedstock is the blending and co-firing of tyre char with environmentally friendly and carbon-neutral bio-renewable resources, such as aquatic and woody biomass. This approach offers several advantages, including the elimination of the need for extensive treatment or purification processes, such as leaching or thermal treatment, to produce activated carbons from tyre char.1 7 8 Aquatic biomass, including microalgae biomass, has been successfully used in the blending and co-combustion of solid fuels such as coal.9 Microalgae offer an attractive feature in fuel blending by reducing the ash and sulfur content by enhancing the combustion characteristics of the fuel mixture.10-12
Another promising feedstock for co-combustion with waste tyre char is torrefied biomass. Torrefaction significantly reduces the moisture content in biomass materials, whether they are of woody or herbaceous origin. This reduction in moisture content limits biological activity (such as rotting), leading to improved shelf life and higher energy density. As a result, torrefied biomass exhibits higher calorific values compared to raw biomass.13 14 The co-processing of waste tyre chars with renewable biomass offers a promising solution to address environmental
2025 https://doi.org/10.17159/sajs.2025/18082
and energy challenges. This innovative approach not only reduces the reliance on fossil fuels but also mitigates the waste disposal issues associated with tyre pyrolysis by-products, specifically waste tyre char. The integration of these materials can significantly enhance waste tyre management, improve the economic viability of tyre utilisation and tap into the energy potential of biomass sources.
In several studies, various researchers investigated the combustion characteristics of solid fuels and biomass combinations using thermogravimetric analysis. Xinjie et al.15 found that adding biomass to highvolatile bituminous coal increased reactivity during combustion, especially compared to low-volatile anthracite coal. Magida et al.11 explored coal–microalgae blends and observed that higher microalgae ratios lowered ignition and burnout temperatures, resulting in reduced emissions of CO2, NO2, SO2 gases and oxides of nitrogen (NOx). Ye et al.9 noted that microalgae enhanced coal combustion by providing additional heat. Ejesieme et al.12 observed interactions among different fuels, with coal–microalgae and coal–charcoal blends showing synergistic behaviour.
Mundike et al.16 found that blending plant char with coal decreased burnout temperatures and improved coal combustion. Jayaraman et al.17 studied coal–biomass blends and reported increased reactivity and lower burnout temperatures with higher biomass ratios. In a recent study by Qiao et al.6 that focused on the combustion characteristics of tyre chars and changes in combustion products in comparison to various coal types, it was found that tyre char can be a potential substitute fuel for coal coke and semicoke because of its reactivity and high calorific values. Slyusarasky et al.18 analysed the co-combustion characteristics of tyre char/peat and tyre char/pine sawdust. Their findings showed that biomass additions to maximum loadings (15 wt%) could enhance the reactivity of the chars and significantly decrease the ignition delay times at heating medium temperature in a combustion chamber. Also, the use of biomass as an additive could substantially reduce the emission of sulfur dioxide. The literature findings highlight the positive impact of biomass on solid fuel combustion and emphasise the need for further research on the blending effects of biomass on tyre pyrolysis char.
To our knowledge, no prior study has investigated the co-effects of aquatic and ligneous biomass on the combustion characteristics of tyre waste chars. This study explores the use of microalgal and torrefied biomass as additives to tyre chars to form fuel blends. In this study, Scenedesmus microalgae and torrefied pine wood waste were blended with tyre waste chars. Blending was done at varying biomass ratios. Thus, the objectives were to (1) prepare different formulations (fuel blends) of char and biomass and characterise these and the raw samples for their physicochemical properties, to study the effects of biomass ratio on the physicochemical properties of tyre waste char and (2) carry out the combustion tests on the raw and blended samples using a thermogravimetry-mass spectrometry, to study the combustion behaviour of the blended samples. The aim of this study was therefore to evaluate the effects of biomass additions on tyre char combustion characteristics and gas emission resultants using the thermogravimetry-mass spectrometry method. The high sulfur content in tyre char and the release of CO2 during combustion limit its viability as a fuel source. Co-combustion with clean, renewable biomass sources is intended to enhance the combustion characteristics of the char while contributing to the reduction of gas emissions.
Experimental
Origin and preparation of samples
A fine granular tyre char sample (250 μm) was obtained from a South African company. A representative sample of the char was pulverised on a Keegor vertical spindle pulveriser to a particle size of sub-250 μm and sieved to obtain a sub-150 μm sample that was stored in an airtight container. Pinewood waste (purchased from a local store in Gqeberha, South Africa) was torrefied in a fixed bed reactor at 320 °C, at atmospheric pressure, in an inert environment at a constant flow rate of 400 mL/min. A representative sample of torrefied wood was prepared in the same manner as the tyre char. A microalgae Scenedesmus sp. sample was obtained from the Institute of Chemical Technology (InnoVenton). The microalgae were cultivated in the integrated vertical column photo-bioreactor-raceway cultivation system. The microalgae
were then harvested and concentrated through sedimentation as reported by Gaqa and Watts10. The biomass was harvested by concentrating the microalgae slurry in the growth medium using natural settling in a settling pond overnight and returning the top layer of the growth medium to the cultivation system. Thereafter, the concentration of microalgae (on a dry weight basis) was determined as the mass of dry microalgae in grams per gram of slurry harvested.
Microalgae slurry was used for the blending experiments with tyre char and torrefied wood. However, for analysis purposes, the microalgae slurry was lyophilised in a Vacutec freeze drier connected to a 2XZ-2 rotary vane vacuum pump for at least 72 h until the sample had reached 25 °C. The freeze-dried sample was then crushed into flakes using a mortar and pestle and stored in an airtight container. A total of 14 mixtures, including four duplicates, were prepared using a D-optimal mixture design. The lower and upper limits for the mixture design were as follows: tyre char 55–90 wt%; torrefied wood 10–30 wt% and microalgae 0–15 wt%. These limit ranges were selected to ensure that the tyre char was the main feedstock in the blend and to ascertain that only the minimum required amounts of torrefied wood and microalgae were used, to be able to study their effects on the combustion characteristics of the tyre char The tyre char and torrefied wood blends were homogenised using a mixing rod and continuously stirred in a container, whereas the mixtures of tyre char, torrefied wood and microalgae slurry were stirred continuously at 100 rpm using a Heidolph RZR 2041 stirrer and centrifuged using HEMLE Z-383 (Lasec SA) at 4500 rpm, for 15 min to ensure that the microalgae slurry was well mixed with the tyre char and torrefied wood. The ternary mixtures were oven dried overnight at 105 °C. The dried samples were then ground with a mortar and pestle. All mixtures were screened and sieved to a sub-150 μm particle size and stored in an airtight container
Characterisation of parent fuels and char–biomass blends
All samples were analysed for physical and chemical properties. The proximate analysis was conducted according to the ASTM 7582 standard methods (using an ELTRA Thermostep macro TGA). The ELTRA Thermostep TGA has an integrated programmable furnace, weighing balance and heating program. It performs an automated proximate analysis that determines the weight percentages (wt%) of the volatile matter content at 900±20 °C for 7 min and the ash content at 750 °C for 2 h, which is preceded by the moisture analysis at 105±2 °C for 1 h. The fixed carbon is then calculated by difference. For each analysis, 1 g of sample was weighed and analysed. The ultimate analysis was conducted to determine the percentages of weight (wt%) of carbon (C), hydrogen (H), nitrogen (N) and sulfur (S) according to ASTM D3176 using the Vario EL Cube. The elemental content was determined by combusting 5 mg of the sample at 1150 °C. The calorific values of the raw and mixed samples were measured with a LECO AC 600 bomb calorimeter using the TruSpeed® method (ASTM D5865).
The PANalytical Epsilon 3 X-ray fluorescence instrument was used for the identification and quantification of inorganic elements present in all samples (5 g of each sample). Micromeritics Instrument Corporation (TriStar II 3020) analyser was used to determine the surface areas of the parent samples using N2 adsorption.
thermogravimetric analyses
Thermogravimetric analysis of the samples was performed using the TGA 5500 Discovery series coupled with a bench-top quadruple mass spectrometer. About 5 mg of the powdered sample was contained in platinum plates and subjected to combustion under air. The sample was heated at 10 °C/min from ambient to 650 °C, and the airflow rate was maintained at 50 mL/min.
results and discussion
Physicochemical properties of the parent fuels and char blends
The results of the proximate and ultimate analysis of the parent fuels and the blended char–biomass samples are shown in Table 1. The results show the average values and uncertainty (+/ ) values at a 95%
table 1: Physicochemical properties of the raw and blended char samples
confidence interval. The fixed carbon and oxygen were calculated by difference. The proximate analysis results revealed that tyre char is characterised by a low volatile matter content. However, the addition of high volatile biomass contributed to the marked increase in the volatile matter content of the resulting mixtures (ranging from 13.9 wt% to 24.5 wt%) as biomass loadings increased. Furthermore, the addition of high-energy biomass resulted in a marginal improvement in the calorific values of the blends. Ultimate analysis results show that the tyre char exhibited the highest sulfur content at 3.5 wt%. This elevated sulfur content can be attributed to the presence of thermally stable sulfur-containing compounds, such as zinc sulfide (ZnS) and iron sulfide (FeS), which persist in the char after the pyrolysis process.8 The combustion of materials with high sulfur content is associated with the release of various sulfur compounds, making the fuel undesirable.19 In particular, the incorporation of biomass in the blends appears to reduce the sulfur content (to up to 1.2 wt%), as evidenced by the lower sulfur levels in the ternary blends compared to the tyre char. It is worth highlighting that the biomass of microalgae contains a substantial amount of hydrogen, specifically 8.7 wt%. Consequently, char–biomass blends that exhibit significant microalgae concentrations (8 wt% and 15 wt%) exhibit a notable enhancement in hydrogen content compared to the original tyre chars. This increase in hydrogen content has the potential to improve the combustibility of the blended fuel material.10 X-ray fluorescence results of the composite materials indicated that the binary mixtures and certain ternary mixtures exhibited significant concentrations of calcium, approaching the levels found in the original tyre char. Calcium plays a catalytic role in the combustion process.20 At elevated temperatures, calcium can be released as volatile emissions and calcium oxide serves to sequester sulfur, resulting in reduced sulfur emissions during combustion.21 The highest amounts of silicon were detected in ternary blends (blends 1 and 2); these blends contain high amounts of biomass. Silicon, recognised for its thermal stability during combustion, is essential for minimising the accumulation of ash deposits.22 Zinc was found to be the predominant metal present in tyre
char and maintained relatively high levels, even after the addition of biomass, except for the ternary blends (blends 1 and 2), where a notable decrease in zinc was observed. Typically, tyre chars generated via tyre pyrolysis tend to preserve significant levels of zinc, which exist in the compounds of zinc sulfide.6 The Brunauer-Emmett-Teller surface area measurements showed that tyre char was found to be much larger than that of the microalgae biomass and the torrefied wood samples (Figure 1). The surface area measurements were as follows: 49.7 m2/g (tyre char), 1.6 m2/g (torrefied wood) and 21.3 m2/g (microalgae). No further analysis was done on the blended samples. Therefore, it is not expected that any addition of biomass material within the lower and upper limits of the set could have any impact on the surface area of the tyre char.
thermogravimetric analysis
Thermogravimetric mass loss and derivative thermogravimetric curves of the individual fuels are shown in Figure 2. The combustion characteristics (the initial decomposition temperature, derivative thermogravimetric maximum of each peak, as well as the char ignition and burn-out temperatures) of the raw and blended samples are listed in Table 2. Figure 2 shows the thermal events associated with microalgae combustion. These events exhibit distinct characteristics. The first significant event is the volatile combustion event between 150 °C and 350 °C. During this phase, inherent lipids, carbohydrates and proteins in microalgae are decomposed, and the production of char occurs.23,24 Another thermal event occurs between 450 °C and 550 °C, attributed to the breakdown of lipids. This phase is marked by the disintegration of hydrocarbon fatty acids.25 The reactivity of the primary combustion events in microalgae diminishes with increasing temperature because of the depletion of compounds with low thermal stability, such as volatile components, at lower temperatures.24
The decomposition of torrefied wood reveals distinctive temperature peaks at 323 °C and 466 °C. The first peak (at 323 °C) is considered a precursor to the main peak, while the second peak (at 466 °C) indicates a diverse range of compounds, consistent with the high content of volatile
Co-combustion of tyre waste char and biomass blends
matter in torrefied wood.26 The first thermal event involves simultaneous ignition and decomposition of cellulose, along with ignition of lignin as elucidated by López-González et al.27 Cellulose decomposition is completed around 400 °C, leading to the main decomposition of lignin and fixed carbon in the second event. The burnout temperature at 518 °C is a common feature of torrefied wood combustion, attributed to the high reactivity of biomass. This increased the reactivity with rising
Research Article https://doi.org/10.17159/sajs.2025/18082
combustion temperature related to elevated volatile matter content while influencing ignition behaviour and enhancing particle surface reactivity.28 The thermal decomposition of the tyre char is mainly characterised by two distinct peaks within the combustion region of the char (500–600 °C), which are associated with the combustion of fixed carbon. The high ignition temperature of 546 °C was anticipated because components of the tyre with lower thermal stability were released as volatiles during the
Figure 1: The main inorganic elements (%) present in the parent fuel and various blends of char.
TW, torrefied wood; M, microalgae; TC, tyre char
Figure 2: Mass loss and derivative thermogravimetric (DTG) curves of parent fuels.
TC, tyre char; TW, torrefied wood; M, microalgae
table 2: Combustion characteristics of raw and blended char samples
T , initial decomposition temperature; To, peak onset temperature; Tp, maximum peak temperature at each thermal event; DTGmax, maximum weight loss rate for each peak; Tb, burn out temperature of sample; TC, tyre char; TW, torrified wood; M, microalgae
pyrolysis process. The first peak, marked by a higher mass loss, can be attributed to the separate combustion of the tyre char and chemisorbed complexes such as carboxylic, quinonic and/or phenolic groups found on the surface of carbon blacks. The second peak represents the combustion of graphite-like material.29
Thermogravimetric mass loss and derivative thermogravimetric curves of blended char–biomass samples are shown in Figure 3. In Figure 3a, the differential thermogravimetric profiles of binary mixtures containing 10 wt% of torrefied wood exhibit a distinct pattern that resembles the combustion behaviour of tyre char. In contrast, for binary blends comprising 30 wt%. For torrefied biomass, the differential thermogravimetric profiles exhibit two discernible peaks and elevated rates of mass loss. As the proportion of torrefied wood increases, the ignition temperature decreases, mainly because of the early release of volatile components at lower temperatures. This lowered ignition temperature facilitates the initiation of combustion processes.16
The initial peak corresponds to the decomposition of torrefied wood, while the second, more pronounced peak, occurring above 500 °C, represents the combustion of tyre char. In particular, the mass loss rate during the second peak in binary blends with 30 wt%. The torrefied wood loading was comparatively lower than that of tyre char alone. This finding is attributed to the reduced content of fixed carbon in these blends within the temperature range of 550–650 °C. In general, an increase in the torrefied biomass ratio leads to enhanced reactivity of the blends. In Figure 3b, the impact of the addition of microalgae was inconspicuous at low microalgae ratios. Ternary blends containing 15–30 wt% torrefied wood and 4–11 wt% microalgae closely resemble the combustion behaviour of binary blends with 30 wt% torrefied wood (Figure 3a).
In particular, the blend labelled TC70-TW30-M0 showed a delayed initial decomposition temperature, an indistinct bridge preceding the combustion of char, the maximum mass loss rate during the combustion phase of
the char and a lower ignition temperature of the char compared to other blends. An increase in the microalgae ratio results in a further rightward shift of the char combustion peaks. This phenomenon can be attributed to the elevated ash content of the microalgae and the gas-phase products of volatile combustion, which retard the ignition of tyre char in the blends.30 Similarly, the burn-out temperature increases with an elevation in the microalgae ratio, indicating an extended combustion duration.
In Figure 3c, tyre char and blends consisting of 10–30 wt% torrefied wood, with a maximum microalgae content of 15 wt%, are depicted. The decomposition temperature of the fuel blends with 15 wt% microalgae and 20–30 wt% of torrefied wood loading is significantly lower compared to other char blends. The primary combustion event in these fuel mixtures shifts to the right, resulting in an approximately 10 °C increase in the burnout temperature. The combustion peaks are broader and shorter for these blends, indicating increased material diversity and enhanced reactivity compared to the combustion of tyre char alone. A similar observation was reported by Xinjie et al.15 who found that increasing the biomass ratio increased the reactivity of the tri-fuel blend. Similarly, Jayaraman et al.17 noted that high biomass proportions (25–75 wt%) enhanced the reactivity of blended samples during combustion. The results of this study regarding biomass addition are consistent with the findings of Slyusarsky et al.18, who demonstrated similar effects during the thermal decomposition of tyre char with peat and tyre char with pine sawdust mixtures.
Gas evolution profiles by mass spectroscopy
The gas evolution profiles of the parent samples are shown in Figure 4a–c. The gases analysed were carbon dioxide (CO2) (m/e 44), nitrogen dioxide (NO2) (m/e 46) and sulfur dioxide (SO2) (m/e 64). Raw fuels are low emitters of NO2 and SO2, as highlighted by low counts in the evolution of the respective gases. Despite the low count of NO2, the mass spectra show a strong NO2 peak for the torrefied biomass, although the torrefied biomass was found to have lower amounts of nitrogen, as highlighted in
Figure 3: Derivative thermogravimetric (DTG) curves for the blends with (a) 0% microalgae, (b) 4–11% microalgae and (c) 15% microalgae.
Table 1. Changes in the nitrogen contained in torrefied wood may require further investigation to understand the consistent release of NO2 during its combustion due to the intensity of the peak of NO2. The emission of CO2 shows distinct peaks in tyre char and torrefied wood. A further look at the emission of CO2 during the combustion of binary and ternary char–biomass blends is shown in Figure 5. The mass spectroscopy curves presented in Figure 5a–c exhibit a consistent profile in terms of shape and temperature range, as depicted by the corresponding derivative thermogravimetric curves discussed earlier. This uniformity in the profiles suggests that the evolution of CO2 occurred at the same peak temperatures and during each thermal event for all the materials examined. These findings align with those reported by Magida et al.11 Notably, the co-combustion of the binary blends of torrefied biomass and tyre char resulted in significant CO2 emissions, as expected. The raw materials (tyre char and torrefied wood) contain substantial amounts of elemental carbon, with torrefied biomass containing 76 wt% and tyre char containing 90 wt%. It should be noted that the peak CO2 observed during torrefied wood combustion exceeds that of tyre char combustion. This suggests that the release of CO2 in torrefied wood combustion
Co-combustion
and (c) SO2 emission.
occurs in both the volatile decomposition and char combustion phases. Consequently, it implies that the combustion of tyre chars emits a lesser amount of CO2 compared to torrefied wood combustion. The combustion of ternary char–biomass blends with 15 wt% and 20 wt% loading of torrefied wood results in lower emission peaks in the 500–600 °C range compared to raw tyre char. This implies a lower release of CO2 emissions during the combustion of these ternary char–biomass blends with high torrefied wood loading compared to the combustion of tyre char alone. This reduction in the strength of the CO2 peak as biomass loading increases is consistent with the findings reported in previous studies.11 31 However, binary blends containing the least amount of torrefied wood exhibit higher CO2 emission peaks above 500 °C compared to tyre char. The high evolution of CO2 in this combustion stage is influenced by differences in the fixed carbon and ash compositions within the blended samples.17 Slyusarsky et al.18 observed that increasing the proportion of pine sawdust in the tyre char/pine sawdust blend from 5 wt% to 15 wt% led to an increase in CO2 formation, with CO2 emission peaks exceeding
Figure 4: Mass spectra of gas evolution during combustion of parent fuels: (a) CO2 emission, (b) NO2 emission
Figure 5: Mass spectra of CO2 evolution during combustion of tyre char–biomass blends: (a) 10% torrefied wood, (b) 15–20% torrefied wood and (c) 30% torrefied wood.
those from the combustion of tyre char alone. In contrast, for tyre char/ peat mixtures, the intensity of CO2 formation decreased as the biomass (peat) ratio increased.
Conclusions
Based on the physicochemical and combustion characteristics of the binary and ternary blends, it is apparent that biomass material influences the physicochemical properties of tyre char, consequently impacting the combustion characteristics of these chars. In particular, an increase in the microalgae content within ternary blends resulted in a shift in combustion peaks and burnout temperatures, thereby prolonging the combustion phase as compared to the combustion of tyre char alone. Furthermore, it has been observed that biomass additions in various ratios have a significant effect on the reduction of CO2 emission patterns.
This study has demonstrated that blending tyre char with biomass, especially at increased biomass ratios, enhances the combustion characteristics of tyre char. Consequently, a mixture of tyre char and biomass has the potential to serve as an environmentally friendly combustion fuel. Therefore, tyre char–biomass blends can be considered for cleaner combustion processes. For future studies, we recommend a techno-economic analysis of tyre char blends to evaluate the economic feasibility of such fuel blends. Additionally, future investigations should focus on the large-scale combustion of tyre char–biomass blends as well as explore pelletisation or briquetting methods for agglomerating such char blends.
Acknowledgements
We thank Prof. Shanganyane Hlangothi for his invaluable support and leadership. Furthermore, we thank the Centre for Rubber Science and Technology and the Institute of Chemical Technology (InnoVenton) for their indispensable technical support and assistance.
Funding
We are grateful for the financial support received from the South African National Research Foundation (grant UID: 116683).
Data availability
The data supporting the results of this study are available upon request to the corresponding author.
Declarations
We have no competing interests to declare. We have no AI or LLM use to declare.
Authors’ contributions
C.T.D.: Writing – the initial draft, data collection, sample analysis, data analysis, validation. H.B.: Conceptualisation, methodology, writing –the initial draft, writing – revisions, student supervision. Both authors read and approved the final manuscript.
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https://doi.org/10.17159/sajs.2025/18082
AuthorS:
Desmond A.B. Otu1
Frederick W.A. Owusu1
Mariam E. Boakye-Gyasi1
Raphael Johnson1
Marcel T. Bayor1
Prince G. Acquah Jnr1
Yayra Edzor-Agbo1
Mary-Ann Archer2
AFFILIAtIoNs:
1Department of Pharmaceutics, Faculty of Pharmacy and Pharmaceutical Sciences, Kwame Nkrumah University of Science and Technology, Kumasi, Ghana
2Department of Pharmaceutics, School of Pharmacy and Pharmaceutical Sciences, University of Cape Coast, Cape Coast, Ghana
CorrEsPoNDENCE to: Desmond Otu
E-MAIL: dessiebruce8@gmail.com
DAtEs:
received: 20 June 2024
revised: 16 Jan. 2025
Accepted: 22 Feb. 2025
Published: 29 May 2025
hoW to CItE:
Otu DAB, Owusu FWA, Boakye-Gyasi ME, Johnson R, Bayor MT, Acquah PG Jnr, et al. Pharmaceutical evaluation of plantain peel pectin as a disintegrant in conventional tablets. S Afr J Sci. 2025;121(5/6), Art. #18894. https://doi.org/10.17159/sa js.2025/18894
Pharmaceutical evaluation of plantain peel pectin as a disintegrant in conventional tablets
Plantain peels are a potential source of raw materials for the pharmaceutical industry. In Ghana, most of the pharmaceutical excipients used by local companies are synthetically produced and imported from developed countries. One such excipient is pectin, a polysaccharide used as a disintegrating agent in solid-oral-dosage forms. In this study, we assessed the pharmaceutical potential of pectin extracted from two popular plantain varieties, Apem (M) and Apantu (T), at various ripening stages (matured-green (G), half-ripe (H) and full-ripe (R)), for use as a disintegrant in immediate-release tablets. Acid (D) and alkaline (L) extraction methods were used. The suitability of the extracted pectins for pharmaceutical use was evaluated by preparing paracetamol granules using the wet granulation method and assessing their flow properties. Post-compression tests, including friability, hardness, disintegration, uniformity of weight, assay and dissolution, were conducted. All the tablets met the uniformity of weight requirement, with no deviation beyond ±5%. The hardness of all the tablets ranged between 5.57±0.15 kgF and 11.96±0.75 kgF, while the friability for all tablets was below 1%. The drug content ranged from 99.9% to 103%. Pectin from both varieties demonstrated good disintegrating properties (DT < 15 min) at concentrations of 5%w/w, 7.5%w/w and 10%w/w, with the exception of TGL, THD, TRD and TRL at all concentrations. As a result, all tablet batches met the dissolution test requirement (Diss, Q > 75%), except for those that failed the disintegration test. In conclusion, pectins derived from plantain peels have potential commercial value as pharmaceutical disintegrants at various concentrations in immediate-release tablets.
Significance:
This study highlights the significant potential of plantain peels, a common by-product of plantain processing in Ghana, as a source of pectin for use as a disintegrant in immediate-release tablets. The research demonstrates that pectin extracted from two popular Ghanaian plantain varieties at various ripening stages can meet the pharmaceutical standards for tablet production. This could reduce the reliance on imported, synthetically produced excipients, support local industries and promote sustainability. The findings open up new possibilities for the commercial exploitation of plantain peels, contributing to waste reduction and economic growth.
Introduction
Medicines are complex systems that include a variety of excipients in addition to the active pharmaceutical ingredients. These excipients are often combined with active pharmaceutical ingredients to enhance, support or improve the stability of the formulation.1,2 Excipients are key in shaping the quality of the final pharmaceutical dosage forms. They are engineered to improve the pharmacokinetic and pharmacodynamic properties of the drug. They also significantly influence the physical characteristics of medicinal products, such as solubility, texture, weight, volume and drug release, which are essential for delivering an adequate dose of the active drug in a specific dosage form.3 Hence, the biological, chemical and physical properties of the drug product are directly affected by the type of excipients used, their amounts and their interactions.4 5
In Ghana, most pharmaceutical excipients are synthetically made and imported, leading to high prices due to the materials cost, shipping and tax expenses.6,7 While these excipients must meet certain functional and safety standards8,9, many synthetic ones used in various pharmaceutical formulations have shown undesirable side effects10,11. Hence, there’s a growing interest in natural excipients with fewer side effects.12
Plant-based substances have been a foundation for various medicinal and pharmaceutical formulations.13 Pectin, a naturally occurring polysaccharide, has seen a surge in significance recently due to its biocompatibility.14-16 Pectins, chemically, are a collection of heteropolysaccharides, primarily made up of α-1-4-D galacturonic acid units, predominantly found in the cell walls and middle lamella of higher plants. Currently, commercial pectins are largely sourced from citrus peel or apple pomace, both by-products of juice production.17 However, due to their lengthy maturation periods and the unsuitability of apple cultivation in Africa, there has been a shift towards alternative, faster-maturing (14–20 months) pectin sources readily available in Africa for local pharmaceutical use. Some explored alternatives include mango waste and cocoa pods, whose pharmaceutical applications have been assessed.18 19
Plantains, a staple in tropical regions, are nutritionally and economically valuable. In Ghana, the main varieties, ‘Apantu’ and ‘Apem’, are used differently depending on ripening stages.20 Plantain peels, which make up 30–40% of the fruit’s weight, pose a pollution problem after processing.21 However, the growing interest in agricultural bio-based materials and waste reuse presents an opportunity. Extracting pectin from these peels could transform this waste into a valuable resource.
Otu et al.22,23 have studied the physicochemical and binding properties of plantain peel pectin (PPP). They evaluated the effect of the extraction method on the physicochemical properties of the pectin derived from plantain peel waste at different ripening stages. The potential of PPP in pharmaceuticals could address pollution from plantain
processing and boost the economy. In this study, we aimed to evaluate the disintegrating properties of pectin from plantain peels at different ripening stages, contributing to our understanding of pectin’s potential as a disintegrant. The ultimate goal is to assess the commercial viability of PPP as a pharmaceutical disintegrant.
Methodology
Materials
Pectin was obtained from two plantain (Musa paradisiaca L.) varieties, namely Apem (M) and Apantu (T), at different ripening stages (matured-green (G), half-ripe (H), and full-ripe (R)), extracted at each ripening stage using acidic (D) and alkaline (L) methods. The pectin extracts were coded (MGD, MGL, MHD, MHL, MRD, MRL, TGD, TGL, THD, THL, TRD and TRL) to represent the variety used, ripeness stage and method of extraction. Paracetamol powder (Ernest Chemist Ltd, Ghana), tragacanth gum powder BP (Sigma-Aldrich, USA), maize starch BP (UK Chemicals, Ghana), talc and lactose (Xiʼan Rongsheng Biotechnology) were used in the study.
Methods
Preparation of paracetamol granules and tablets
Pectin derived from Apem and Apantu plantain peels at different ripening stages was used to prepare 39 batches of paracetamol granules through the wet granulation technique using 20%w/w tragacanth as a binder. The required quantity of PPP was incorporated into the formulations at different concentrations (5%, 7.5% and 10%). The damp mass was screened through mesh 8 (2360 µm) and subsequently dried using a hot air oven at 60 °C for 1 hour. The dry granules were screened through mesh 16 (1180 µm). Talc was added as an extra-granular lubricant. The standard disintegrant used in the formulations was maize starch BP at the same concentration as the test formulations. Quantities of 650 mg granules were compressed using a Saimach 11/37 (Saimach Pharmatech Pvt Ltd., India) at a compression force of 10–15 kN.
Evaluation of the pre-compression properties of the granules
Parameters including angle of repose, bulk and tapped density, Hausner’s ratio and percentage compressibility were assessed for the granules. The assessment was carried out using the methods reported by Fosu et al.24 and Bayor et al.25
Evaluation of disintegrant properties
Physicomechanical properties
uniformity of weight
Weight variation was assessed for all produced tablets, in accordance with the USP XXIV monograph. For each batch, 20 random tablets were selected to evaluate the variation in weight, and the mean ± standard deviation was computed.26
tablet dimensions
The Mitutoyo CD-8-CSX digital vernier calliper was used to measure the thickness and diameter of the tablets. The results are presented as the average values of six measurements along with their standard deviations.24
Determination of crushing strength and tensile strength
The crushing strength (Cs) of each batch using 10 tablets was determined using a Copley hardness tester (TH3). Triplicate testing was performed for every batch, following the USP XXIV monograph guidelines for conventional tablets.26 The tensile strength (Ts) was calculated using Equation 1:
T s = 2 C s πdt
where t and d are the thickness and diameter, respectively.
Friability test
The friability was assessed for tablets from all batches, following the guidelines of the USP XXIV monograph. The initial and final weights were denoted by I w and F w The friability tests were conducted using an Erweka (TA-20, Germany) friabilator, with measurements done in triplicate.26 The friability (%) was computed using Equation 2:
Friability (%) = Iw Fw Iw × 100
Disintegration time determination
Equation 1
Equation 2
The time for the tablets to disintegrate was recorded using the Erweka (ZT-4, Germany) disintegration apparatus. Each of the apparatus’s six tubes was filled with a tablet, and the duration taken to fully disintegrate in distilled water, kept at a temperature of 37±2 °C, was noted.26 27
Determination of the disintegration efficiency ratio
The disintegration efficiency ratio (DER) was evaluated using Equation 3:
DER = C s /F D
Equation 3
where D, C s and F refer to the disintegration time, crushing strength and friability, respectively.
The dimensionless parameter DERc was computed using Equation 4:
DER c = DER test DER standard
Equation 4
DERtest refers to the DER of a tablet that contains an experimental disintegrant (PPP extract) at a specific concentration. DERstandard is the DER of a tablet that contains the standard disintegrant also at the same concentration.28
drug content
A weight equivalent to a dose was weighed from 10 crushed tablets. A volume of 75 mL of phosphate buffer (pH 6.8) was used to dissolve the crushed tablets, and then diluted further to 100 mL and filtered. Serial dilutions were then obtained, and the absorbances and drug content evaluated using the previously calculated maximum wavelength and the calibration curve.27,29 This was replicated for each batch.
dissolution test
The in vitro dissolution test was performed using the 708-DS dissolution machine (Agilent Technologies, USA) and USP dissolution apparatus II at a revolution speed of 50 rpm. Six random tablets were selected from each batch and placed individually in each vessel containing 900 mL of phosphate buffer (pH 6.8) at a temperature of 37±0.5 °C. A sampling volume of 10 mL was taken and subsequently filtered at specific time intervals (5, 15, 30, 45 and 60 min). Following this, a quantity of 0.50 mL was pipetted from each filtrate and subsequently diluted with phosphate buffer to 50 mL. The resulting solution was later analysed using spectrophotometry at a wavelength of 245 nm. The quantity of paracetamol was calculated by employing the calibration curve. The dissolution profile of paracetamol from each batch was determined by constructing a graph that illustrates the percentage of medication released as a function of time.30 31
data analysis
The model-independent comparison procedure, as reported by Adeleye et al.31, was used to evaluate the difference (f1) and similarity (f2) factors between the dissolution profiles. Statistical analysis was performed to assess the quality of PPP as a disintegrant using an analysis of variance by employing GraphPad Prism software version 8 (GraphPad, San Diego, California, USA). The mean ± standard deviation was calculated for each data set. Tukey’s post-hoc multiple comparison test was used
to compare the individual differences of the samples. A p-value set at ≤0.05 (5%) indicates a level of significance.
r esults and discussion
Flow properties of granules and drug excipient compatibility
The evaluation of granule properties, including bulk and tapped densities, angle of repose, Carr’s Index and the Hausner ratio, revealed excellent flow properties, as shown in Supplementary table 1. The angle of repose was found to be lower than 50 and closer to 25 for all samples, indicating excellent flow due to the physical combination of the ingredients.32
The compressibility of granules, which is crucial for producing strong tablets that can withstand pressure and abrasion, was also evaluated. The Hausner ratio and Carr’s Index, which are indicative of the flow properties and cohesiveness of granules, showed good flow for all batches (Table 1). The near spherical granules, granulation process and the excipients added could account for the excellent flow of the granules observed. This suggests that the physical blend of the powders with the pectin samples conferred good flow properties on the powder mix, which is important due to its effect on the weight variation of tablets.33
Post-compression analysis
uniformity of weight/dimensions
The British Pharmacopoeia’s weight uniformity test stipulates that the weights of no more than two individual tablets should deviate from the average weight by more than ±5%, and no tablet should deviate by more than twice the percentage.27 Minimising the risk of overdosing or underdosing is crucial, as any weight variations will inevitably influence the active pharmaceutical ingredient’s consistency.30,34 As shown in Table 1, all the tablets formulated at different concentrations adhered to the weight uniformity standards.
All the formulations had consistent and comparable thickness and diameter, with an average thickness and diameter ranging from 4.44 ± 0.01 to 4.77 ± 0.00 and 11.89 ± 0.00 to 12.02 ± 0.00, respectively (Table 1). These results can be linked to the consistent compressional force used and the similarities in the fluff and consolidated densities of the granules, leading to optimal flow properties of the granules.35
Friability and crushing strength-friability ratio
An increase in PPP concentration did not produce any specific effect on tablet friability, and there were no significant differences (p > 0.05)
table 1: Weight variation, friability, dimension, drug content and disintegration time of the compressed tablets ...table 1 continues on next page
between the friability of tablets which contained PPP and those containing maize starch BP. As per the British Pharmacopoeia, 1% loss of tablet during transportation is permissible. The result showed that all batches had a friability within the range of 0.11% to 0.81% (BP, 2013) (Table 1).
The crushing strength-friability ratio (CSFR) provides another means of measuring tablet strength. Table 1 shows a general drop in CSFR values as the disintegrant concentration increases. This is because an increase in disintegrant concentration reduces the tablet’s hardness and increases friability. The type of disintegrant can also influence the CSFR, as different disintegrants have different mechanisms of action, swelling properties and particle sizes.10 Marais et al.36 studied the effect of three types of disintegrants on the CSFR of paracetamol tablets. The results obtained were attributed to the higher swelling capacity and lower particle sizes of the disintegrant, which enhanced disintegration and reduced the friability of the tablets.
Crushing strength and tensile strength
Chavan et al.37 showed that crushing strength is a measure that assesses a tablet’s resistance to permanent deformation. An increase in disintegrant concentration may reduce the tablet hardness (Table 1). However, Figure 1 shows that MDG and TRD pectin deviated from this observation. The results could be attributed to the function of the disintegrant which can act as an intra-granular and extra-granular agent that creates pores and weakens the bonds between the particles. Hence, larger particles lead to weak tablets as a result of a lower surface area for bond formation. Therefore, adding more disintegrant may increase the particle size and decrease the ability of the granules to be compressed.38
The tensile strength of the formulated tablets from both varieties ranged between 6.44 ± 1.12 and 11.29 ± 0.06 kN/cm2 for all formulated batches using both varieties of pectin (Table 2). The tensile strength of the tablets decreased from 5% to 10% for both control and test samples. The effect of increasing disintegrant concentration on the tensile strength of a tablet can vary depending on the type of disintegrant used and the compression force applied during tablet formation.39 An increase in the disintegrant concentration can potentially decrease the tensile strength of the tablet by reducing the disintegration time.36
Disintegration time, DEr and DErc
Disintegrants are excipients that promote the rapid disintegration of tablets into small particles. Disintegrants have different mechanisms of action, such as strain recovery, swelling, wicking, interruption of particle particle bonds and heat of interaction. These mechanisms are not independent and may work synergistically.40 Table 1 shows the disintegration time of the various batches. The disintegration time ranged from 4.14 ± 0.03 min to 30.22 ± 0.00 min for all formulated batches. The disintegration time of a tablet is influenced by the concentration of the disintegrant. At the same compression force, disintegration time decreases as the disintegrant concentration increases.36 Figure 2 shows the relation between increasing disintegrant concentration and disintegration time. All the formulated batches were observed to have a shorter disintegration time with an increase in disintegrant concentration, except for 10% concentrations of MRL, TRL, TGL and TRD. Significantly, the percolation threshold of the disintegrant invariably affects the disintegration time. The percolation threshold is the critical concentration at which a disintegrant forms a continuous network throughout the tablet.41 For disintegrants, once their concentration in the tablet formulation exceeds the percolation threshold, they can rapidly absorb water, swell and exert a disintegrating force, leading to a decrease in the disintegration time.42 However, there is a limit to this effect. When the disintegrant continues to increase beyond a certain point, it may not lead to a further decrease in disintegration time. This is because the tablet may already be saturated with the disintegrant and additional disintegrant may not contribute to further water uptake or swelling.41 Moreover, all the batches formulated with pectin from both varieties showed significant differences (p < 0.05) in disintegration time to the control, except for the use of 5% and 10% MRD, 7.5% MHL and 10% MHD as disintegrants (Supplementary figures 1 and 2).
The DER is a key parameter in the evaluation of the balance between the binding and disintegration properties of a tablet as it is able to predict the balance between the hardness of the tablet and its ability to disintegrate. From the results obtained, the DER of the batches formulated with pectin as a disintegrant generally increased from the 5% through to the 10% concentration (Table 2). This finding was also observed by Akin-Ajani et al.28 who reported that, as the concentration of the disintegrant
increases, the disintegration time of the tablet typically decreases, therefore increasing the ratio.
The results of the DERc are presented in Table 2. When the DERc>1, the DER of the test sample is considered to have superior disintegrant action compared with the standard disintegrant.43 The results show a general increase in the DERc with an increase in the disintegrant concentration for the Apem variant, while the opposite holds true for the Apantu variant. Akin-Ajani et al.28 reported the same observation, that is, an increase in disintegrant concentration led to a general decrease in the DERc. This indicates that the Apem PPP was efficient at higher concentrations, while the Apantu PPP was more efficient at lower concentrations. The DERc values of tablets containing Apem PPP were higher relative to the Apantu variant. The results obtained imply that the disintegrant quality of the PPP exceeded that of the standard disintegrant at all concentrations, except for MHD, TGL, THL, TRD and TRL at 10%w/w.
Assay
The British Pharmacopoeia27 requirement for immediate-release paracetamol tablets indicates that a minimum of 95% and a maximum of 105% of pure paracetamol is present (Table 1). The assay test was successfully passed by all the batches. It is noteworthy to observe that
the paracetamol concentration in all the formed tablets exhibited a rather consistent level, as indicated by the low estimated standard deviations.
In vitro drug release
The dissolution test provides crucial data regarding the pharmacokinetics of a drug and the uniformity of products across different batches.44 The in vitro dissolving behaviour of a dosage form is the most frequently employed physicochemical attribute. It is crucial to develop a drug release methodology that can accurately anticipate the behaviour of the drug product in the body.45
Tablet batches formulated with pectins MGD, TGL, THD, TRD and TRL at 5%w/w, TGL, THD, TRD and TRL at 7.5 w/w, and TGL, THD, TRD and TRL at 10%w/w as disintegrants failed the test (Diss, Q < 75%)27 (Figure 3). These same batches failed the disintegration test (DT > 15 min). The particle size of the disintegrant can significantly affect its performance. Generally, smaller particles provide a larger surface area for water absorption, leading to faster disintegration. Additionally, a combination of disintegrants could be used. Using a combination of two or more disintegrants can sometimes improve the disintegration properties of a formulation. This is because different disintegrants may use different mechanisms of disintegration, and these mechanisms can complement each other.42
Figure 1: Effect of disintegrant concentration on tablet hardness using (a) Apem (M) and (b) Apantu (T) at concentrations of 5%w/w, 7.5%w/w and 10%w/w.
table 2: Crushing strength-friability ratio (CSFR), disintegration efficiency ratio (DER), dimensionless parameter (DERc) and tensile strength of paracetamol tablets
2: Effect of disintegrant concentration on disintegration time using (a) Apem (M) and (b) Apantu (T) at concentrations of 5%w/w, 7.5%w/w and 10%w/w.
Model independent comparison of dissolution profiles
The similarity and difference factors are shown in Supplementary table 2
The results show that the tablet batches formulated with pectin MHD and TGD at concentrations of both 5%w/w and 7.5%w/w, and MRD at a concentration of 5%w/w as disintegrants deviated from the release profile of the reference disintegrant used and hence are dissimilar.23 This shows that plantain peel pectin extracted from different ripening stages could be used as an alternative disintegrant to maize starch BP when formulating immediate-release tablets. Given the ease of access to these varieties of plantains in Ghana, their pectin can be utilised to develop products at a lower expense than imported maize starch BP.
Conclusion
This study revealed that the pectin extracts yielded paracetamol granules with excellent flow characteristics and tablets with physical properties comparable to those of maize starch BP. The friability of the test samples was comparable to that of the standard formulations. However, as the concentration of PPP increased, there was a noticeable decrease in tensile and crushing strength. The disintegration time typically decreases with an increase in PPP concentration. The high DER values of the test formulations suggest that PPP could create a more balanced
relationship between the mechanical and disintegrating properties of the tablets. The use of the dimensionless parameter was instrumental in verifying the dependence of the disintegrant activity on the disintegration mode. Thus, PPP compared well with maize starch BP and could be useful for conventional tablet formulations. Exploring the use of PPP in various formulations will help identify the most suitable applications and concentration for different pharmaceutical needs, helping in the reduction of food waste and improving the economic outlook of plantain peels.
Acknowledgement
We thank the technical staff in the Department of Pharmaceutics at Kwame Nkrumah University of Science and Technology for their assistance.
Data availability
All the data supporting the results of this study are included in the article itself.
Declarations
We have no competing interests to declare. We have no AI or LLM use to declare.
Figure 3: Dissolution profiles of tablets formulated with plantain peel pectin derived from Apem (M) and Apantu (T) at concentrations of 5%w/w, 7.5%w/w and 10%w/w respectively, and a standard disintegrant (control). Values shown are mean±SD, n = 6.
Authors’ contributions
D.A.B.O: Conceptualisation, methodology, data collection, writing –initial and final drafts, visualisation, investigation, data analysis. F.W.A.O.: Conceptualisation, writing – reviewing and editing. M.E.B-G.: Conceptualisation, visualisation, writing – final draft, reviewing and editing. R.J.: Writing – final draft, reviewing and editing, validation, supervision. M.T.B.: Supervision, writing – final draft, reviewing and editing. P.G.J.A.: Visualisation, formal analysis, investigation. Y.E-A.: Investigation, methodology, writing – initial draft. M-A.A: Visualisation, methodology, data collection.
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AuthorS: Lindumusa Myeni1 2 Tlotlisang Nkhase3
Ramontsheng Rapolaki4 5 Zaid Bello6 7 Mokhele E. Moeletsi3 7
AFFILIAtIoNS:
1Unit for Environmental Sciences and Management, North-West University, Potchefstroom, South Africa
2Department of Geography and Environmental Studies, School of Geo- and Spatial Sciences, North-West University, Mahikeng, South Africa
3Agricultural Research Council – Natural Resources and Engineering, Pretoria, South Africa
4South African Weather Service, Marine Research Unit, Cape Town, South Africa
5Department of Geography, University of the Free State, Bloemfontein, South Africa
6Agricultural Research Council – Grain Crops, Potchefstroom, South Africa
7Centre for Global Change, University of Limpopo, Sovenga, South Africa
CorrESPoNDENCE to: Lindumusa Myeni
EMAIL: lindumusa.myeni@nwu.ac.za
DAtES:
r eceived: 19 Mar. 2024
r evised: 09 Apr. 2025
Accepted: 09 Apr. 2025
Published: 29 May 2025
hoW to CItE:
Myeni L, Nkhase T, Rapolaki R, Bello Z, Moeletsi ME. Estimation of soil temperature for agricultural applications in South Africa using machine-learning methods. S Afr J Sci. 2025;121(5/6), Art. #18235. https://doi.org/10.17 159/sajs.2025/18235
ArtICLE INCLuDES:
☒ Peer review
☒ Supplementary material
DAtA AVAILAbILItY:
☐ Open data set
☐ All data included
☒ On request from author(s)
☐ Not available
☐ Not applicable
EDItorS: Jennifer Fitchett
Pfananani Ramulifho
KEYWorDS:
agricultural applications, artificial intelligence, climatic zones, precision agriculture, random forests
FuNDING:
South African National Research Foundation (CSRP2330503101419)
Estimation of soil temperature for agricultural applications in South Africa using machine-learning methods
This study was undertaken to investigate the potential of using machine-learning approaches as alternative and cost-effective tools for estimating soil temperature from readily available meteorological data for agricultural applications in South Africa. Four machine-learning models – multiple linear regression, artificial neural networks, random forest and decision tree – were developed and tested to estimate daily soil temperature at six soil depths (viz. 10, 20, 30, 40, 60 and 80 cm) using meteorological data acquired from seven stations, representing diverse climatic conditions in South Africa. The data were randomly split into two parts: the first 80% of the data set was used for training, while the remaining 20% was utilised to validate the models. The results showed that soil temperature at various depths can be reasonably estimated by different generic machine-learning models, with average Nash–Sutcliffe efficiency values ranging from 0.74 for decision tree to 0.87 for random forest models and root mean square error values of less than 2.79 °C for all models. Among the evaluated models, random forest models showed the highest estimation accuracy across different soil depths and climatic conditions, with average Nash–Sutcliffe efficiency values ranging from 0.87 to 0.95. This study indicated that the performance of climate-specific models was better than that of the aggregated ones. Therefore, it is recommended that machine-learning approaches, particularly RF models, be developed for specific climatic conditions where possible to achieve better soil temperature estimations. The developed models can be applied with caution in other regions with similar climatological and pedological properties.
Significance:
• This study evaluated the performance of four machine-learning models in estimating daily ST at six depths using meteorological data in diverse climatic conditions in South Africa.
• The results showed that ST at various depths can be reasonably estimated using different machine learning models, although the performance of climate-specific models was better than that of the aggregated ones.
• Among the evaluated models, RF models had the highest estimation accuracy across different soil depths and climatic conditions.
Introduction
Soil temperature (ST) is a fundamental parameter that governs the exchange of heat, moisture and energy at land–atmosphere interfaces.1 It also influences or governs the belowground physical, chemical and biological processes of soil, such as soil respiration, soil heat and mass transport properties, soil moisture content, microbial activity, pedogenic processes, chemical reactions, organic matter storage and mineralisation.2-5 Furthermore, ST controls the thermodynamic equilibrium between the liquid, solid and gas phases in the pedosphere and subsequently influences the transport and fate of chemical contaminants as well as greenhouse gases.6 Consequently, ST plays a critical role in crop growth and may have more influence than air temperature in most cases.7 Specifically, the thermal conditions of the soil largely affect seed germination, root development, nutrient transformation and uptake, plant growth and crop yields.7,8 Therefore, information about ST is crucial to inform decisions on several agricultural activities, such as the proper design of drainage and irrigation systems, selection of appropriate planting dates and optimum utilisation of pesticides and fertilisers to reduce soil and groundwater pollution.6,9
Previous research has shown that ST varies with depth, with fluctuations in deeper layers being smaller than those near the soil surface due to their greater thermal memory and reduced sensitivity to short-term climatic variables.10 The primary drivers of ST are air temperature and solar radiation, while the secondary drivers are soil texture, soil colour, soil moisture content, thermal properties of soil (e.g. specific heat capacity and thermal conductivity), bulk density, evaporation from the soil surface, soil surface albedo and land cover.1,6,11
There is a growing need for accurate ST information at high temporal and spatial resolution due to its vital role in precision agriculture and climate change adaptation.1 2 11-14 Traditionally, ST is measured using costly and labour-intensive approaches such as thermometers, soil heat flux, time-domain reflectometry, ground-penetrating radar, thermocouples, thermistors and gamma attenuation.4,10,12,15 Although in situ measurements provide the most accurate ST data, they only provide point measurements that do not account for spatial variability, which is essential for various agricultural purposes and many other related applications.16 Despite recent technological advancements in sensors and devices, establishing, operating and maintaining uniformly distributed station networks for in situ measurements of ST remain very expensive.17 Consequently, in situ measurements of ST at various depths are not readily available from most of the standard weather stations and are often restricted to short-term research sites with limited spatial coverage.2 6 14 18-20 The scarcity of long-term, high-quality ST data is prominent in developing countries due to financial constraints.11 Consequently, ST is often estimated indirectly using modelling and remote-sensing approaches.2,12,16,21
Research Article
https://doi.org/10.17159/sajs.2025/18235
Although remote-sensing approaches provide valuable ST estimates with high spatial resolution and at a relatively lower cost, their major limitation is that only a few centimetres (2–7 cm) of soil depth are sensed from satellites.6 16 This limits the applicability of remote-sensing approaches in providing continuous ST estimates at different soil depths that are required for operational purposes, especially in areas with deep agricultural soils. As an alternative, ST is often estimated from readily available or easily measured variables such as solar radiation, air temperature and soil properties using modelling approaches.2,6,16 It is worth noting that the complexity, data input requirements and levels of accuracy vary with different models.2,22
Generally, models for estimating ST can be divided into two categories. The first category is mechanistic models that are based on the physical processes of energy balance and heat transfer.4 14 However, mechanistic models are complex and data intensive, which limits their applicability for operational purposes, especially in data-scarce countries.12 The second category is empirical models that are based on correlations with the readily available or easily measured variables using statistical methods.22 Considering that the correlations between explanatory variables and ST may not be linear, some advanced artificial intelligence methods have been successfully used to estimate ST at different depths in various countries across the world.4 5 12-14 19 23 24 For regions facing data constraints, the development and evaluation of alternative approaches for estimating ST using readily available data are crucial for various applications in sectors such as agriculture, environmental monitoring and management, construction and infrastructure as well as hydrology and water management.14 19 25 In this context, machine-learning approaches have been widely proposed as cost-effective and efficient alternatives for accurate estimation of ST at different depths by developing a non-linear relationship between ST and readily available meteorological variables using data from standard weather stations.4 12 13 19 23
To our knowledge, few studies have investigated the possibilities of using machine-learning methods in predicting ST in Africa, particularly in the southern African region, which is widely described as one of the major hot spots for climate change26, where, in turn, the need for accurate ST estimates for the full profile at high spatial resolution is imperative to support sustainable agricultural production under changing climatic conditions in this region. The availability of continuous in situ measurements of ST acquired for at least a 2-year period at some stations of the Agricultural Research Council (ARC) that represent a wide range of South African soil types and climatic conditions provided a distinctive opportunity to investigate the applicability of machine-learning methods in estimating ST in this region. Therefore, this study aimed to assess the performance of selected machine-learning approaches, ranging from simple multiple linear regression to sophisticated techniques for estimating daily ST at different depths using meteorological data in diverse climatic conditions for agricultural applications in South Africa.
The first objective of this study was to evaluate the performance of four machine-learning models – namely multiple linear regressions (MLR),
artificial neural networks (ANNs), random forests (RF) and decision trees (DTs) – in estimating daily ST at six depths across different climatic zones in South Africa. The second objective was to explore the effects of different climatic factors on the performance of each model for estimating ST. This study is expected to guide the selection of the most suitable machine-learning approaches that can be applied for accurate estimation of ST at different climatic conditions from readily available data in this region. This study is anticipated to be one of the first in this region that will contribute towards the development of improved ST forecasts, which are critical to inform efficient planning and decision-making in precision agriculture and many other related applications.
Study site description
Seven stations of the ARC were selected to develop and evaluate the performance of selected machine-learning approaches (Figure 1). These stations represent four different agro-climatic zones based on the Köppen–Geiger climate classification, namely BSk (arid, steppe and cold), Cwb (temperate, dry winter and warm summer), BSh (arid, steppe and hot) and Cfa (temperate, without dry season and hot summer).27 Detailed characteristics, climatic conditions and periods of available daily data from each station are presented in Table 1. The selection of these stations was based on the availability of quality ST data at different depths and corresponding meteorological data. All selected stations are located in agricultural lands where ST information is crucial for precision agriculture as climate variability and change continue to threaten the sustainability of agriculture in this region.
Methods and materials
selected machine-learning models for soil temperature estimation
Four selected machine-learning approaches for ST estimation (i.e. MLR, ANN, RF and DT) were evaluated. The selection of these approaches was based on their different structures, learning processes, complexity levels and assumptions. Moreover, these selected machine-learning approaches have been successfully applied over a wide range of climatic conditions across different countries.4 6 23 Brief descriptions of the machine-learning approaches that were used for the estimation of ST in this study are provided in the supplementary material
data collection and processing
Daily measurements of ST at six different depths (viz. 10, 20, 30, 40, 60 and 80 cm), along with minimum air temperature (Tmin in °C), maximum air temperature (T max in °C), solar irradiance (R s in MJ/m2), wind speed (U in m/s), minimum relative humidity (RHmin in %), maximum relative humidity (RHmax in %) and rainfall (mm) at each station, were extracted from the ARC databank (https://www.agroclimate.agric.za/W P/WP/). Detailed information regarding the climate databank of ARC and the measurement descriptions has been reported by Moeletsi et al.29
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Figure 1: Long-term (a) mean annual rainfall and (b) mean annual air temperature obtained from the automatic weather stations used in this study.28
table 1: Characteristics of the seven weather stations used in this study
The description of climatic conditions was based on the Köppen–Geiger climate classification of Beck et al.27
The retrieved data underwent a data quality control process to examine for missing values, rate of change, consistency, extreme values and sensor drift, as well as to identify and remove erroneous, suspicious and improbable values, following the procedures of Allen et al.30 and Myeni et al.31 Only data sets that passed our quality check were used for the evaluation of selected machine-learning approaches in this study.
training and testing of models
The selected machine-learning approaches were trained and evaluated for two different scenarios. For each soil depth, all ST data were grouped, regardless of climatic zones, and then used to train and test generic models for specific depths (Scenario 1), which are hereafter referred to as aggregated models. Furthermore, all ST data from the same depth and climatic zone were grouped and then used to train and test models for specific climatic zones and depths (Scenario 2).
The meteorological data were standardised by subtracting the mean and scaling to unit variance, as machine-learning approaches perform better when numerical variables are scaled to the standard range, following a similar procedure as Gómez-Escalonilla et al.32 Under each scenario, the data set was split into two parts randomly: the first 80% of the data set was used for training, while the remaining 20% of the data set was utilised for testing the models. All model training and predictions for this study were carried out using the Scikit-learn package in the Python programming language. A systematic process was used to test pairwise and higher-order combinations of different explanatory variables (meteorological variables). Only the combinations that computed the best output for each model were selected based on the highest adjusted coefficient of determination (r 2).5 23 24 After this exercise, rainfall and wind speed (U) were eliminated from input variables, as they had no significant influence on the outputs of the models at a 95% significance level.
statistical analysis
The root mean square error (RMSE, °C), mean absolute error (MAE, °C), Nash–Sutcliffe efficiency (NSE) and concordance correlation coefficient (CCC)were used to evaluate the performance of the model for the estimation of ST (°C) at different depths and were calculated using the following equations:
Equation 4
where i is the data pair index, n is the number of observations, S T e (°C) is the estimated ST from the model, S T o is the observed ST, S T o is the mean of S To, S T e is the mean of S Te, ρ is the correlation coefficient between the two variables, and σ o and σ e are the variances of S T o and S Te, respectively. A linear regression between ST e and S T o values was also computed: S T e = mS T o + c,
Equation 5
where the slope (m) was used as a measure of accuracy and c (°C) is the y-intercept. The coefficient of determination (r 2) was considered as a measure of precision. Based on these statistics, RMSE, MAE and c values approaching 0, and NSE, CCC, r 2 and m values approaching 1, indicate better model performance.4
r esults and discussion
description of meteorological and soil temperature data
The descriptive statistics of daily meteorological and ST data used for the training and testing of the machine-learning models are provided in Table 2. The results showed that ST at a 10 cm depth ranged between 4.80 °C and 39.50 °C with a mean of 21.26 °C, while at an 80 cm depth, it varied between 8.50 °C and 34.60 °C with a mean of 21.51 °C.13 18 Furthermore, the results also showed that the standard deviations of ST decreased with soil depths, thereby suggesting the minimal variability of temperatures at deeper soil layers compared to surface layers due to the substantial effects of atmospheric conditions on ST at topsoil layers, as also reported in previous studies.6,14,15,18 Nevertheless, the data illustrate diverse climatic conditions which are crucial for developing and testing machine-learning models that are efficient in estimating ST at various depths over diverse climatic regions.
Correlation analysis between weather variables and soil temperature at different depths
The results of the average correlations between weather variables and ST at various depths across all stations are presented in Figure 2. The results show that ST at different depths is highly correlated with air temperature, particularly with Tmin and T max. Furthermore, the results also indicate that R s had a significant and positive correlation with ST and emerged as the second most influential variable after air temperature, supporting the findings of previous studies.11 13 23 This finding is probably due to R s being the major source of soil heat and energy required for soil evaporation. Thus, high evaporation rates due to greater R s result in drier and warmer ST. In addition, rainfall, relative humidity and wind speed were not significantly correlated with ST at any depth (p < 0.05), as has been found in previous studies.18,23
table 2: Descriptive statistics of the data used for the training and testing of models
Tmin and T max are the minimum and maximum air temperatures, respectively; R Hmin and R H max are the minimum and maximum relative humidities, respectively; U is the wind speed; R s is the solar irradiance; SD is the standard deviation; ST10, ST20, ST30, ST40, ST60 and ST80 are the soil temperatures at 10, 20, 30, 40, 60 and 80 cm below the surface, respectively.
2: Average of correlations between weather variables and soil temperatures at various depths across all stations used in this study.
Figure
The results of this study are in agreement with those of previous studies, confirming that the influence of meteorological variables on ST gradually decreased with soil depth.13,14,18,20 For example, the correlation of T max with ST reduced from 0.78 at a depth of 10 cm to 0.64 at 80 cm.13,14,18,20 The significant correlations between weather variables and ST at various depths indicate that these variables could be used confidently as predictors of ST
evaluation of machine-learning models
Comparison of the selected machine-learning models at different depths
Generic models were developed following the procedure explained for Scenario 1 under ‘Data collection and processing’ section. Overall, the results indicated that relationships between observed and estimated STs
at various depths by different machine learning models were reasonable, with average NSE values ranging from 0.74 for DT models to 0.87 for RF models and RMSE values of less than 2.79 °C for all models (Figures 3–6; Table 3). The average MAE values ranged from 1.50 °C for RF models to 2.06 °C for DT models. The scatter plots illustrated that all the generic models tended to overestimate low ST and underestimate high temperatures, although the overall agreement between observed and estimated ST was reasonable.
The NSE values ranged between 0.79 and 0.90 for the topsoil (10 cm), while for the bottom layers (80 cm), they ranged between 0.69 and 0.84, while the RMSE and MAE values varied for different models and were not statistically different across the depths. This suggests that the efficiency of all generic models decreased with the increase in soil depth. Generally, soil moisture content increases with soil depth; therefore, higher-than-expected moisture in deep soil layers may have
Figure 3: Scatter plots showing comparisons between observed and estimated soil temperature (ST) at various depths by ar tificial neural networks.
reduced the correlations between meteorological variables and ST, leading to relatively lower model predictability.15 Moreover, the relatively high accuracy of the evaluated models at topsoil layers could be due to high correlations of meteorological variables with ST at the surface compared to deeper soil layers, supporting the findings of previous studies.4,11,14,19,20,24 However, this study contradicts some of the previous studies that reported the increased performance levels of the machine learning models with soil depth. These studies argued that this was mainly due to a stronger memory of the ST at deeper soil layers as a result of the minimal influence of surface meteorological conditions, which in turn increases its predictability.12,14,15
The results further showed that the RF and ANN models performed better than the MLR and DT models at multiple depths, which is consistent with other previous studies.1 15 20 However, RF models showed better performance than ANN models at most soil depths,
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with NSE values ranging from 0.84 to 0.90 compared to 0.83 to 0.89 for the ANN models. These findings suggest that RF models had the highest estimation accuracy among the evaluated generic models across different soil depths. On average for the temperature of the whole soil profile, the RF exhibited the lowest RMSE (1.98 °C) and MAE (1.50 °C) and the highest CCC (0.93) and NSE (0.87), outperforming the rest of the models.1 15 20 The DT models showed relatively poor efficiency, particularly for estimating ST at deeper soil layers (below 30 cm), with NSE values of less than 0.75.14 Furthermore, this study confirmed that the MLR models had limited capabilities of capturing non-linearity between meteorological variables and ST due to their simple and linear structures.5 14 These findings are in accordance with those of previous studies that have reported that the performances of the different machine-learning approaches vary with their structures, learning capabilities and prediction power.14,23,24
Figure 4: Scatter plots showing comparisons between observed and estimated soil temperature (ST) at various depths by decision tree.
by multiple linear regressions.
Comparison of the selected machine-learning models at different climatic zones
The generic models were developed for specific climatic zones following the procedure explained for Scenario 2, under ‘Data collection and processing’ section. The average performances of each machine learning model at different climatic zones are presented in Table 4 Detailed information on the performance of the climate-specific models per depth is presented in Supplementary table 1
Among the evaluated models, RF had the highest estimation accuracy across different climatic zones, with average NSE values ranging from 0.90 (BSk and Cfa) to 0.95 (Cwb), and average RMSE values varying between 1.06 °C (BSk) and 1.74 °C (Cwb). These findings demonstrate the capability of the RF model in providing accurate estimates of ST across a wide range of climatic zones
(i.e. arid and humid) in this region. In contrast, among the evaluated models, DT gave the worst performance in the estimation of ST across different climatic zones, with average NSE values ranging from 0.80 to 0.89 and RMSE values varying between 1.46 °C and 2.33 °C.
In accordance with the findings of Dong et al.11 and Bayatvarkeshi et al.24, our results show that the accuracy of models varies across different climatic conditions, with better model performance observed under temperate, dry winter and warm to hot summer climatic conditions (Cwb and Cfa) compared to cold or hot semi-arid zones (BSk and BSh). The better model performances in subtropical climatic conditions could be attributed to smaller differences between soil and air temperatures, which led to stronger correlations and improved model predictions.15 24 The variation of model performances across different climatic zones could be attributed to the capabilities of specific models in capturing the influence of dominating factors, such as weather conditions,
Figure 5: Scatter plots showing comparisons between observed and estimated soil temperature (ST) at various depths
geographical and environmental factors as well as soil properties on ST in certain regions.11-13 Although machine-learning models are black boxes and lack explicit scientific principles (e.g. physical processes of heat transfer), the results show that the direction of error in ST estimates with depth varies by region. This is probably due to the dominance of morphological and climatic factors influencing ST variations in specific regions as well as the learning capabilities of the model used.
Implications and applicability of the study
Our findings show that the accuracy of ST estimates by generic models decreases with soil depth, probably due to the influence of soil physical properties and the relatively low correlation of meteorological variables in deep soils. This suggests that including soil properties such as soil organic matter, soil texture and soil water content could improve the accuracy of ST estimates at deeper layers.11 Our findings demonstrate
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thatSTatdifferentdepthscouldbereliablyestimatedfrommeteorological data using machine-learning approaches and RF should be prioritised for more accurate estimates.
The accuracy of models varies across different climatic conditions, with better model performances observed under subtropical climatic conditions. This suggests that the characteristics and predictability of ST vary across different climatic zones, limiting the transferability of machine-learning models across different regions with distinct physiographicconditions,mainlyintermsofclimatologicalandpedological properties.14 Our findings also indicate that the overall performance of climate-specific models was better than that of the aggregated ones. This suggests that machine-learning models, particularly RF, should be developed for specific climatic conditions where possible for better ST estimations. Given that local models are more accurate (presented in Supplementary table 2), the development of station-specific RF models
Figure 6: Scatter plots showing comparisons between obser ved and estimated soil temperature (ST) at various depths by random forests.
table 3: Statistical results of the comparisons between the measured and estimated soil temperatures at specific depths by different models
RF, random forest; ANN, artificial neural network; MLR, multiple linear regression; DT, decision tree; RMSE, root mean square error; MAE, mean bias error; CCC, concordance correlation coefficient; NSE, Nash–Sutcliffe efficiency
table 4: Statistical results of the comparisons between the measured and estimated soil temperatures in different climatic zones by different models
RF, random forest; ANN, artificial neural network; MLR, multiple linear regression; DT, decision tree; RMSE, root mean square error; MAE, mean bias error; CCC, concordance correlation coefficient; NSE, Nash–Sutcliffe efficiency
will be beneficial for the gap-filling of ST data using readily available climate data from stations at locations facing data discontinuity.
Although air temperatures and R s were key factors influencing ST, the findings of this study confirm that including other meteorological factors (high and low correlation variables) as inputs improved the accuracy of the machine-learning models.11,14 However, the explanatory variables should be selected with caution to avoid overfitting, reduce unnecessary data input and maintain low model efficiency, due to the complex relationships between the inputs and output caused by irrelevant variables. Given that machine-learning models are highly sensitive to the training data, it is crucial to develop more robust models for accurate estimation of ST using long-term, large data sets from multiple agro-climatic conditions.
For agricultural applications, the next logical step will be to develop and validate an RF-based model to estimate ST in the field, using standard meteorological data acquired from the nearby weather station. From these ST estimates, various indices with implications for precision agriculture can be computed and used to inform decision-making (e.g. suitable planting dates) within the context of sustainable agriculture and climate adaptation. Although the focus of this study was on estimating ST for agricultural applications, its findings can be useful to inform the choice of the most suitable machine-learning approaches that can be applied for accurate estimation of ST for various other applications.
Conclusions
This study was undertaken to evaluate the performance of four machine-learning models as alternative and cost-effective tools for estimating daily ST at six depths from meteorological data in diverse
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climatic conditions for agricultural applications in South Africa. The results show that air temperature and R s were the key variables influencing the variability of ST and their effects gradually decreased with soil depth. The results also show that the accuracy of ST estimates by aggregated models decreases with soil depth due to the influence of soil physical properties and the relatively low correlation of meteorological variables at deeper soil layers. The results reveal that the accuracy of models varies across different climatic conditions, and better model performance was observed under subtropical climatic conditions due to minimal differences between ST and air temperature.
The findings of this study demonstrate the capabilities of RF models in providing reasonable estimates of ST over diverse climatic conditions for agricultural and related applications in South Africa. The findings also show that the characteristics and predictability of ST vary across different climatic zones, limiting the transferability of machine-learning models across different regions. This suggests that, although generic models provided acceptable results in predicting ST, the use of local or climate-specific models should be prioritised for more accurate estimates. Given the continuous evolution of machine-learning approaches with improved capabilities, it is recommended that the efficiency of other new and innovative machine-learning models be explored. Therefore, the continuous development and testing of new machine-learning approaches using large data sets from various climatic regions are recommended for improved ST estimates. Despite that, machine-learning techniques such as RF are promising approaches for the provision of reliable ST estimates that are crucial to inform efficient planning and decision-making for precision agriculture and many other applications where ST information is essential. Due to the range of climatic conditions in which these models were developed and validated, they can be applied with caution in other regions with similar climatological and pedological properties.
Acknowledgements
The ARC–Natural Resources and Engineering is gratefully acknowledged for providing data.
Funding
Funding from the South African National Research Foundation (grant no. CSRP230503101419) is gratefully acknowledged.
Data availability
The data supporting the results of this study are available upon request to the corresponding author.
Declarations
We have no competing interests to declare. We have no AI or LLM use to declare.
Authors’ contributions
L.M.: Conceptualisation, methodology, software, validation, formal analysis, writing – original draft preparation, writing – review and editing. T.N.: Methodology, software, validation, formal analysis, writing –original draft preparation, writing – review and editing. R.R.: Validation, writing – review and editing. Z.B.: Validation, writing – review and editing.
M.E.M.: Validation, writing – review and editing. All authors read and approved the final manuscript.
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AUTHORS: Alison Bentley1
Laura C. Roden2 3 4
Jonathan P. Davy5
Stella Iacovides6
F. Xavier Gómez-Olivé7
Karine Scheuermaier6
Raphaella Lewis8
Gosia Lipinska8
Johanna Roche6
Candice J. Christie5
Swantje Wells5
Dale E. Rae3,4
AFFILIATIONS:
1Department of Family Medicine, Faculty of Health Sciences, University of the Witwatersrand, Johannesburg, South Africa
2Centre for Health and Life Sciences, School of Life Sciences, Faculty of Health and Life Sciences, Coventry University, Coventry, UK
3Health through Physical Activity, Lifestyle and Sport Research Centre, Department of Human Biology, Faculty of Health Sciences, University of Cape Town, Cape Town, South Africa
4Division of Physiological Sciences, Department of Human Biology, Faculty of Health Sciences, University of Cape Town, Cape Town, South Africa
5Department of Human Kinetics and Ergonomics, Rhodes University, Makhanda, South Africa
6Brain Function Research Group, School of Physiology, Faculty of Health Sciences, University of the Witwatersrand, Johannesburg, South Africa
7MRC/Wits Rural Public Health and Health Transitions Research Unit (Agincourt), School of Public Health, Faculty of Health Sciences, University of the Witwatersrand, Johannesburg, South Africa
8Sleep Sciences and Applied Cognitive Science and Experimental Neuropsychology Team (ACSENT), Department of Psychology, University of Cape Town, Cape Town, South Africa
CORRESPONDENCE TO: Gosia Lipinska
EMAIL: gosia.lipinska@uct.ac.za
DATES:
Received: 16 Aug. 2023
Revised: 29 Apr. 2025
Accepted: 29 Apr. 2025
Published: 29 May 2025
Deterioration of sleep and mental health in individuals with insomnia during South Africa’s COVID-19 lockdown
Sleep and mental health difficulties have been observed in response to COVID-19 pandemic-induced lockdowns, but few studies have described the impact of lockdown on individuals with self-reported insomnia. The purpose of this study was to compare the impact of lockdown on changes in symptoms of insomnia, depression and anxiety between persons with and without self-identified insomnia. In total, 1048 adult participants from the general South African population took part in this retrospective observational study during Alert Levels 4 and 3 in May and June 2020. They completed an online survey assessing current and past self-reported sleep disorders. Symptom profiles of insomnia (Insomnia Severity Index), depression (Patient Health Questionnaire-2) and anxiety (Generalised Anxiety Disorder 7-item scale) were assessed immediately before and during a 5-week lockdown (March–April 2020). Comparative analyses were conducted between participants who identified a current or previous diagnosis of insomnia (n = 135, Insomnia group, irrespective of whether they had current symptoms or not) and those reporting no sleep disorders (n = 700, No-Insomnia group). Participants who reported multiple sleep disorders were excluded from the analyses (n = 213). Symptoms of insomnia (p < 0.001), depression (p = 0.001) and anxiety (p = 0.001) worsened in all participants during lockdown compared to pre-lockdown measures. Time-by-group interaction effects were observed for all measures (p < 0.001) such that the Insomnia group reported larger increases in insomnia (p < 0.001), depression (p < 0.001) and anxiety (p < 0.001) scores compared to the No-Insomnia group during lockdown. Participants with self-reported insomnia, even if currently asymptomatic, were more vulnerable to worsening insomnia and depressive and anxiety-related symptoms during lockdown compared to those with no insomnia. This highlights vulnerability to mental-health-altering situations in individuals with self-identified insomnia, and thus the necessity to provide mental health support for this patient population.
Significance:
Individuals who self-identified as insomniacs, even if they had minimal clinical symptoms of insomnia before the COVID-19-associated lockdown, experienced worsening of sleep initiation and maintenance, as well as symptoms of depression and anxiety during lockdown. These findings suggest that these individuals either identify with an insomnia identity or are vulnerable to sleep and mental health difficulties in stressful contexts.
Introduction
The COVID-19 pandemic led to many changes in countries across the globe, including the introduction of ‘lockdowns’ aimed at limiting the spread of viral infection. South Africa’s first hard lockdown (Alert Level 5) lasted 5 weeks (27 March–30 April 2020). Except for essential workers, people were allowed to leave home only for medical treatment or essential services during this period. Work activities were modified to occur at home, and exercise was limited to the home environment. Alert Level 4 lasted the month of May 2020 and was characterised by a restricted exercise period between 6:00 and 9:00. Individuals could walk, jog or cycle individually during this time, but national parks, where people typically exercise, remained closed during this time. Alert Level 3 was implemented in June 2020 and represented an easing of these restrictions. The lockdown periods provided a unique opportunity to examine the impact of changes in enforced routine-oriented behaviours on sleep disorders and sleep parameters on a background of limited data describing the frequency of sleep disorders in the South African population.
Several studies in South Africa and worldwide1-3 showed lockdown-induced increases in sleep duration, a delay in sleep timing and increases in symptoms of insomnia, depression and anxiety4. The general increases in anxiety and depressive symptoms that occurred during lockdown, described in many countries across the globe5-7 including South Africa4,8, are presumed to be contributing factors to pandemic-related sleep difficulties. Stress is a well-described trigger for acute insomnia.9 People who have previously experienced stress-induced insomnia may have an increase in sleep reactivity, described as a vulnerability to future insomnia with other stressful events.10 The additional stress induced by lockdown measures may therefore worsen the sleep of patients with insomnia, even if not currently symptomatic, more than those with no insomnia.
Other reasons for worsened insomnia could include changes in sleep patterns induced by lockdowns. Extensions and delays in bedtime and wake-up time, as reported in individuals with the disorder previously4, may worsen sleep efficiency with longer times spent awake in bed2. Sleep extension is a key perpetuating factor for chronic insomnia11, and sleep restriction is a key component of cognitive behavioural therapy for the treatment of insomnia12. Thus, multiple factors may induce worsened sleep during lockdown in people with pre-existing insomnia compared to those without insomnia. Very few studies have investigated how these sleep and psychological changes in response to lockdown impacted people who had insomnia before lockdown.
Thus, our first aim was to report on the frequency of sleep disorders in South African adults who responded to a nationwide survey of lifestyle changes in response to the COVID-19 lockdown. Our second aim was to compare
2025 https://doi.org/10.17159/sajs.2025/16682
hoW to CItE:
Bentley A, Roden LC, Davy JP, Iacovides S, Gómez-Olivé FX, Scheuermaier K, et al. Deterioration of sleep and mental health in individuals with insomnia during South Africa’s COVID-19 lockdown. S Afr J Sci. 2025;121(5/6), Art. #16682. https:// doi.org/10.17159/sa js.2025/16682
lockdown-induced changes in sleep and symptoms of insomnia, depression and anxiety between persons who identified as having insomnia and those who did not. We hypothesised that participants with self-reported insomnia would be impacted more severely by the pandemic-induced lockdown than those without insomnia.
We present a sub-analysis of data collected as part of a larger observational study4 designed to assess routine-oriented lifestyle behaviours (work, sleep, physical activity, screen time, meal timing, caffeine and alcohol consumption) as well as symptoms of depression, anxiety and insomnia in South African adults before and during the 5-week COVID-19 pandemic national Alert Level 5 lockdown.
The online survey was distributed during Alert Levels 4 and 3 between 12 May and 15 June 2020 through formal academic mailing lists and professional and personal social media networks of the research staff, with participants being further encouraged to pass on the survey through their own networks. The full sampling strategy of this study has been described previously.4 Most (90%) of the participants were enrolled between 15 and 31 May 2020 during Alert Level 4. Respondents were required to answer questions for two time points: before lockdown (defined as the 3 months before lockdown, i.e. January, February and March 2020) and during lockdown (defined as the 5 weeks of Level 5 lockdown, i.e. 27 March to 30 April 2020).
Participants
Persons older than 18 years of age with a primary place of residence in South Africa before and during the period of COVID-19 lockdown were eligible to participate in the parent study.4 All participants (n = 1048) gave informed consent before completing the survey. Ethical clearance was obtained from the Rhodes University Human Ethics Committee (review reference 2020-1459-3468) and the Department of Psychology Ethics Committee at the University of Cape Town (PSY2020-014). Given the paucity of data on sleep disorders among South Africans, data from all participants in the parent study were used to report on the prevalence of sleep disorders (Aim 1). For Aim 2, we compared those participants who self-identified as suffering from insomnia but did not report suffering from any other sleep disorder (Insomnia group, n = 135) to those who did not report suffering from any sleep disorder (No-Insomnia group, n = 700). For this set of analyses, we excluded all participants with other or multiple sleep disorders (n = 213).
survey
Full details of the survey (including demographic, medical history, work, sleep and physical activity questions) have been published previously.4 Customised questions about sleep disorders were asked: ‘Do you suffer from, or have you been diagnosed with any of the following sleep-related disorders or conditions? Select all that apply’. Possible sleep disorders were listed as insomnia, obstructive sleep apnoea, central sleep apnoea, snoring, narcolepsy, restless legs syndrome, periodic limb movement disorder, sleep-related rhythmic movement disorder, bruxism, circadian rhythm disorders, parasomnias and others. Participants who indicated that they either currently suffer from insomnia or have been diagnosed with it in the past, formed the Insomnia group. Similarly, we asked, ‘Do you suffer from or have you been diagnosed with any of the following chronic conditions (current or past)? Select all that apply’. Amongst disorders listed (such as asthma, heart disease and cancer), participants could select depression and anxiety. Participants, thus, could indicate that they currently experienced, or were previously diagnosed with, depression and/or anxiety. In addition, participants were asked to detail their usual bedtimes, wake-up times, total sleep times and use of sleep medications.
Symptoms of insomnia, depression and anxiety were assessed using the Insomnia Severity Index (ISI)13, the Patient Health Questionnaire-2 (PHQ-2)14 and the Generalised Anxiety Disorder 7-item (GAD-7) scale15, respectively. The ISI was used to measure symptoms. It consists of seven items that assess the perceived severity of difficulties initiating sleep, staying asleep and early morning awakenings; satisfaction with the current sleep pattern; interference with daily functioning; noticeability of impairment attributed to the sleep problem; and degree of distress or concern caused by the sleep problem. Scores range from 0 to 28, with higher scores indicating a higher degree of insomnia severity. Scores of 0–7 indicate ‘No clinically significant insomnia’, 8–14 ‘Subthreshold insomnia’, 15–21 ‘Clinical insomnia (moderate severity)’ and 22–28 ‘Clinical insomnia (severe)’.16
The PHQ-2 was used to assess the frequency of depressed mood and anhedonia. Scores range from 0 to 6, with higher scores indicating greater levels of depression and scores of 4 or more indicating the likelihood of a depressive disorder.14 The GAD-7 scale was included to screen for generalised anxiety disorder. Scores range from 0 to 21, with higher scores indicating greater levels of anxiety.15
data and statistical analyses
Data are presented as the mean with standard deviation (SD), median with interquartile range (IQR) or frequency (percentage). The Shapiro–Wilk test was used to assess normality. We created an ISI clinical category (>15 points) by combining ISI severity categories of moderate (15–21 points) and severe clinical insomnia (22–28 points) due to small numbers in the severe category. The total ISI scores, individual items within the ISI, GAD-7 scores and PHQ-2 scores were treated as non-parametric data and analysed accordingly. Between-group comparisons were made using an independent t-test, Mann–Whitney U test, Chi-squared test or Fisher’s exact test. Post-hoc comparisons of categorical data were done using Fisher’s exact test, correcting for multiple comparisons. Comparisons between the before and during lockdown time points were made using mixed-effects linear regression models, Wilcoxon signed-rank test, McNemar’s test or Bowker’s test of symmetry. In addition to our primary analyses, we explored worsened and improved insomnia symptoms in the Insomnia and No-Insomnia groups to examine how lockdown changed the profile of symptoms within each group. We conducted this analysis using Fisher’s exact test. Data SA’s COVID-19 lockdown effects on individuals with insomnia
were analysed using Stata v15.1 (StataCorp, Texas, USA) and GraphPad Prism v5.02 (Graphpad.com). Statistical significance was accepted at p < 0.05.
Results
Frequency of self-reported sleep disorders in all participants
Of the 1048 participants, 348 (33.2%) indicated that they suffered from a sleep disorder. Figure 1 displays the percentage of the various self-reported sleep disorders in this study. Insomnia was the most common sleep disorder reported (n = 197; 18.8% of the 1048 participants), with 135 participants (12.9% of the 1048) reporting insomnia as the only sleep disorder.
Nearly three-quarters of people with a sleep disorder reported having only one sleep disorder (n = 246, 70.7%), a fifth reported having two sleep disorders (n = 70, 20.1%) and 7.2% (n = 25), 1.4% (n = 5), 0.3% (n = 1) and 0.3% (n = 1) reported three, four, five or six sleep disorders,
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respectively. The most commonly co-occurring sleep disorders were insomnia and snoring (n = 23, 2.2%), insomnia and parasomnia (n = 19, 1.8%), insomnia and restless legs syndrome (n = 17, 1.6%), insomnia and a circadian-related disorder (n = 17, 1.6%), snoring and restless legs syndrome (n = 12, 1.1%), a circadian-related sleep disorder and parasomnia (n = 12, 1.1%) and insomnia and bruxism (n = 11, 1.0%).
Only 3% (n = 31) of participants used medication to sleep, including amitriptyline, clobazam, zolpidem, zopiclone, quetiapine and melatonin.
Changes in self-reported insomnia symptoms in all participants
The ISI scores among the whole sample worsened during lockdown compared to before lockdown. The total ISI score increased from a median of 4 (IQR: 2–8) before lockdown to 10 (4–15) during lockdown (p < 0.001). The distribution of the proportions of the population in each of the three ISI severity categories was different before lockdown compared to during lockdown (Figure 2, p < 0.001). Post-hoc analyses showed that there were significantly more participants in the subthreshold (p < 0.001) and clinical insomnia (p < 0.001) categories during
2: Insomnia Severity Index (ISI) categories before and during lockdown for all participants (n = 1048). Data are presented as percentages. No insomnia: ISI score 0–7, subthreshold insomnia: ISI score 8–14, clinical insomnia: ISI score ≥15. The p-value represents a between-group (dependent) frequency comparison using McNemar’s test.
Figure 1: Percentage of self-reported sleep disorders among all participants (n = 1048).
RLS, restless legs syndrome; CRD, circadian rhythm disorder; PLM, periodic limb movement disorder; OSA, obstructive sleep apnoea; CSA, central sleep apnoea
Figure
lockdown compared to before lockdown. Correspondingly, fewer people were categorised as having no clinically significant insomnia during lockdown than before lockdown (p < 0.001).
Comparisons between the Insomnia and No-Insomnia groups
The general characteristics of these two groups before lockdown are presented in Table 1. Compared to the No-Insomnia group, participants in the Insomnia group were significantly more likely to be women (p = 0.023), to report chronic medical conditions (p < 0.001) and have higher insomnia (p < 0.001), depressive (p = 0.002) and anxiety (p < 0.001) scores. The Insomnia group also included more individuals who self-reported a history of depression (p < 0.001) and anxiety (p < 0.001), and a greater proportion of participants in the Insomnia group (n = 19/135, 14.1%) were taking medication to sleep compared to those in the No-Insomnia group (n = 14/700, 2.0%, p < 0.001). The mean total sleep time of those participants in the Insomnia group on sleep-promoting medication (n = 19, 7.0 ± 1.3 h) was not different from those who were taking other medications (n = 31; 7.0 ± 0.8 h) or those who did not supply any information on medication use (n = 85; 7.1 ± 1.1 h, p = 0.965).
Finally, there were no differences between the Insomnia and No-Insomnia groups for self-reported alcohol or caffeine consumption and exercise levels.
The sleep characteristics of both groups before and during lockdown are shown in Table 2. There was a main effect of time for all variables, indicating that the participants went to bed later, woke up later, spent more time in bed and increased total sleep time during lockdown compared to before lockdown. There was no group main effect for any of the variables, but there was a time-by-group interaction effect for wake-up time (p = 0.038) and total sleep time (p = 0.042). Specifically, the delay in wake-up time during lockdown was greater in the Insomnia group (±2.1 h) compared to the No-Insomnia group (±1.75 h), and only the No-Insomnia group had significantly increased total sleep time (±22 min) during lockdown compared to before lockdown (both p < 0.050).
Figure 3 shows changes in symptoms of insomnia (ISI, 3A), anxiety (GAD-7, 3B) and depression (PHQ-2, 3C) in response to the lockdown for the Insomnia and No-Insomnia groups. ISI (p < 0.001) categories, GAD-7 (p = 0.001) and PHQ-2 (p = 0.001) scores increased significantly for all participants during lockdown compared to before lockdown. A time-by-group interaction effect was observed for ISI, GAD-7 and PHQ-2 (all p < 0.001). Specifically, post-hoc analyses indicate that the Insomnia group reported greater increases in ISI (p < 0.001), GAD-7 (p < 0.001) and PHQ-2 (p < 0.001) scores compared to the No-Insomnia group during lockdown.
The self-reported ISI severity categories of the two groups before and during lockdown are presented in Table 3. In all cases, there were
Table 1: General characteristics of the Insomnia and No-Insomnia groups (N = 835)
ISI, Insomnia Severity Index; PHQ-2, Patient Health Questionnaire 2-item; GAD, Generalised Anxiety Disorder 7-item scale; MVPA, moderate and vigorous intensity physical activity. Data are presented as median (interquartile range) or count (%). p-values were determined using Mann–Whitney U and Chi-squared tests as appropriate. For a comprehensive description of participants’ characteristics, please refer to Davy et al.4
Table 2: Self-reported sleep characteristics of the Insomnia and No-Insomnia groups before and during lockdown (N = 835)
Data are presented as mean ± standard deviation; p-values were determined using mixed-effects linear regression models covarying for age.
Figure 3: Insomnia (A), anxiety (B) and depression (C) symptom severity scores before and during lockdown in the Insomnia (n = 135) and No-Insomnia (n = 700) groups. The distributions of the data are represented as violin plots, with the horizontal lines indicating medians and 25th and 75th percentiles. Interaction, time and group effects were determined using mixed-effects linear regression models.
Table 3: Insomnia Severity Index (ISI) categories for the Insomnia and No-Insomnia groups before and during lockdown (N = 835)
Insomnia (n = 135)
No-Insomnia (n = 700) Before During Before During
ISI 0–7: No clinical insomnia
ISI 8–14: Subthreshold
ISI
Data are presented as frequency (%). Within-group comparisons (before vs during lockdown) were made using McNemar’s test, and Bowker’s test of symmetry was used for post-hoc analyses.
significant changes when comparing during lockdown with before lockdown (all p < 0.001), except for the participants with subthreshold insomnia in the Insomnia group (p = 0.201).
Figure 4 compares the percentage of participants in the Insomnia and No-Insomnia groups whose ISI symptoms worsened, improved or remained unchanged during lockdown. “Got worse’ was defined as moving from a lower to higher ISI category (e.g. moving from the subthreshold group to the clinical group), while ‘Got better’ was defined as moving from a higher to a lower category. Within the ISI-defined ‘No clinical insomnia’ category before lockdown, more people in the Insomnia group reported worsening of insomnia symptoms during lockdown compared to the No-Insomnia group (80% vs 44.6%; p < 0.001). More participants in the No-Insomnia group (53.4%) remained unchanged compared to the Insomnia group (20.0%; p < 0.001). Likewise, in the ISI-defined ‘Subthreshold insomnia’ category before lockdown, more people in the Insomnia group (57.7%) reported worsening of insomnia symptoms during lockdown compared to the No-Insomnia
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group (26.5%; p < 0.05) and more of those in the No-Insomnia group reported improvement (29.9%) compared to the Insomnia group (33.8%; p < 0.05, post-hoc tests on Chi-squared; overall p < 0.001). Of the participants who were classified as having ISI-defined ‘Clinical insomnia’ before lockdown, no differences were observed in the number of participants who ‘got worse’, were ‘unchanged’ or who ‘got better’ between the Insomnia and No-Insomnia groups (p = 0.474).
Discussion
In this online survey of sleep and lifestyle behaviours before and during the stringent Alert Level 5 lockdown (25 March to 1 May 2020) in South Africa, a third of participants reported having a sleep disorder, most commonly insomnia, with an overall worsening of insomnia symptoms in the whole population during lockdown when compared to before lockdown. Participants with self-reported insomnia before lockdown were more likely to have worse insomnia during lockdown compared to those with no self-reported sleep disorder. This was particularly true
Figure 4: Changes in Insomnia Severity Index (ISI) symptom category compared to before the lockdown in both the Insomnia and No-Insomnia groups (x-axis) during lockdown. The first pair of bars represents the participants whose ISI score before lockdown placed them in the No clinical insomnia category (ISI score: 0–7). The second pair of bars represents the participants categorised as Subthreshold insomnia before lockdown (ISI score: 8–14) and the third pair represents those categorised as Clinical insomnia (ISI score: >15).
for those who, despite self-identifying as having insomnia, endorsed no or subthreshold insomnia symptoms on a standardised insomnia questionnaire, indicating an increased vulnerability to the circumstances of lockdown in these participants.
The number of people presenting with sleep disorders in our participants (33%) was similar to that found in other studies of South Africans, although in older age groups.17,18 The observations of self-reported obstructive sleep apnoea and restless legs syndrome were lower than expected in our study, but we speculate that this may be due to the younger age of respondents and the likely limited awareness of sleep disorders in the South African population. Two studies using South African data have estimated the prevalence of moderate-to-severe obstructive sleep apnoea in middle-aged and older South Africans to be over 25%.19,20 The occurrence of insomnia (18.8%) was lower than that found in a previous study across many countries including South Africa (45%)17 and higher than a study on South African students (7.5%)21 More population studies are required for more accurate prevalence data of all sleep disorders in South Africa.
We observed discrepancies in insomnia symptoms when comparing the No-Insomnia and Insomnia groups. There was an unexpectedly higher proportion of participants with self-reported insomnia who did not have an ISI score greater than 14. It may be that South Africans in this cohort misunderstood the meaning and criteria for a diagnosis of insomnia, or that participants who had previously had insomnia but did not currently suffer from it also answered in the affirmative. One possibility is that these participants have an insomnia identity22 or, simply, that they just remembered having had insomnia at some point in their lives. Despite this inconsistency, the Insomnia group overall had higher mean ISI scores compared to the No-Insomnia group. A high proportion of
asymptomatic patients with previous insomnia in the Insomnia group may explain why there was no difference in most of the sleep measures between the Insomnia and No-Insomnia groups before lockdown.
There was an increase in the severity of insomnia symptoms and severity categories in the whole population during lockdown compared to before lockdown, consistent with other studies.23 Most of these previous studies, however, did not differentiate between patients with sleep disorders and those without.23 Our data show that in a group of individuals where other sleep disorders have been specifically excluded, there is a worsening of insomnia, depression and anxiety scores during lockdown when compared to pre-lockdown scores. The association between poor sleep health and an increase in anxiety and depression during the pandemic has been shown across multiple countries and studies.24,25 Lockdown and the pandemic itself would have exacerbated anxiety for various reasons, including fear of contracting the virus, separation from loved ones, worries about the economy, potential job losses and financial hardship.
Participants in the Insomnia group were significantly more likely to be women and have chronic conditions, especially depression and anxiety, similar to patients with insomnia worldwide. This finding confirms the strong and consistent association between sleep problems and self-reported anxiety and depression.25 When compared to the No-Insomnia group during lockdown, the Insomnia group had more severe changes in insomnia, depression and anxiety symptoms, indicating an increased vulnerability to a stressful situation. We had anticipated such findings as both anxiety and depression have bidirectional relationships with poor sleep.25 The association found does not, however, imply a causative mechanism. It is unclear whether this vulnerability will lead to chronic insomnia, anxiety and depression post-lockdown, as shown
in some studies26, or whether this worsening is acute and self-limiting, as in intermittent acute insomnia27. Our data show that individuals who self-reported current or previous insomnia, but who had no or subthreshold insomnia symptoms before lockdown, were disproportionately likely to experience worsening symptoms during lockdown, in comparison to those who did not self-identify as having insomnia. Two possible explanations may account for these findings. Firstly, individuals may have an insomnia identity with which they align, even if they are not currently experiencing insomnia symptoms.22 Additionally, or alternatively, based on their previous insomnia experience, they may be vulnerable to insomnia when stressful experiences present themselves (that is, they may show sleep reactivity10). Both of these mechanisms independently predict an increased likelihood of worsening of sleep under stressful conditions in people who have had previous episodes of insomnia.
Limitations
Respondents of this survey were mainly young adults (mean age: 27 years) with access to the Internet, and thus the data cannot be extrapolated to an older population or the general population in South Africa. The population was limited to the social media networks of the researchers and their professional societies and the student populations, which, while unavoidable due to lockdown, limited the reach of the survey. We acknowledge that there may have been a recall bias in our participants when asked to evaluate their symptoms before lockdown. The study also relied on self-reported data for insomnia, depression and anxiety diagnoses, which may be clinically inaccurate.
Conclusion
In these participants, South Africans experienced worsening of insomnia, depression and anxiety during lockdown. These effects were more pronounced in individuals who self-identified as suffering from insomnia, either currently or previously. Furthermore, participants with self-identified insomnia, but who reported either no or subthreshold insomnia symptoms before lockdown, were more likely to experience worsened insomnia during lockdown in comparison with those who did not identify with current or previous insomnia. These findings highlight a higher vulnerability to mentalhealth-altering situations in individuals with self-identified insomnia, and thus the necessity to provide mental health support for this patient population.
Finally, there is also a need for better prevalence data and more insight into the understanding of sleep disorders in the South African population.
Acknowledgements
J.R. was supported by a postdoctoral research fellowship from the University of the Witwatersrand’s University Research Council.
Data availability
The participants of this study did not give written consent for their data to be shared publicly, so due to the sensitive nature of the data, they cannot be made available.
Author contributions
A.B.: Conceptualisation, data collection, writing – the initial draft, writing –revisions. L.R.: Conceptualisation, data collection, writing – revisions. J.D.: Conceptualisation, data collection, writing – revisions. S.I.: Conceptualisation, data collection, writing – revisions. F.X.G-O.: Conceptualisation, data collection, writing – revisions. K.S.: Conceptualisation, data collection, writing –revisions. R.L.: Conceptualisation, data collection, writing – revisions. G.L.: Conceptualisation, data collection, writing – revisions. J.R.: Conceptualisation, data collection, writing – revisions. C.C.: Conceptualisation, data collection, writing – revisions. S.W.: Conceptualisation, data collection, writing –revisions. D.R.: Conceptualisation, data collection, writing – revisions, statistical analysis, figure compilation.
Declarations
We have no competing interests to declare. We have no AI or LLM use to declare. All authors read and approved the final manuscript.
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