development perspective on policy management christo bierman de coning doctor of literature and

415 Pages·2014·9.76 MB·English

DEVELOPMENT PERSPECTIVE
ON POLICY MANAGEMENT
by
CHRISTO BIERMAN DE CONING
submitted in accordance with the requirements
for the degree of
DOCTOR OF LITERATURE AND PHILOSOPHY
in the subject
DEVELOPMENT ADMINISTRATION
at the
UNIVERSITY OF SOUTH AFRICA
PROMOTER: PROF H J SWA NEPOEL
JOINT PROMOTER: PROF S F COETZEE
NOVEMBER 1995
i
ACKNOWLEDGEMENTS
This study has come to :fruition through sustained support, m sometimes trying
circumstances, on the part of the following persons and organisations. First,
acknowledgement to my promoter, Professor Hennie Swanepoel and his Department for
guidance and support. His enabling style and experience provided a consistent and
challenging environment for the preparation of this thesis. My appreciation to my joint
promoter, Professor Stef Coetzee, for his support.
My thanks to colleagues Deon Richter, Nick Vink, Chris Heymans, Jan Koster, Elmarie
Oosthuizen, Vincent Potloane and David Mmakola at the DBSA 's Centre for Policy and
Information for their many creative inputs, questions and professional style. I would also
like to express my gratitude to colleagues Renosi Mokate and Bertus de Villiers for their
insights during our participation in the demarcation exercise. My thanks to Mark Swilling
for intellectual challenges, learning opportunities with his Masters students and qualified
support for some of my experimental frameworks. My appreciation to friends Johan Fick,
Julia Reeder and Jan Koster who proofread this thesis - often under tremendous pressure.
A special thank you to Sandra Pitchers who assisted me with dedicated and efficient
technical support. My appreciation to Dulcee Moalusi for typing the bibliography and to
Madeline Lass for final editing. My thanks to Ema Naude for numerous library searches.
I wish to express gratitude to my family, Corrina, Christene and Cian, for support,
motivation and perspective. They contributed with laughter, play and patience. My
appreciation to my father and mother, Chris and Corrie de Coning for their ever-present
encouragement and support.
I herewith give full acknowledgement to the DBSA and the CPI for significant logistical
support as well as intellectual and operational exposure. The views expressed in this study
are not necessarily those of the DBSA or of any of the above mentioned.
Christo de Coning,
Johannesburg, 30 November 1995
ii
SUMMARY
Momentous choices and opportunities have opened up in South Africa since a settlement
was successfully negotiated and a new political and constitutional dispensation was
created. Events such as the constitutional negotiations and the establishment of
reconstruction and development initiatives have placed a renewed emphasis on
development management, process facilitation and the development of policy. This study
provides an overview of the broad field of policy studies and specifically focuses on policy
process models. In particular, this study centres on the further development of the generic
process model and provides an overview of the application thereof to the operational
environment. From this, simulation exercises and case study material have been developed
as policy learning methodologies. Institutional arrangements for policy processes and the
institutionalisation of policy and related support capacities at intergovernmental and
organisational level receive particular attention. The study demonstrates the application of
the generic process model by applying the framework to a case study based on the
provincial demarcation exercise. This study concludes that policy management, as a
cross-cutting, lateral methodology, in conjunction with similar methodologies, such as
strategic planning, research methodology and project management, should be regarded as
a critical tool, by the academic community and development practitioners alike, for
improving the decision-making capacity of government, the private sector and civil
society.
iii
KEY TERMS
Appraisal; case studies; constitutional negotiations; decision making; development;
development management; evaluation; generic process model; information management;
institutional capacity building; learning methodology; planning; process facilitation; project
cycle; provincial demarcation; policy; policy management; policy processes; research
methodology; simulation; strategic planning; support capacities.
iv
TABLE OF CONTENTS
DEVELOPMENT PERSPECTIVE ON POLICY MANAGEMENT
ACKNOWLEDGEMENTS ........................................................................................ i
SUMMARY ............................................................................................................. ii
KEY TERMS ............................................................................................................ iii
CHAPTER!:
INTRODUCTION ......................................................................... 1
1.1 INTRODUCTION ............................................................................... 1
1.1.1 GENERAL ................................................................................ 1
1.1.2 LAYOUT OF THE TEXT ......................................................... 3
1.2 SIRATEGIC PERSPECTIVE ON POLICY MANAGEMENT IN
SOU1HAFIDCA ................................................................................... 5
1.2.1 GENERAL ................................................................................ 5
1.2.2 CONSTITUTIONAL AND POLITICAL CHANGE. ................. 6
1.2.3 THE RECONSTRUCTION AND DEVELOPMENT
PROGRAMME (RDP) ............................................................... 7
1.2.4 FORUMS AND COUNCILS AS VEHICLES FOR
PARTICIPATION ..................................................................... 9
v
1.2.5 MACRO-INSTITUTIONAL AND PUBLIC SECTOR
CH.AN"GE ................................................................................ 13
1.2.6 IMPLICATIONS FOR THE ACADEMIC
COMMUNITY ........................................................................ 15
1.2.7 STRATEGIC CONCLUSIONS ............................................... 18
1.3 OBSERVAilONS ON POLICY MANAGEMENT IN
DEVEWPMENTSTIJDIF.S,DEVEWPMENT ADMINISrRAilON
AND RELA1ED ACADEMIC DISCJPLINES ..................................... 19
1.3.1 GENERAL .............................................................................. 19
1.3.2 SYNOPSIS OF THE HISTORICAL EMERGENCE OF
DEVELOPMENT STUDIES AND DEVELOPMENT
ADMINISTRATION ................................................................ 20
1.3.3 POLICY MANAGEMENT IN THE CONTEXT OF
DEVELOPMENT STUDIES AND DEVELOPMENT
ADMINISTRATION ............................................................... 27
1.3.4 DEVELOPMENT STUDIES AND DEVELOPMENT
ADMINISTRATION IN SOUTH AFRICA ............................. 29
1.3.5 PUBLIC AND DEVELOPMENT MANAGEMENT ............... 32
1.3.6 STRATEGIC INITIATIVES ................................................... 33
1.3.7 CONCLUSION ....................................................................... 35
1.4 BACKGROUND TO THE STUDY ................................................. 37
1.5 PROBLEM STATEMENT AND OBJECTIVE OF THE
STUDY .............................................................................................. 44
1.6 SCOPE, COMPOSITION AND DELINEATION OF STUDY ....... 50
vi
1.7 METHODOLOGICAL ORIENTATION ........................................ 58
1.8 CONCLUSION ................................................................................. 65
CHAPTER2:
SELECTED PERSPECTIVES ON POLICY EXPERIENCES IN
SOUill.AFRICA ............................................................................. 66
2.1 INTRODUCTION ............................................................................. 66
2.2 THE RECONSTRUCTION AND DEVELOPMENT
PROGRAMME (RDP) ...................................................................... 67
2.3 SELECTED PERSPECTIVES ON POLICY INITIATIVES
PRIOR TO THE ELECTIONS .......................................................... 72
2.4 MACRO-INSTITUTIONAL CHANGE, PUBLIC SECTOR
TRANSFORMATION AND POLICY MANAGEMENT .................. 77
2.5 THE INSTITUTIONALISATION OF POLICY,
INFORMATION AND EVALUATION CAPACITIES IN
AN ORGANISATIONAL SETTING: THE CASE OF THE
DBSA ................................................................................................. 85
2.6 CONCLUSION ................................................................................. 99
CHAPTER 3:
OVERVIEW OF THEORETICAL APPROACHES TO
POLICY MANAGEMENT ......................................................... 101
3.1 INTRODUCTION ........................................................................... 1O1
vii
3.2 CONCEPTUAL CLARIFICATION AND RELATED FIELDS ...... 102
3.3 DEFINffiONS OF POLICY .......................................................... 110
3.4 A IDSTORICAL PERSPECTIVE ON THE EMERGENCE
OF THE POLICY MANAGEMENT FIELD ................................ 115
~~- 3.5 THEORIES OF POLICY MAKING ............................................. 123
/
3.6 PARTICIPATION AND PUBLIC CHOICE ................................. 127
3.7 FOCUS ON MODELS FOR POLICY MANAGEMENT ............. 130
3.7.1 INTR.ODUCTION ................................................................. 130
3.7.2 DESCRIPTIVE AND PRESCRIPTIVE MODELS OF
POLICY .AN"AI.,YSIS ............................................................. 132
3. 7.3 MODELS FOR .AN"AI.,Y SING POLICY CONTENT
(PRESCRIPTIVE MODELS) ................................................. 133
3.7.4 MODELS FOR POLICY MAKING (DESCRIPTIVE
MODELS} ........ ::: .................................................................. 136
3.7.4.1 The functional p~ocess model ............................... 136
3.7.4.2 The elite/mass model ............................................. 137
3.7.4.3 The group model ................................................... 138
3.7.4.4 The systems model.. ............................................... 140
3.7.4.5 The institutional model ......................................... 142
3.7.5 OTIIERMODELS ................................................................ 143
3.8 CONCLUSION .......................................................................... 145
viii
CHAPTER4:
THEORETICAL AND PRACTICAL PERSPECTIVES ON
POLICYPROCF...S.SFS ................................................................... 146
4.1 IN"TRODUCTION ........................................................................... 146
4.2 THEORETICAL APPROACHES AND POLICY PROCESS
MODELS ......................................................................................... 147
4.3 TOWARDS THE GENERIC PROCESS MODEL ....................... 159
4.4 FURTHER THEORETICAL PERSPECTIVES ON THE
PHASES OF THE POLICY PROCESS ......................................... 172
4.4.1 POLICYINITIATION .......................................................... 173
4.4.2 POLICY PROCESS DESIGN ............................................... 174
4.4.3 POLICY ANALYSIS ............................................................ 176
4.4.4 POLICY FORMULATION ................................................... 180
4.4.5 POLICY DECISION MAKING ............................................ 181
4.4.6 POLICYDIALOGUE ........................................................... 181
4.4.7 POLICY IMPLEMENTATION ............................................. 182
4.4.8 EVALUATION AND MONITORING OF POLICY ............. 184
4.5 CONCLUSION ............................................................................... 189
ix
CHAPTERS:
INSTITUTIONAL ARRANGEMENTS FOR POLICY
MANAGEMENT ........................................................................ 190
5.1 IN"TRODUCTION ........................................................................... 190
5.2 IN"STITUTIONAL CAPACITY BUILDIN"G: DEFIN"ITIONS ...... 191
5.3 DIMENSIONS OF IN"STITUTIONAL CAPACITY
BUILDIN"G ...................................................................................... 198
5.3.1 INTRODUCTION ................................................................. 198
5.3.2 MAIN DIMENSION ONE: 1HE MACRO-INSTITUTIONAL
SYS'f.a1 ................................................................................ 200
5.3.3 MAIN DIMENSION TWO: MANAGEMENT ...................... 204
.~ 5.3.4 MAIN DIMENSION THREE: PARTICIPATION AND
SOCIOPOLITICAL ASSESSMENT ..................................... 216
5.3.5 TOWA RDS A GENERIC FRAMEWORK ............................ 221
5.4 THE INSTITUTIONALISATION OF MANAGEMENT
SUPPORT FUNCTIONS AT THE INTERGOVERNMENTAL
LEVEL ............................................................................................. 223
5.4.1 INTRODUCTION ................................................................. 223
5.4.2 CENTRALISED SUPPORT CAPACITIES ........................... 226
5.4.3 RELATIVELY INDEPENDENT SUPPORT CAPACITIES ....... 230
5.4.4 THE AD HOC USE OF SPECIFIC SUPPORT CAPACITIES ..... 233
5.4.5 COORDINATIONMANAGEMENT .................................... 238