Crafting of a model for the sector delivery agreement in the Department of Public Service and Administration MJ Feni orcid.org/0 000-0001-6404-9231 Thesis accepted in fulfilment of the requirements for the degree Doctor of Philosophy in Public Management and Governance at the North-West University Promoter: Prof MT Lukamba Co-promoter: Dr TK Pooe Graduation: October 2023 Student number: 33486336 ACKNOWLEDGEMENTS I thank the Almighty God for the judiciousness, guidance, and courage to see me through this PhD journey. My sincere gratitude goes to my supervisor, Professor Lukamba Muhiya Tshombe, for his unwavering guidance and support and my co-supervisor, Dr Kagiso Pooe, for the support and motivation in my study. I wish to acknowledge with deep appreciation the Department of Public Service and Administration and the other selected departments for granting permission to conduct the study. I also thank the senior officials in the selected departments who availed themselves and granted insightful interviews. I extend my special thanks to Professor Lulama Makhubela, Dr Greg Houston, Dr Thabo Mabogoane and Dr Rich Mashimbye for their positive contribution to this study. To my late parents and my aunt Ntombiyenhle Mbatha, I am grateful for their encouragement and for always believing in me. To my wife, Sephenge Annah, my daughter, Lindiwe Alvinah, and my son, Mzwakhe Deon, I acknowledge your support and motivation. i DECLARATION I, Mandla Joseph Feni, hereby declare that this thesis is my own original work, has not been submitted for any degree or examination at any other university, and that the sources I have used have been fully acknowledged by complete references. This thesis is submitted in fulfilment of the award for a PhD in Public Management and Governance at North-West University. Signature: Date 20/03/2023 ii ABSTRACT The DPSA is responsible for overseeing South African public service, which also includes ensuring that the public service is in a position to implement government policies effectively. Service delivery agreement Outcome 12 was instituted as a response to the challenge of public service failure to implement service delivery programmes successfully. Historically, South African public service was designed to provide public services to the white section of society, and white bureaucrats were overwhelmingly over-presented in public service. The democratic government sought to change this situation when it came into power in 1994. One of the inevitable outcomes was the exodus of senior, skilled and experienced civil servants, who were replaced by relatively inexperienced African professionals, with a cumulative negative impact on public service capacity. In addition, the responsibility of public service was also expanded as it now had to provide services to all South Africans, regardless of race. Therefore, it was not surprising that the public service fell short in effectively and efficiently implementing the policies of the democratic government. It was against this background that the service delivery agreement Outcome 12 was adopted. The G&A/GSCID cluster has the DPSA and other service delivery departments, such as the DPME and Home Affairs. The cluster is the platform used to implement service delivery Outcome 12, which is concerned with building public service capacity by ensuring that it is effective and efficient. The study used the qualitative case study method to conduct an in-depth examination of the varied, detailed and extensive array of information obtained from different sources to present comprehensive explanations that portray a holistic picture concerning the DPSA’s sector delivery agreement. The consulted literature and interviews indicate that the G&A/GSCID cluster has so far failed to transform public service into a well-functioning, capable, effective and efficient apparatus for the execution of public policies. The reasons for this failure include the poor coordination of the work unfolding in the G&A/GSCID cluster and the lack of capacity to implement programmes. In response, this research study proposes a service delivery model, called the CSD model, that can potentially transform both organisational and individual performances in pursuit of the goal of improving the policy execution capacity of the public service. The model is based on systems theory’s holism perspective, that a comprehensive approach to organisational/institutional performance must be embraced in order for the organisation to function optimally and fulfil its mission. Based on its findings, the study makes the thesis, among others, that the DPSA and government adopting the CSD model would significantly improve the effectiveness and efficiency of public service. As it is custom with iii research studies, the study also outlines its practical and scholarly contributions, in addition to recommendations for future research. Keywords: Public Policy, Implementation, Delivery Outcomes, Comprehensive, Service Delivery, Governance, Administration, Model, State, Capacity, Institutional/Organisational, Performance Contracting, Agreements. iv TABLE OF CONTENTS ACKNOWLEDGEMENTS ............................................................................................ i DECLARATION .......................................................................................................... ii ABSTRACT ............................................................................................................... iii LIST OF ANNEXURES .............................................................................................. xi LIST OF FIGURES ................................................................................................... xii LIST OF TABLES .................................................................................................... xiii LIST OF ABBREVIATIONS AND ACRONYMS ....................................................... xiv v CHAPTER 1 INTRODUCTION AND BACKGROUND TO THE STUDY 1.1 INTRODUCTION ............................................................................................. 1 1.2 MAIN THEME(S) AND BACKGROUND OF THE STUDY ............................... 2 1.3 RESEARCH PROBLEM .................................................................................. 6 1.4 RESEARCH QUESTION ................................................................................. 7 1.5 OBJECTIVES OF THE STUDY ....................................................................... 7 1.5.1 Sub-objectives of the study ................................................................... 8 1.6 AIM AND SIGNIFICANCE OF THE STUDY .................................................... 8 1.7 LIMITATIONS AND SCOPE OF THE STUDY ................................................. 9 1.8 AN OVERVIEW OF THEORETICAL CONSIDERATIONS .............................. 9 1.9 RESEARCH METHODOLOGY...................................................................... 12 1.9.1 Tentative literature review ................................................................... 12 1.9.2 Research design ................................................................................. 13 1.9.3 Research methods .............................................................................. 15 1.9.4 Target population ................................................................................ 16 1.9.5 Sampling methods and sample size .................................................... 16 1.9.6 Data and information collection ........................................................... 17 1.9.7 Data analysis, validation and reporting ............................................... 18 1.9.8 Triangulation ....................................................................................... 19 1.9.9 Reliability and validity of the research study ....................................... 20 1.9.9.1 Reliability .............................................................................. 20 1.9.9.2 Validity .................................................................................. 20 1.10 ETHICAL CONSIDERATIONS ...................................................................... 21 1.11 STRUCTURE OF THE RESEARCH .............................................................. 22 vi 1.12 CHAPTER SUMMARY .................................................................................. 23 CHAPTER 2 LITERATURE STUDY AND CONCEPTUAL FRAMEWORK: PUBLIC POLICY IMPLEMENTATION AND SERVICE DELIVERY AGREEMENTS 2.1 INTRODUCTION ........................................................................................... 25 2.2 SYSTEMS THEORY AD INSTITUTIONS ...................................................... 26 2.3 PUBLIC ADMINISTRATION AND MANAGEMENT ....................................... 33 2.4 PUBLIC POLICY ............................................................................................ 36 2.5 POLICY AND PROGRAMME IMPLEMENTATION ....................................... 39 2.6 TOP-DOWN AND BOTTOM-UP APPROACH TO POLICY IMPLEMENTATION AND IMPLEMENTATION ACTORS .............................. 42 2.7 PERFORMANCE MANAGEMENT AND SERVICE DELIVERY AGREEMENTS .............................................................................................. 44 2.8 A GENERAL OVERVIEW OF THE DPSA ..................................................... 45 2.9 CHAPTER SUMMARY .................................................................................. 48 CHAPTER 3 THE HISTORICAL ROLE OF THE DEPARTMENT OF PUBLIC SERVICE AND ADMINISTRATION AND GOVERNANCE AND ADMINISTRATION CLUSTER MODEL 3.1 NTRODUCTION ........................................................................................... 50 3.2 A BACKGROUND OF THE PUBLIC SERVICE IN SOUTH AFRICA ............. 51 3.2.1 The policy and legislative evolution of public service .......................... 52 3.2.2 A changing public service ................................................................... 55 3.3 SOME OPERATIONAL CHALLENGES IN PUBLIC SERVICE...................... 59 3.4 THE GOVERNANCE AND ADMINISTRATION CLUSTER ........................... 61 3.5 THE DPSA AND DELIVERY AGREEMENT OUTCOME 12 .......................... 64 vii 3.6 THE MEDIUM-TERM STRATEGIC FRAMEWORK (2019–2024) ................. 67 3.7 OTHER FRONTLINE DEPARTMENTS AND AGENCIES IN PUBLIC SERVICE ....................................................................................................... 70 3.8 CHAPTER SUMMARY .................................................................................... 76 CHAPTER 4 RESEARCH DESIGN AND METHODOLOGY FOR THE STUDY 4.1 INTRODUCTION ........................................................................................... 78 4.2 RESEARCH METHODOLOGY...................................................................... 78 4.3 RESEARCH DESIGN .................................................................................... 81 4.4 RESEARCH METHODS ................................................................................ 83 4.5 CASE STUDY APPROACH ........................................................................... 89 4.6 SELECTION OF STUDY PARTICIPANTS’/TARGET POPULATION /SAMPLING ................................................................................................... 95 4.6.1 Sampling ............................................................................................. 96 4.6.2 Data and information collection ........................................................... 97 4.6.2.1 In-depth, semi-structured Interviews ..................................... 98 4.6.2.2 Document review .................................................................. 99 4.6.3 Data analysis, validation, and reporting ............................................... 99 4.6.4 Triangulation ..................................................................................... 101 4.7 RELIABILITY AND VALIDITY ...................................................................... 101 4.8 ETHICAL CONSIDERATION ....................................................................... 102 4.9 CHAPTER SUMMARY ................................................................................ 103 CHAPTER 5 PRESENTATION AND DISCUSSION OF THE DATA FINDINGS 5.1 INTRODUCTION ......................................................................................... 105 viii 5.2 OUTLINE OF THE EMPIRICAL APPROACH IN THIS RESEARCH STUDY ........................................................................................................ 107 5.3 PARTICIPATION BY THE TARGET POPULATION IN THE INTERVIEW PROCESS ................................................................................................... 110 5.4 THEMATIC ISSUES IN THE DATA FINDINGS ........................................... 125 5.4.1 Bearing on public service performance ............................................. 125 5.4.2 The implications of the data findings on Sector Delivery Agreement Outcome 12....................................................................................... 126 5.5 APPLYING THE SYSTEMS THEORY TO THE DATA FINDINGS .............. 129 5.6 CHAPTER SUMMARY ................................................................................ 133 CHAPTER 6 AN ALTERNATIVE MODEL FOR PUBLIC SERVICE DELIVERY IN SOUTH AFRICA 6.1 INTRODUCTION ......................................................................................... 135 6.2 DEVELOPING THE MODEL........................................................................ 135 6.2.1 The nature of the model .................................................................... 137 6.2.2 Service delivery improvement plans (SDIPs) .................................... 143 6.3 THE NDP, DEVELOPMENTAL STATE AND INSTITUTIONS ..................... 145 6.4 INTERGOVERNMENTAL RELATIONS, COLLABORATION AND LEADERSHIP IN THE G&A/GSCID CLUSTER ........................................... 148 6.4.1 Values orientation ............................................................................. 149 6.4.2 Disciplined-agile behaviour ............................................................... 150 6.4.3 Dynamic interactions and communication ......................................... 151 6.4.4 Expansive intra-organisational knowledge and skills ........................ 152 6.5 BUREAUCRATIC POLITICS AND GOVERNMENT ORGANISATIONS .... 153 ix 6.6 THE DPSA AND ACHIEVING EFFECTIVE PUBLIC SERVICE THROUGH THE MODEL ................................................................................................ 155 6.7 CHAPTER SUMMARY ................................................................................ 157 CHAPTER 7 DISCUSSION OF FINDINGS, RECOMMENDATIONS AND CONCLUSIONS 7.1 INTRODUCTION ......................................................................................... 159 7.2 THE IMPORTANT THEMES THAT DOMINATED IN THE STUDY ............. 160 7.2.1 The main objectives and sub-objectives of the study ........................ 164 7.2.1.1 The main objective.............................................................. 164 7.2.1.2 The sub-objectives of the study .......................................... 164 7.3 DISCUSSION OF THE RESEARCH FINDINGS ......................................... 165 7.3.1 Theme 1: The best model for a delivery agreement .......................... 165 7.3.2 Theme 2: The Governance and Administration cluster/Governance, State Capacity, and Institutional Development cluster ....................... 167 7.4 CONTRIBUTIONS OF THE RESEARCH STUDY ....................................... 168 7.5 LIMITATIONS OF THE STUDY ................................................................... 174 7.6 DELIMITATIONS OF THE STUDY .............................................................. 175 7.7 RECOMMENDATIONS ............................................................................... 175 7.8 AREAS FOR FURTHER RESEARCH ......................................................... 176 7.9 CONCLUSION ............................................................................................. 177 LIST OF REFERENCES ........................................................................................ 178 x LIST OF ANNEXURES Annexure 1: Research Instruments ........................................................................ 205 Annexure 2: Approval of Research Title Letter ....................................................... 207 Annexure 3: Department of Public Administration Letter for Study ........................ 208 Annexure 4: Ethics Approval Letter of Study [689] ................................................. 209 Annexure 5: Notice of Submission ......................................................................... 211 Annexure 6: Sample Participant Informed Consent Form ...................................... 212 Annexure 7: Gate keep Letters .............................................................................. 219 Annexure 8: Proofreading certificate ...................................................................... 223 xi LIST OF FIGURES Figure 5.1: Category One Participants’ Work Experience in Public Service ........... 116 Figure 5.2: Category Two Participants’ Work Experience in Public Service ........... 117 Figure 6.1: HODs and Organisational Performance Assessment Guide ................ 142 Figure 6.2: Comprehensive Service Delivery (CSD) Model .................................... 144 Figure 6.3: Service Delivery Improvement Plan (SDIP) for the Service Delivery Model .................................................................................................. 148 Figure 6.4: Illustration of the relationship between components of the system ...... 150 xii LIST OF TABLES Table 3.1: Management Functions ........................................................................... 68 Table 5.1: Interview Participants Category One ..................................................... 114 Table 5.2: Interview Participants Category Two ..................................................... 115 Table 5.3: Interview Participants Category Three .................................................. 120 Table 5.4: Interview Participants Category Four .................................................... 123 xiii LIST OF ABBREVIATIONS AND ACRONYMS ANC African National Congress ASGISA Accelerated and Shared Growth Initiative for South Africa COGTA Department of Cooperative Governance and Traditional Affairs CPSI Centre for Public Service Innovation CSD Comprehensive Service Delivery DBE Department of Basic Education DEL Department of Employment and Labour DHET Department of Higher Education and Training DIRCO Department of International Relations and Cooperation DOH Department of Health DOJ&CD Department of Justice and Constitutional Development DOT Department of Transport DPME Department of Planning, Monitoring and Evaluation DPSA Department of Public Service and Administration DSD Department of Social Development DSI Department of Science and Innovation DTIC Department of Trade, Industry and Competition G&A Governance and Administration Cluster GDP Gross Domestic Product GEAR Growth, Employment and Redistribution GSCID Governance, State Capacity and Institutional Development Cluster GST General Systems Theory MSTF Medium-Term Strategic Framework NDP National Development Plan NGP New Growth Path xiv NPA National Prosecuting Authority NPC National Planning Commission NT National Treasury NWU North-West University OCJ Office of the Chief Justice PAMA Public Administration Management Act PSC Public Service Commission RDP Reconstruction and Development Programme SDA Sector Delivery Agreement SDIP Service Delivery Improvement Plan TAU Technical Assistance Unit UIF Unemployment Insurance Fund xv CHAPTER 1 INTRODUCTION AND BACKGROUND TO THE STUDY 1.1 INTRODUCTION In 1994, the African National Congress (ANC) won the first democratic elections ever to be convened in South Africa and set itself the mission to transform the country socially and economically. The 1996 Constitution of the Republic of South Africa enjoined the government to the obligation of giving practical effect to many of the rights primarily contained in the Bill of Rights section of the constitution. However, this research study focused on the period from 2009 onwards, although reference has also been made to events or processes that transpired prior to the specified period. In an attempt to improve public service performance to achieve development goals linked to the betterment of the life of citizens, the fourth administration (2009–2014) of South Africa introduced the outcomes approach. The mechanisms of this approach are performance agreements and delivery agreements. In this regard, the government has determined a set of key strategic outcomes, each having associated high-level outputs, metrics and key activities. The South African government has been subjected to countless research studies and reports post-1994, including, among others, the Executive Summary National Development Plan 2030 (NDP) (2012), which pronounces goals and the period it would take to correctly execute the NDP to yield results. Many of these studies have explored how the South African government, through various legislative, regulatory and policy frameworks, has been challenged to bridge policy intent with actual output in the form of service delivery for improving citizens’ quality of life. However, this study sought to explore another facet of government intention over the last decade, namely, how the Department of Public Service and Administration (DPSA), in particular, has been identified as an important institution in designing a public service based on high levels of performance. As such, at the core of the study is the DPSA’s management of public service and its performance in executing public policy. The DPSA derives its legislative mandate from Section 195(1) of the Constitution of the Republic of South Africa, 1996, and Section 3 of the Public Service Act, 1994, as 1 amended by the Public Service Act, No. 30 of 2007, and Section 16 of the Public Administration Management Act (PAMA) of 2014. Section 195(1) outlines the values and principles that should define public administration, including professionalism and efficiency. The high-level outputs and metrics have been converted into a detailed service delivery agreement with partner departments (Guide to the Outcomes Approach, 2010:7). The DPSA is thus responsible for the execution of its own sector delivery agreement, which is achieving service delivery agreement (SDA) Outcome 12: “a competent, effectual and development-oriented public service” (Guide to the Outcomes Approach, 2010:7). The DPSA, in line with its mandate as outlined in Section 3(6) of the Public Service Act, 1994, as amended by the Public Service Amendment Act, No. 30 of 2007, is obliged to provide coordinated targeted support to government departments experiencing challenges. Accordingly, it is responsible for ensuring public service effectiveness and efficiency in its entirety. This chapter introduces the study theme, research problem, research question, aim and methodology. Generally, and as a precursor to the more detailed discussions contained in the subsequent parts of the chapter, the study sought to evaluate how the DPSA provides support to government departments and how the sector delivery agreement guides the DPSA in its supportive role to the other departments in the Governance and Administration (G&A) cluster, now referred as the Governance, State Capacity and Institutional Development (GSCID) cluster based on the legislative mandate. Beyond the abovementioned focus of the chapter, it also provides the research scope and demarcation of the study, the theoretical framework used for analysis in the later chapters, and a brief outline of the structure of the research study. 1.2 MAIN THEME(S) AND BACKGROUND OF THE STUDY The 1996 Constitution of the Republic of South Africa outlines the fundamental values and principles of public administration, which governs public service and informs the DPSA’s role. These values and principles are maintenance of high stands of professional ethics; efficient and effective use of public resources; a developmentoriented public service; non-discrimination in the distribution of public services and goods; public service transparency and accessibility; accountability; good 2 human resources practices; and that public service be broadly representative of the South African people (Constitution of the Republic of South Africa, 1996). The NDP 2030 Vision (NPC, 2012) identifies specific steps that need to be taken to promote these values and principles of public administration enshrined in the Constitution. These range from creating an effective public service and increasing graduation rates in postmatric education to increasing the South African economy's gross domestic product (GDP) growth. Obviously, public service is the only imaginable instrument the government can use to pursue these goals. However, the NDP states that one of the main problems with public service has been unevenness in its capacity, which leads to asymmetrical performance in the local, provincial and national governments. This challenge is caused by a set of factors, including instability of the administrative leadership, tensions in the political-administrative interface, the erosion of accountability and authority, poor organisational design, skills deficits and low staff morale. A multiplicity of initiatives has been initiated in response to these problems. However, there is a tendency to jump from one quick fix or policy fad to the next. These frequent changes have created instability in organisational structures, and policy approaches that further strain the limited capacity of public service (NPC, 2012:408). Among the roles of the DPSA in the post-1994 period was to lead the transformation process by developing appropriate policies and facilitating their execution through strategic interventions and partnerships and maintaining a functioning public service (Public Service Act, 1994:iii). Nonetheless, in reality, this had not been achieved by the early 2000s. Booysen (2001:130) argues that “policy making and execution in the post1994 period often proceeded incrementally. Challenges included state capability, both structurally and in terms of expertise, but also maladministration and corruption. Continuous reorganisation of line function departments and the lines of responsibility between the national and provincial government, combined with political appointees and orthodox civil servants, operated to render a range of policy initiatives immobilised and frustrated.” This implies that DPSA had some foundational challenges that made it difficult to execute its mandate. Therefore, there is a need to evaluate and analyse the policy intention to ascertain whether it is congruent with the policy outcome and to evaluate the policy implementation processes. More importantly, this should be undertaken to craft an alternative service delivery model that would better assist the 3 DPSA in executing its mandate – evolving a public service capable of implementing public policy. By its nature, policy implementation entails translating policies into action. Brynard (2005:650) cites Van Horn (1974:447-8), who defines policy implementation as “those actions by public or private individuals (or groups) that are directed at the attainment of goals set forth in prior policy decisions.” The evaluation and analysis of the DPSA policy intention, policy outcome and policy implementation processes were also factored in the research study as the model for improving the public service was developed, called the comprehensive service delivery (CSD) model, and is explored thoroughly later in the study. In any consideration of public service, whether in South Africa or any other country, the question of the capacity of bureaucrats is always an essential variable. Christensen and Laegreid (2004:25) argue that management capability, experience and trust should be built. This implies that basic processes have to be installed and internalised before a country embarks on public management reforms with the aim of developing an “effective civil service core with adequate capacity and skills to match the need for new arrangements for accountability and implementation that these kinds of reforms need” (Christensen & Laegreid, 2004:25). This could help implement one of the functional areas of the DPSA, which is to establish norms and standards for the transformation, reform, innovation and any other matter to improve the effectiveness and efficiency of public service and its service delivery role to the public. Broadly and in generic terms, the question is to what extent have DPSA policies succeeded in building capacity to transform and reform public service and service delivery to the South African public? The Towards a 15-Year Review report (2008:15– 17) indicates that from 2005, the G&A/GSCID cluster undertook capacity assessments covering the departments of education, health, justice, and those that deal with economic matters. The various weaknesses identified in the findings included, among others, weaknesses in data systems to support management functions and in organisational structures (Towards a 15-Year Review, 2008:15–17). This highlights that creating and running effective public service is much more complex and challenging; as such, building a capable state is a difficult process. State capacity 4 challenges relate to skills, systems and institutional arrangements. Hope and Chikulo (2000:37) argue that training and capacity building has been neglected: “… one facet of this change process that necessitates further consideration, with respect to African countries, is that of capacity building in the public sector.” Capacity building in this context refers to specific measures undertaken to improve the capability of the public service to plan, execute, observe and assess policies designed to advance socioeconomic performance and public service delivery generally. As previously alluded to, this research study locates the mandate of the DPSA from the Constitution, the Public Service Act and the Public Administration Management Act, which collectively form the legislative framework within which the DPSA exists and functions. At a broader level, the study sought to evaluate how the DPSA is fulfilling its legislative mandate. For background and contextualisation purposes, the study also looked at the NDP to establish what has been identified as challenges and what needs to be done to build a capable state. The NDP calls upon the DPSA as chair of the G&A/GSCID cluster responsible for the SDA Outcome 12 to implement mechanisms and structures to support sector departments to build their capacity, fulfil regulatory requirements and improve service delivery (NPC, 2012). Accordingly, this informed the need to craft a service delivery model for the DPSA to implement the sector delivery agreement. The following critical output priorities have been identified as the sub-outcomes of Outcome 12 and also integral to the medium-term strategic framework (MTSF): a stable political-administrative interface; a public service that is a career of choice; efficient and effective management and operation systems; procurement systems that deliver value for money; increased responsiveness of public servants and accountability to citizens; improved inter-departmental coordination and institutionalisation of long-term planning; and improved mechanisms to promote ethical behaviour in public service (NPC, 2012:410). For the purpose of this study, Suboutcome 4, ‘efficient and effective management operation systems, has been chosen as it mainly focuses on the following outputs: support programmes for the departments to ensure supervisors and managers implement processes that enable frontline staff to provide efficient and courteous services to citizens; review, 5 improvement and support for the implementation of the service delivery improvement planning system; and the implementation of an operations management framework and methodology by service departments (Final Programme of Action for Outcome, 12:6–15). The study examined how the DPSA supports the four selected service delivery departments within the G&A cluster with service delivery improvement mechanisms. Based on this examination, an alternative service delivery model was developed to assist the DPSA in achieving its goals. Moreover, the study intended to provide insight into how the sector delivery agreement enhances the DPSA’s obligation to support the departments in the G&A/GSCID cluster. Crating the service delivery model is one aspect of the study that grounds it in the ongoing struggle and efforts to find the best public service practice guidelines in South Africa. In addition, the study is expected to contribute to the existing knowledge by identifying the gaps, weaknesses and institutional shortcomings in the post-1994 legislative and regulatory policy frameworks that were brought into being and implemented to address service delivery challenges. These challenges include access, quality and service standards to give impetus to the Constitution of the Republic of South Africa, 1996 (Article 195(1)). As already indicated, the Constitution sets out the fundamental values and principles governing public service. 1.3 RESEARCH PROBLEM The DPSA’s mandate is to establish norms and standards relating to, among others, transformation, reform, innovation and any other matter to improve the effectiveness and efficiency of public service and its service delivery to the public. It is responsible for the implementation of the Public Service Act, 1994 (Proclamation 103 of 1994) as amended and various white papers, including the White Paper on the Transformation of the Public Service (1995) and the White Paper on Transforming Public Service Delivery (1997). The above legislative, regulatory and policy frameworks’ main objectives were to transform public service, build capacity and organise the state in line with the fundamental values and principles enshrined in the Constitution. These objectives were complex and diverse in nature. The government has pursued integrating government functions to improve service delivery and quality for fifteen 6 years. The DPSA was supported by structures such as the G&A/GSCID cluster of ministers, the Presidential Coordinating Council and a cluster of directors-general for governance and administration. Despite these multitudes of interventions, the desired outcomes remain elusive – the creation of a capable state at the core of which is an effective and efficient public service. This problem forms the background against which the research study was undertaken. Assessing the state of governance and service delivery in South Africa, both the 10Year Review report (2004) and the 15-Year Review report (2008) found that the key challenge facing the government is improving implementation. This is supported by a study by Karuri-Sebina (2008:24) that found that human capital constraints and shortages are significant obstacles in public service. It is difficult to ensure accountability due to interdependencies in service delivery, a struggle in determining and assigning outcomes, and indiscriminate performance management processes. It is important to examine and evaluate how the DPSA supports government departments in implementing regulatory and policy frameworks aimed at improving service delivery in South Africa in the post-1994 period and to examine why the desirable results, notwithstanding the support provided, have not been achieved. In addition, to look at the effect of the failure to implement the sector delivery agreements. 1.4 RESEARCH QUESTION As informed by the foregoing research problem, the research question is: What would be the best model for the delivery agreement in the DPSA and the government departments within the G&A/GSCID cluster? The main research question has several sub-questions. Sub-questions: • What is the historical role of the DPSA, and how has it performed its policy mandate? • Which types of variables influence performance contracting in the relationship between the DPSA and G&A/GSCID cluster departments? 7 • What inputs and recommendations can be fostered to create a new sector delivery agreement for the G&A/GSCID cluster? 1.5 OBJECTIVES OF THE STUDY The study's main objective is to ascertain the best model for the delivery agreement in the DPSA and the government departments within the Governance and Administration/Governance, State Capacity and Institutional Development (G&A/GSCID) cluster. 1.5.1 Sub-objectives of the study • To analyse the historical role of the DPSA and how it has been implementing its policy mandate • To explore the types of variables influencing performance contracting in the relationship between the DPSA and the government departments in the G&A/GSCID cluster • To present a recommended model that could enhance the implementation of the sector delivery agreement in the G&A/GSCID cluster 1.6 AIM AND SIGNIFICANCE OF THE STUDY The study was undertaken to create a new sector delivery agreement model for the DPSA. As the subsequent chapters’ highlight, the realisation of this research aim required the researcher to embrace a holistic approach, developing theoretical lenses and undertaking an extensive examination of contextual literature. Regarding its significance, the study would assist senior managers and the executive leadership within the G&A/GSCID cluster and the public service in general to understand the weaknesses and challenges in implementing the sector delivery agreement and appreciate the need to craft an alternative service delivery model. In consideration of the aforesaid, the research study has value and will significantly contribute to the existing body of knowledge, especially in the field of public service administration and management. In particular, the study’s determination and crafting of a service delivery model for the sector delivery agreement is intended to address gaps pertaining to the operationalisation of policy and the implementation of service 8 delivery intervention plans and also provide pathways through which scholars and practitioners can develop alternative solutions to public service problems. The service delivery model will also assist in evaluating the efficiency and effectiveness of the policy implementation process and output. The researcher’s professional knowledge and extensive policy and practice experience of more than three decades in the South African public service also significantly contributes to the study and the field of public administration and management. 1.7 LIMITATIONS AND SCOPE OF THE STUDY The study was conducted in the Gauteng Province of South Africa. Its scope focused on the DPSA’s sector delivery agreement and obligation to support the departments in the G&A/GSCID cluster based on the legislative mandate and the support it provides to the G&A/GSCID in implementing service delivery improvement plans and organisational transformation programmes. The scope also extended to developing a service delivery model to assist the DPSA in performing the abovementioned functions. The researcher used the qualitative case study method to conduct the study. An indepth examination of varied, detailed and extensive information obtained from different sources was conducted to present comprehensive explanations that portray a holistic picture of DPSA’s sector delivery agreement. The study was limited to the period from the first democratic administration in South Africa to the fifth democratic administration and the introduction of the cluster system and the sector delivery agreements. It was also geographically delimited to the national head offices of the selected departments in the G&A/GSCID cluster. Moreover, and in terms of its scope, the study is concerned with the interview responses of senior government officials from departments such as the DPSA, the Department of Justice and Constitutional Development (DJCD), the Office of the Chief Justice (OCJ), and the Department of Cooperative Governance and Traditional Affairs (COGTA). These responses pertain mainly to the G&A/GSCID cluster’s implementation of the sector delivery agreement, especially Outcome 12. 9 1.8 AN OVERVIEW OF THEORETICAL CONSIDERATIONS The central theoretical assumption of the study is that a service delivery model for public service has at its core performance contracting and contains various functions that include policy implementation, performance-based implementation and performance evaluation. Considering the study's problem statement and research questions, the theoretical perception of the study is based on systems theory (in particular, its treatise on organisations/institutions) and public policy theories. Hence the study’s premise is that the DPSA’s legislative frameworks include, among others, public policy development and implementation to ensure equitable and adequate service delivery. It is, therefore, imperative to understand what policy entails, i.e., policy theory, policy cycles and policymaking processes, to craft a service delivery model for the sector delivery agreement. The primary facet of the policy cycle will be the policy implementation and evaluation of the policy. Due to the descriptive-investigative nature of this study, it is guided by how public policies are developed and implemented and by systems theory’s explanation of how an organisation functions. Hanekom (1987:7) argues that policy indicates a “goal, a specific purpose, a programme of action that has been decided upon. Public policy is therefore an officially pronounced goal that the legislator intends pursuing with societal groups.” As such, public policy may be defined as a programme of action conceived by the executive through their line function government departments to address a particular problem or need, with the citizens being the primary beneficiary. Hogwood and Gunn (1984:23) describe a policy as an arrangement of related pronouncements to which many actors – personal, group and organisational – have contributed. The objectives or purposes triggering a policy are usually detectable relatively early in the development process. However, these may change after some time and, in certain cases, may be defined only retrospectively. Therefore, policies' outcomes must be examined and, where applicable, equated and assessed with policymakers’ intentions. In the South African government context, the policy process begins with the government department initiating the policy and tabling it through the appropriate clusters at the directors-general forum and cabinet committees, cabinet and parliament. Brynard (2005:650) argues that “scholars like Wildasky (1973) already 10 started in the midst of implementation research; however, a common theory is still lacking. There is still some confusion regarding the beginning of implementation, where it ends, and how many types of implementation there are. Implementation, according to Pressman and Wildasky (1973: xiii–xv), means just what Webster [dictionary] and Roget [thesaurus] say it does: to carry out, accomplish, fulfil, produce, complete. As stated in their seminal book on the subject, Policies imply theories… Policies become programs when, by authoritative action, the initial conditions are created…Implementation, then, is the ability to forge consequent links in the causal chain so as to obtain the desired result” (Brynard, 2005:650). The research study reflects on the three generations of research into implementation, approaches to implementation, and the 5-C Protocol: Critical variables for studying policy implementation. It also puts into perspective the cluster approach that seeks to enhance coordination of policy and service integration by putting together departments into clusters like the G&A/GSCID cluster led by the DPSA and includes government departments such as the Department of Home Affairs, Department of Health, and the Department of Cooperative Governance and Traditional Affairs. The study identified gaps and constraints in implementing the delivery agreement that this research sought to address by building on the public policy theory and systems theory to provide a broad theoretical base for developing the CSD model. Lehmann Benner (2015:189) posits that the “transition process generates continual changes in the organisational environment due to on-going adaptation of the organisational environment from one system to another. These instabilities in the organisational environment led to the organisational voids as systems are established and laws promulgated. In times of organisational changes, ‘old’ laws are often still in existence while ‘new’ laws substitute former ones but do not address critical issues or are even at odds.” Organisational void refers to missing or insufficiently designed institutions. The institutional theory propositions structures and the code of conduct that governs the government, and its departments play a major role in the diverse kinds of policy processes that happen, and ultimately how policy role players will be instrumental in those policy processes (Kraft & Furlong, 2013:81). Similarly, Parsons 11 (1995:323–324) argues that institutional theory encompasses three frameworks: sociological institutionalism (which focuses on the relationship between institutions and individual action); economic institutionalism (where the focus is on economic analysis and how it can be applied to both political institutions and public policy); and political institutionalism (which goes beyond the formal make-up of institutions and pays further attention to developing a sociological view of institutions by evaluating the interaction that takes place between the different institutions, and the effects of institutions on society as manifest in the political system) (Knill & Tosum, 2012:79). As a point of emphasis, this study is supported by the systems theory in the context of sector delivery agreement to build a convincing basis for a DPSA sector delivery agreement model. This is beneficial because public service consists of an array of departments, agencies and enterprises that together are considered organisations at the core of the state – as the system theory perspective would posit. Systems theory is based on the systems thinking approach, which suggests that the only way to fully comprehend why a challenge/problem is present and persists is to comprehend the components as a whole (Hammond, 2005). Accordingly, South African public service is considered a single entity, though crucially comprised of significant components. 1.9 RESEARCH METHODOLOGY The research study adopted a qualitative approach, which was used as the basis for examining and interpreting the literature utilised. It assisted in pooling the various parts of this study in a reasonably logical manner to address the research problem and question. Two philosophical positions were considered and informed the choice for the research design. The qualitative approach provided the philosophical assumptions that guided the direction of the collection and analysis of data during the research process. Creswell (1998:74) points out that qualitative researchers approach their studies with a particular paradigm, a basic set of assumptions guiding their inquiries. The study comprised a literature review and empirical investigation to accomplish its objectives. The ensuing subsections describe the research design, population, sampling process, methods of data collection, reliability and validity, and the data analysis process. 12 1.9.1 Tentative literature review Neuman (2011:124) indicates that conducting a literature review builds on the idea that knowledge accumulates and that we can learn from and build on what others have done – what this research study terms collaborative scholarship. Indeed, this literature review rests on the principle that scientific research is a collective effort in which many researchers contribute and share results. Therefore, the researcher undertook the literature review by interpreting relevant published and unpublished material on the DPSA, the transformation process, policymaking, systems theory, models, the development and implementation of policies, and strategic interventions, among others. For a thorough discussion on these, the reader should peruse Chapter 2. The literature review examined the systems theory and literature on formulating models to assist in addressing the problems stated in the problem statement. Institutional theory is related to systems theory and appears to be an extension of it. It proposes that structures and the code of conduct governing the government and its departments help understand the functioning of the government. This plays a major role in the diverse world of policy processes and, ultimately, in how policy role players are instrumental in those policy processes (Kraft & Furlong, 2013:81). The systems theory assisted in evaluating the current and previous institutional design of the DPSA and other departments within the G&A cluster, particularly in locating their weaknesses, and also in formulating a clearer picture of what the antithesis would resemble. Literature on the systems theory, which is based on the approach of systems thinking that suggests the only way to fully comprehend why a challenge/problem is present and persists is to comprehend the components as a whole (Hammond, 2005), was reviewed (see Chapter 2). The study collected the relevant data from sources such as peer-reviewed journals, textbooks, government publications, legislative frameworks, internet sources and academic databases to address the research problem and question and achieve the outlined aim and objectives. Specific emphasis was placed on the literature pertaining to the development of outcome-based policies, the implementation thereof, and on delivery agreements, policy theory and service delivery models in public service. The 13 literature review that was undertaken sought to achieve four goals a literature review should pursue, as advocated by Neuman (2011:124), which are: • to demonstrate familiarity with the body of knowledge and establish credibility; • to show the path of prior research and how the current project is linked to it; • to integrate and summarise what is known in an area, to learn from others and stimulate new ideas. 1.9.2 Research design In order to ensure a robust research design, an appropriate approach that matches the researcher’s perception of the reality of the phenomenon being studied is essential (Ghezeljeh & Emami, 2009:16). It was declared that at the time of undertaking the study, the researcher was a senior government official with extensive insight on the complex world of public policy implementation in South Africa. A case study research design was adopted to examine and explain the challenges related to the DPSA’s mandate of creating an effective public service and, finally, to formulate an alternative service delivery model that the department can use to realise the goal of building implementation capacity in public service. Naidoo (2005:41) refers to Stake, who indicates that qualitative research is a method of systematic empirical inquiry into meaning. Empirical inquiry is any form of inquiry that hinges on the world of experience in some fundamental way. Quantitative researchers are justifiably concerned with establishing correlations between variables. The current study is descriptive-analytic, as it examines and explores how the DPSA supports government departments and how the sector delivery agreement enhances the DPSA’s obligation to support the departments in the G&A cluster. Creswell (1998:186) points out that some case studies generate theory, some simply describe the selected cases, and others are more analytical in makeup and display cross-case or inter-site comparisons. The study also uses Stake’s (1995:3) concept of the instrumental case study to elucidate puzzlement, a need for general comprehension, and to gain insight into the issue of interest, being that of determining whether the sector delivery agreement enhances public service performance and service delivery in the South African government departments within the G&A cluster. Neuman 14 (1997:19) states that “in descriptive research, the researcher starts with a well-defined subject and conducts research to describe it accurately. The outcome of a descriptive study is a detailed picture of the subject.” Stake (1995:8) states that “the real concern of case study is particularisation, not generalisation.” Hence, the case in this study is the main focus, and there is no generalising or theorising. Thus, the research design in this study aimed to minimise and, to a large extent, eliminate bias and instead intensify trust in the collected and analysed research information. As stated by Yin (2012:4), a case study assumes that “investigating the context and other complex settings related to the case(s) being studied are integral to comprehending the case(s).” Using the case study method in this research allowed for an in-depth focus on the context and complexity of the DPSA’s mandate and obligation to the government departments within the G&A cluster context. Neuman (1997:331) notes that “a qualitative researcher may use a case study approach. He or she might collect a large amount of data on one or few cases, go into greater depth, and get more details on the cases being explored.” Moreover, Neuman (1997:331) charges that “the case study researcher encounters an overwhelming amount of information but has immersed in it. Immersion gives the researcher an intimate familiarity with people’s lives and culture.” Thus, this research study uses the case study method to gain intimate familiarity with implementing a sector delivery agreement by the DPSA to improve service delivery, especially service delivery quality and access. This then informs the crafting of the CSD model for the sector delivery agreement. Gillham (2000:10) argues that “case study research is not exclusively concerned with qualitative methods: all evidence is pulled into the case study researcher’s data collection. However, quality methods (and what they allow you to do) are primary.” He further contends that qualitative research methods allow the researcher “to explore complexities that are beyond the compass of more ‘controlled’ approaches; to get under the skin of a group or institution to find out what really happens – the informal reality which can only be perceived from the inside; to view the case from the inside out: to see it from the perspective of those involved; and to carry out research into the processes leading to results rather than into the ‘significance’ of the results themselves” (Gillham, 2000:11). In this study, the qualitative research methods allowed 15 for reflection on whether the DPSA policy frameworks were enhanced by the sector delivery agreements in supporting the government departments in the G&A cluster to improve service delivery in South African public service. 1.9.3 Research methods Analogically, a research methodology is a domain or a map; it refers to a set of steps that should be made to travel between two places on a map (Jonker & Pennik, 2010). Three types of research methods are commonly applied in social sciences: qualitative, quantitative and mixed methods. The latter is called ‘mixed methods’ because it includes both qualitative and quantitative methods. A qualitative research method with a case study design was adopted for this study. In terms of its nature, a qualitative research method involves the collection of data using a variety of empirical methods, namely, case studies, professional/personal experiences, introspections, life stories, interviews, observations, historical, interactional, and visual texts that describe routine and problematic moments and meaning in individuals’ lives. Accordingly, a qualitative research method is not haphazard, idiosyncratic, or subjective. Instead, it is systematic, planned, ordered, and public (Denzin & Lincoln, 1994:2). Willis (2007:235-6) states that qualitative research involves forming and posing questions. Interviews may be highly structured, semi-structured or open-ended. Structured interviews that ask participants to select answers to questions from a list of options are standard tools for the post-positivist researcher. The idea is that if enough effort is invested in writing good interview questions, the interview should capture the essence of the reality of the subject under study. Silverman (2011:17) argues that the main strength of qualitative research is its ability to allow for a study of phenomena that cannot be studied using other approaches. This study used qualitative research methods to collect data from the interviews and documents in a manner that permitted the research question to be fully answered. 1.9.4 Target population Babbie (1998:201) contends that a population is the theoretically specified aggregation of study elements. The study population aggregates elements from which the sample is selected. The theoretical framework of this study is embodied by the systems theory. 16 The study population target comprises senior public service officials, deputy directors’ general, chief directors and directors from the Department of Public Service and Administration, the Department of Cooperative Governance and Traditional Affairs and the Department of Justice and Constitutional Development. As such, the theoretical approach determined the nature of the target population of this study. Lastly, a portion of the study population was selected to represent the whole group, as it is challenging to investigate the whole population at once. 1.9.5 Sampling methods and sample size The sampling unit is that element or set of elements considered for selection in some sampling stage. Neuman (2011:242) indicates that to avoid choosing a sample that is inappropriate for a study’s purpose, a sampling strategy that matches the specific study’s purpose and data is necessary. Miles and Huberman (1984:37) argue that sampling involves decisions about which people to observe or interview, as well as settings, events and social processes. Qualitative studies call for incessant refocusing and redrawing of the study's boundaries during fieldwork, but some initial selection is still required. The framework for analysis and research question determines the foci and the boundaries within which samples are selected. Therefore, the research study used a purposive sampling technique to select senior managers directly involved with the coordination and monitoring of the implementation of delivery agreements in each department. During the sampling process, factors such as the existing position of the individuals sampled, their knowledge, experience and expertise were seriously considered, as Morgan (1997:42) urges should be the case in scholarly research. 1.9.6 Data and information collection Leedy and Ormrod (2001:149) contend that in a case study research design, the researcher collects extensive data on the individual(s), programme(s) or event(s) on which the investigation is focused. These data often include observations, interviews, documents, records and audio-visual materials. In many instances, the researcher may spend an extended period on-site and regularly interact with the people who are being studied. The researcher also records details about the context of the case, including information about the physical environment and any historical, economic, and social factors that have a bearing on the situation. By identifying the case context, 17 the researcher helps others who read the case study to conclude the extent to which its findings might be generalisable to other situations. Creswell (2009:26) remarks that “one of the chief reasons for conducting a qualitative study is that the study is exploratory. This usually means that not much has been written about the topic or the population being studied, and the researcher seeks to listen to participants and build an understanding on what is heard.” Thus, this study commenced with searching for secondary data resources that contained unpublished and published data on the research question to determine what has been written, to connect and build on the lessons from others. It helps to consider the previous lessons from other studies as we learn through reflective practice. Creswell (1994:148) declares that the data collection steps involve identifying the parameters for the data collection, indicating the type of data to be collected, providing a rationale for the data collection, and designing and advancing protocols for collecting information. The identification of the possible parameters of the study commenced during the initiation of the research question. This study collected data from the literature on policy implementation, policy documents and deliberations about sector delivery agreements and service delivery in South African public service. This research study used interviews and document reviews as the primary data collection methods. These methods were complemented by the theoretical dimension of the study, which provided the analytical framework. 1.9.7 Data analysis, validation and reporting Boije (2010:76) refers to Jorgensen’s (1989:107) definition of analysis, which states that “analysis is a breaking up or disassembling of research materials into pieces, parts, elements, or units. With facts broken down into manageable pieces, the researcher sifts and sorts them, searching for types, classes, sequences, processes or patterns. The aim of this process is to assemble or reconstruct the data in a meaningful or comprehensible fashion.” Therefore, data analysis in this study entails organising accumulated data and breaking it up into manageable pieces, synthesising it according to the research question and sub-questions. 18 The data analysis in this study was transcribed from collected data emanating from the in-depth interviews conducted with the research population. Miles and Huberman (1991:49) indicate that the ideal data collection and analysis model interweaves them from the beginning. This was paramount in providing a basic understanding of the phenomena and an opportunity for ongoing analysis. Stake (1995:77) advises that the nature of the study and the focus of the research questions determine what analytic strategies should be followed: categorical aggregation or direct interpretation. Stake (1995:77) further argues that case study is complex and that devoting much time to the formal aggregation of categorical data is likely to distract attention from its various involvements and contexts. In consideration of the above constraints, the emphasis was on interpreting the underlying meaning of the collected information. Neumann (2011:177-178) explains that to interpret means to assign coherent meaning. The data is in the form of words, verbalised or written, including quotes of specific events. Qualitative studies give meaning to content or data, translating it and making it understandable. From a qualitative perspective, the meanings of the people and things being researched must be understood to engage in interpretation. This is the first-order interpretation. The second-order interpretation elicits the data's underlying coherence and sense of meaning. Meaning develops only in relation to a large set of other meanings, not in a vacuum. Qualitative researchers go further; they seek to generalise and link the second-order interpretation to a theory and general knowledge. They move to a broad-level, third-order interpretation by assigning general theoretical significance to the data. Accordingly, interpretation involves explaining the data and its context to support the chosen interpretation. The data obtained in the research process was also classified into appropriate categories so that it could be labelled systematically (see Chapter 6 for an example). Bloomberg and Volpe (2012:139) refer to Merriam (1998; 2009), who indicates that qualitative analysis typically results in recognising recurring patterns or themes that cut through the data. Bloomberg and Volpe (2012:139–140) suggest careful consideration be given to emerging conceptual categories based on and precisely tied to the study’s research questions. Under each category, there is a layout of category descriptors. Each category and descriptor was allocated a code that maps participants’ 19 responses to the research questions, forming categories and subcategories. The study used the analysis of outputs from the reviewed documents and interviews conducted to develop the proposed model for the DPSA sector delivery agreement. The combination of the document reviews and empirical field data in developing models or structures builds a good link between theory and practice, as Booth, Colomb and Williams (2008:93) assert. This was considered as the researcher developed the alternative DPSA service delivery model. 1.9.8 Triangulation The concept of triangulation applies to research and pertains to efforts to strengthen research undertaking. In relation to triangulation and what it entails, Yin (2012:13) charges that the most desired convergence occurs when three or more independent sources point to the same set of events, facts or interpretations. However, Flick (2009:452) suggests that triangulation may extend methodological and theoretical access to the issue and field of the chosen study. Using triangulation requires more effort and resources, but the approach is more fruitful if it produces new and additional insights. This study thus follows a triangulation approach. Relevant scholarly texts and official government documents were analysed, and interviews were conducted with senior government officials at different levels and with inputs from academics to reach convergence. Nonetheless, Yin (1989:21) refers to three traditional prejudices against the case study approach as (a) lack of rigour, (b) little basis for scientific generalisation, and (c) that they take a long time and result in massive, unreadable documents. In this study, the researcher guarded against biased views and personal preferences that could have influenced the findings and conclusion; this was achieved through the rigorous methods used. 1.9.9 Reliability and validity of the research study The principles of reliability and validity were applied in this research study. These are applied in research to measure the trustworthiness of the research findings (Leedy & Ormrod, 2013:90). 20 1.9.9.1 Reliability In qualitative research, reliability is the dependability, stability and consistency of data on a given construct under investigation. In this study, the researcher ensured reliability by making use of good quality instruments for capturing responses, such as audio recording, coding, transcribing and integrating the collected and analysed data, by providing a complete description and formulation of the interpretation and by constantly comparing and cross-checking transcripts and codes for consistent results, as Creswell (2014:24) argues should be the case. The researcher carefully handled the collected data and ascertained that the presentation of the interview findings was consistent and similar to the original accounts by the interviewees. 1.9.9.2 Validity According to Hesse-Biber and Leavy (2011:48), validity is a process whereby a researcher earns the reader's confidence that they have ‘gotten it right’. Trustworthiness takes the place of truth. Lincoln and Guba (1985) note that the basic issue concerning trustworthiness is simple: how can an inquirer persuade their audiences (including themselves) that the findings of an inquiry are worth paying attention to and worth considering? What arguments can be mounted, what criteria can be mounted, what criteria can be invoked, and what questions can be asked that would be persuasive on this issue? In order to ensure rigour, trustworthiness and confidence of the audience in this research study, the study applied the three criteria of validation as espoused by Kvale and Brinkmann (2009): (1) validity as the quality of craftsmanship, which has to do with how you perceive the credibility of the researcher and the research, (2) validity as communication; this has to do with the idea that each interpretation of a given finding is open for discussion and refutation by the broader community of researchers, sometimes extending to the community where the research itself was conducted, and (3) validity as ‘pragmatic proof through action’, which relates to the extent to which research findings have an impact on those studied as well as changes that occur in the broader context within which the study was conducted (Kvale & Brinkmann, 2009:257). These assumptions of validity were factored in when the data was collected, interpreted and analysed. 21 1.10 ETHICAL CONSIDERATIONS Based on the North-West University’s (NWU) ethical standards, a formal ethical clearance letter was sought from and granted by the NWU Research Ethics Committee. Once the ethical clearance letter was obtained, the researcher could identify nodal persons and relevant stakeholders in the DPSA and other participating government departments for interviews. Moreover, the researcher proceeded to complete the necessary applications to conduct research with the DPSA, COGTA and DJCD. The approvals and consent letters from the participating government departments were subsequently shared with the NWU. Importantly, the respondents were informed that their participation in the study was voluntary, and their consent was solicited before the interviews commenced. The objective and the process of the study, as well as the anticipated benefits, were made clear to the potential participants before they participated in the study. On receipt of permissions and the approved questionnaires, the research was conducted ethically by ensuring that written consent was obtained from the potential participants before they partook in the study. The research participants were not in any manner or way coerced or forced to participate in the study. Their participation was entirely voluntary, and the information gathered through the interviews was solely used for the study. The collected information was not and will not be revealed to any person not directly involved in the study. In summary, the study observed the principles of ethical research, guaranteeing the participants’ anonymity and treating their interview responses in a strictly confidential manner. All the sources used were acknowledged using standard academic referencing methods, thus avoiding plagiarism. 1.11 STRUCTURE OF THE RESEARCH The research study assumes a conventional structure, starting with an introduction, an exploration of the theoretical and conceptual literature, an examination of the background mainly centred on the DPSA, an implementation of the SDA Outcome 12, a presentation of the empirical findings and ending with an evaluation, recommendations and conclusion chapter. It is constituted of the following seven chapters: 22 Chapter One: Introduction and Background to the Study This chapter introduces the study’s theme, research problem, research question, aim, objectives, scope and rationale and briefly outlines the approach and methods used in the study. Chapter Two: Literature Study and Conceptual Framework: Public Policy Implementation and Service Delivery Agreements This chapter delves into the study's pertinent conceptual and theoretical considerations, examining concepts such as public policy, performance contracting, public service, and models and theories like systems theory and institutional theory. Chapter Three: Historical role of the Department of Public Service and Administration and Governance and Administration Cluster Model This chapter is a contextualisation chapter focusing on South African public service. It looks at the transformation of the public service as it attempts to play a developmental role as envisioned in the policies formulated by the governing African National Congress (ANC) and the DPSA’s role in preparing the public service for executing government policy. The country’s public service has tended to fall short when implementing policies. This has led to interventions such as the sector delivery agreements intended to build capacity in the state. The chapter looks at the performance of the DPSA in implementing the sector delivery agreement, especially Outcome 12, which concerns itself with creating an effective and efficient public service. Chapter Four: Research Design and Methodology for the Study This chapter examines and establishes a methodology for the study. Unlike in the introduction chapter, where the discussion on this is not extensive, Chapter 4 thoroughly explores the methodology used to make the study possible. 23 Chapter Five: Presentation and Discussion of the Data Findings This chapter presents, discusses and analyses the findings of the study. Specifically, it presents the interview responses of the research participants (senior managers in the selected departments). It also provides an analysis of this to understand the views and perceptions of critical public service functionaries on the performance of the DPSA concerning executing Outcome 12 of the sector delivery agreement. The findings inform the creation of an alternative service delivery model, called the CSD model, which is presented and discussed in Chapter 6 of the study. Chapter Six: An Alternative Model for Public Service Delivery in South Africa This chapter presents and discusses the comprehensive service delivery (CSD) model. It is hoped that the model will assist the DPSA in building a capable, effective and efficient public service that is ready and fit to implement the government’s development policies successfully. Chapter Seven: Discussion of Findings, Recommendations and Conclusion This chapter of the research study undertakes an overall evaluation of the study and provides recommendations and a conclusion. 1.12 CHAPTER SUMMARY This chapter introduced the study background and orientation on the sector delivery agreements and how it is conceptualised in the South African public service context. It also introduced the fundamental concepts of public policy, policy implementation, delivery outcomes, service delivery, governance and administration, state capacity, institutional design and performance contracting, and how these concepts affect the outcomes approach and implementation of the delivery agreement in the Department of Public Service and Administration. The next chapter presents the literature study and conceptual framework on public policy implementation and service delivery agreements. 24 CHAPTER 2 LITERATURE STUDY AND CONCEPTUAL FRAMEWORK: PUBLIC POLICY IMPLEMENTATION AND SERVICE DELIVERY AGREEMENTS 2.1 INTRODUCTION This chapter provides a theoretical and conceptual clarification of public policymaking, examining important dimensions and factors that have a bearing on this, such as public administration, policy implementation, performance management and related concepts. More specifically, the purpose of engaging in a theoretical and conceptual examination is to create a framework for the analysis presented in the subsequent chapters of this research study. In terms of its structure, this chapter comprises nine sections, aside from the introduction. The first section offers a brief yet insightful exploration of ideas of institutions and systems to elucidate the mediums and processes that drive public policymaking. The second section extends this discussion to focus on policy models as one of the tools used to understand the policy environment. The third section looks at public administration and management, dissecting the theoretical explanations pertaining to the nature and scope of the phenomena. The fourth section expands the discourse on public administration by examining its most fundamental aspect; public policy. The responsibility of executing public policies to advance the common good of society resides with governments and their administrative machinery – public administration. In the fifth section, attention is given to literature that focuses on implementing public policies and programmes. This stage of policymaking is the most significant as it is defined or characterised by the execution of practical steps to address the social problems that gave rise to the policies in the first place. The sixth section examines the assumptions of the top-down and bottom-up approaches to public policy implementation. It is a valuable section in that it looks at the micro-level of policymaking, uncovering the finer details attendant to the process. Service delivery agreements have become an essential aspect of modern public administration. As such, the seventh section explores the phenomenon of performance 25 management in the public sector context and how it assists in realising desirable policy outcomes. Since the case study for this research study is the DPSA and its service delivery improvement mechanisms, the eighth section undertakes a general overview of the organisation, its goals and objectives and the agencies that have been created to assist it in fulfilling its constitutional mandate. The final section is the summary, which makes summative statements on the primary themes of the chapter. 2.2 SYSTEMS THEORY AD INSTITUTIONS The overarching philosophy underpinning the concept of the state as a political entity is that its raison d’être is anchored around providing basic welfare to its citizens. In line with this thinking, obligations and responsibilities are distributed between the state and citizens. This political arrangement allows the state to receive recognition, obedience, and legitimation of its authority. However, given that the state is a form of a monolithic and abstract entity, a government constituted of a president or prime minister and their executive is necessary to give effect to the social contract that exists between the people and the state. In order to achieve this, the government must develop public policy, itself an adaption of the governing party’s manifesto and/or its political ideology into workable policy goals and objectives. Since the focus of this research study was on public administration and management, especially as it relates to service delivery agreements as instruments of improving public service, it was important to consider, at a theoretical level, the nature, scope and meaning of various concepts central to the primary research theme. This is precisely what the ensuing subsections seek to undertake. Central to public policy and implementation are the concepts of institutions and systems. Institutions constitute the platform within which policies are formulated and implemented, and systems are often created as mediums through which policies are translated into actions and, ultimately, outcomes. Therefore, it is vital to explore scholarly perspectives on the nature and scope of institutions and systems in the context of the policymaking process. Political institutions affect the formulation and implementation of policies. In this regard, political institutions include aspects such as whether a country has a federal or unitary system, democracy, authoritarianism, or a dictatorship (Congleton & Swedenborg, 2006:9; Cole & Loughlin, 2003:287). 26 Federal systems have the propensity to generate “institutional variation” that cuts across the regional government states. For example, in some regions, there might be high levels of participation due to strong democratic culture and openness, while in others, the opposite may happen. Thus, a federal system is distinguishable by the fact that certain regional competencies or policy issues are beyond the authority of the federal, national or central government, while simultaneously, other particular matters are outside the scope of jurisdiction of the regional government (Baldi, 1999:6). The national government does not always possess the authority to impose policies at subnational spheres. In a unitary state, the national government dictates policy, and there is very limited devolution of policymaking to provincial and local spheres of government; the centre has a preponderant role and looms large at all times (Elazar, 1997:241). It is commonplace that state and political institutions like legislatures, the judiciary, and government bureaucracies impact policymakers. These institutions affect the distribution of power within society and allocate values and principles that subsequently condition what is possible and what is not policy-wise (John, 2012:29). Furthermore, institutions have structures, referred to as institutional structures, and codified rules that determine and influence how political actors and administrative officials exercise their choices, including policy implementation decisions. More importantly, “... political institutions are the main way that policy becomes authoritative and widely applicable to those who reside in a jurisdiction” (John, 2012:31). Driven by a desire to bend nature to their will, humans have always strived to understand and explain both their natural and socially constructed environments. This has logically resulted in the formulation of theories that are designed to enhance the study and understanding of social or worldly phenomena. Theories are tools of analysis. Systems theory, the theory deemed appropriate for this research study, is one of the theories that emerged as humans immersed themselves in the epistemic struggle. Systems theory emanates from the general systems theory (GST); the GST is a transdisciplinary area of study as well as a theoretical framework embedded with micro-level approaches commonly called systems theories (Whitchurch & 27 Constantine, 2009). In terms of the overriding goal, systems theory aims to understand and explain the behaviour of complex and often multifaceted systems that form part of a given entity or matter (Whitchurch & Constantine, 2009). Since systems theory is transdisciplinary, it has also been applied as an approach to understanding how organisations work (Rhydderch, Elwyn & Marshall, 2004). In addition, it explores the multiplicity of ways through which different organisational goals can be achieved. Using an organisational system as a tool of analysis, a typical organisation would have inputs, usually in the form of resources and information; processes, referring to the activities in the organisational system that are important to the execution of the organisation’s work; and outputs, which broadly include services, goods and outcomes that the organisation produce (Biazzo, 2002). Regarding systems theory’s view on organisations, they are considered open to the environment within which they are located (Charlton & Andras, 2003:5–7). The organisation’s boundaries and remit are permeable, allowing for resources and information to move in and out of it. The exchanges and interactions that unfold within the environment are critical to the organisational system's life, health and resiliency. So, organisations have interdependence with the environment, which is dynamic and characterised by interconnected relationships that have a bearing on the organisations (Harney, 2019). Nonetheless, the environment or environments that are part of the ecosystem in which an organisation or organisations exist are unpredictable. Accordingly, people tasked with the responsibility to lead and drive organisations continuously scan the environment as they attempt to gain a clear glimpse of the likely future trajectory and devise measures to mitigate, control or prevent possible adverse effects emanating from the environment that might limit the organisation’s ability to realise its goals and objectives (Harney, 2019). The organisational system is complimented by sub-systems; in addition to the broader (Dekkers, 2015) overarching system, there are also sub-systems linking the various departments, directorates or divisions to each other and, more importantly, to the primary system. The sub-systems are also interrelated and function complimentarily to the extent that if one sub-system (i.e., directorate) does not execute its programme implementation functions effectively (in the case of a government department, for 28 example), that failure will reverberate and affect the other sub-systems and the primary system’s ability to achieve programme goals and objectives. As such, the optimal functioning of all the sub-systems within an organisation is vital and worth emphasising. The concept of ‘equifinality’ has been developed to refer to the contingent and dynamic nature of goals in an organisation in terms of the systems theory perspective (Coetzee &Van Niekerk, 2012:3–4). Equifinality posits that no single, static method exists to organise the pursuit of goals. This may create the impression of an ‘anything goes’ approach to organising, but it is far from it. While equifinality is opposed to creating a universal and unchanging method of organising, it also advocates for formulating or adopting a way of organising that best responds to the given organisation’s needs, goals and objectives (Coetzee & Van Niekerk, 2012:4). The idea of a ‘living biological organism’ is evoked in systems theory to better understand the workings of an organisation (Whitchurch & Constantine, 2009). In terms of systems theory, the public service would have to be considered in its entirety, not only some part of it, to understand the organisation and, most crucially, design systems that extract the most favourable result. Therefore, and as already indicated, systems theory proceeds from the assumption that parts fit into a whole, and as such, each component should be considered as an aspect of the whole and never taken as a separate phenomenon (Ayres & Stewart, 2001:81). This lends credence to the idea of ‘holism’ – a concept advancing an argument that organisational systems should be viewed as a whole and that perceived separately, they carry no significance to understanding an organisation (Mulej, 2007). In terms of systems theory, there is an interaction between the parts that make up the whole at all times. Thus, the various parts and components of the organisation are interdependent and interface via mutually inclusive feedback processes. Related to the preceding are the concepts of ‘negative feedback’ and ‘positive feedback’, given out or produced by the system. On the one hand, negative feedback denotes a situation whereby the system transmits feedback that aims to address or mitigate deviation in the system’s processes to ensure that the correct trajectory is recovered in pursuit of the system’s goals. On the other hand, positive feedback refers to changes that transpire within the system and are intended to enhance the prevailing system’s processes as the organisation pursues its goals (Lai & Huili, 2017:2–4). As previously argued, the nature of the 29 system is such that there are “inputs, outputs and outcomes” (Allen & Friedman, 2011:4). Therefore, the approach that researchers should assume is one where they explore and dissect the linkages that exist within a given system structure – the interconnectedness obtained within the system. In the context of public policy, the systems theory holds that public policymaking is characterised by an interaction between institutions and actors within a system, of course, with the objective being resolving public issues or problems (Ayres & Stewart, 2001:82). The preceding exploration of systems theory may give the impression that organisations that align with notions of an organisation as propounded by the theory operate seamlessly, more like automated machinery. However, systems that underpin an organisation may suffer what is generally referred to as ‘entropy’. Entropy alludes to a scenario whereby systems deteriorate over time, drifting towards disorganisation (Bailey, 2006). They effectively become useless and unhelpful insofar as assisting an organisation to achieve its goals is concerned. In order to counter entropy, efforts must be channelled towards creating and maintaining an equilibrium or a balance in the system (Gunaratne, 2008). This requires energy, resources and information to be injected into the system to achieve healthy stability. Generally, systems theory is taken as an important step towards formulating or building systemic models (Ayres & Stewart, 2001:91). Consistent with systems theory, the social and political-administrative systems within which policymaking occur can also be differentiated in terms of macrosystems and microsystems (Allen & Friedman, 2011:7). In this instance, the broader process of problem identification, agenda setting and, to an extent, policy adoption, may be considered to be part of the macro system of policymaking, while the narrower and more technical process of programme and project conception and the attendant implementation, is part of microsystem. Systems theory holds that policy problems cannot be understood as divorced from their solutions. In this sense, public policy is not considered a panacea, but an intervention intended to navigate the identified social problems. By their nature, organisations are hierarchical (Kuhl, 2013:13), and the relationships that exist within organisations also tend to be hierarchical. In a conventional government department, the political principal (minister) will be the most important individual, followed by 30 technocrats, also ranked in terms of their designation on the scale. Decision-making, including those related to policy matters, is also hierarchical (Kuhl, 2013:14). Closely related to systems theory is institutional theory. According to Leaptrott (2005:215), institutional theory strives “to explain certain organisational behaviour”. This encompasses “the emergence of distinctive forms, processes, strategies, outlooks and competencies as they emerge from patterns of social interaction and adaptation” (Selzick, 1996:271). As argued in the preceding paragraphs, the aforesaid arises out of the need and necessity to respond to pressures that emanate from the environment. Within the institutional theory, there is a differentiation between ‘old institutionalism’ and ‘new institutionalism’ (Leaptrott, 2005). The distinguishing trait of old institutionalism is that an institution or organisation uses its own values and culture to respond to pressures and demands that emerge from the environment (Abrutyn & Turner, 2011). In simple terms, the pressures coming from the environment are factored through the lenses of the organisation, and the organisation’s values shape how it responds (Leaptrott, 2005). Similar to systems theory, the institution must possess resources, expertise and information for it to function (Leaptrott,2005). Moreover, in terms of old institutionalism, an organisation must respond to environmental pressures in a way that allows it to safeguard or preserve its core values; in essence, it is not open to change. Conversely, new institutionalism regards the ‘legitimacy’ of an organisation as crucial (Leaptrott, 2005:216). Accordingly, an institution that fails to embrace the values that condition pressures that arise from the external environment is cast as problematic. Of course, legitimacy is attained through social acceptance, intricately linked to an organisation’s ability to maximise structures and processes to achieve greater social good, thereby enhancing its longevity and success (Leaptrott, 2005). This is connected to the concept of organisational isomorphism – a condition where an organisation willingly integrates into its values, process and system ways and concerns that emerge from the environment surrounding it (Deephouse, 1996:1024; Frumkin & Galaskwiecz, 2004). The process of institutionalisation is pivotal for organisations. Guy (2000:8) argues “that being an institution is a variable, not a constant, and not all are as fully 31 institutionalized as are others.” He contrasts a recently formed government agency and another that has been in existence for many years, contending that while the former would have formal structures that are also found in other organisations, it would be at a nascent stage of institutionalisation with autonomy yet to be attained, while the latter would have the attributes associated with an ideal institution. Some of the prominent and useful models of public policymaking are (a) the rational decision model; (b) the conflict resolution model; and (c) the artefactual decision model (Olsen, 1972:48). The first model emphasises the centrality of the decision-maker and views outcomes as a result of the well-calculated actions of the individual. In addition, it assumes that ‘effective’ choices are known to the ‘rational’ decision-maker and that static rules allow for comparisons of different options. However, while policymakers may be able to make certain decisions about the course of action to be taken for a problem, they lack control over issues that exist in the real world. Accordingly, the result of their intervention may only be understood in terms of probability, definitely not with certainty. Regarding the second model, an organisation is perceived as composed of rational individuals and groups. However, unlike in the rational decision model, the actors possess different interests, views and expectations (Olsen, 1972:47). In a public policymaking scenario, this model would hold that the process is characterised by the absence of concurrence around a single solution and as such, bargaining dominates within the institution. In this situation, political leadership plays an important role in mobilising support behind a policy proposal. Lastly, in the artefactual model, outcomes are viewed as the product of particular ‘automatic’ processes over which the individual has no control. This model thrusts into the fore the idea of chance; while policymakers make certain decisions in an attempt to address a social problem, the resultant outcomes are not due to the productivity of their efforts but merely chance. While economic models hold that a government policy that increases corporate tax to finance social welfare is inefficient and consequently undesirable, political models view such a policy as positive if it can satisfy the needs of the majority of the population. This is because the cost-benefit rationale of political models is not merely interpreted in terms of finance but also considered against broader societal concerns such as 32 equality, public interest, the greater good and other similar matters (Levin-Waldman, 2001:17). Easton’s political system model is another model that has been used frequently to explain the process of policymaking. This model adopts the dominant view of a political system, describing it as being “composed of those identifiable and interrelated institutions and activities in a society that make authoritative decisions (or allocations of values) that are binding on society” (Osman, 2002:39). The political system model holds that the broader societal milieu provides inputs, mostly through interest groups and pressure groups, in the form of demands and/or support onto the political system or decision process. The political system subsequently translates the inputs into outputs to create policies that reflect the concerns of society. 2.3 PUBLIC ADMINISTRATION AND MANAGEMENT The phrase public administration is omnipresent in all states and societies of the world. On the one hand, and depending on the context, public administration could refer to a scientific and academic field concerned with the running of the state by the government on behalf of the citizens. On the other hand, public administration could be used to allude to the practice and activities of government officials as they administer the state on behalf of the public. In order to establish the meaning and nature of the phrase ‘public administration’ and thereby deepen understanding of it, there is a need to dissect each component of the phrase separately. Beluchi & Inienger (2020: 56-59) refers to various scholars that offer their own accounts of what the concept of administration means. Administration can be interpreted as referring to cooperative group action that entails the identification of suitable methods and processes necessary for the execution of a particular activity and the actual implementation of the action (Simon, Smithburg and Thompson, 1971). From this perspective, administration is an incisive, systematic and goal-oriented activity of a group of people who seek to achieve certain defined ends. However, Cloete (1981) argues that administration is a fundamental aspect of human life and occurs whenever two or more people interact. Cloete expands his argument further, positing that administration is aimed at the productive and effective pursuit and achievement of goals. The common thread running through the two definitions is that administration involves multiple people who demonstrate efficient cooperative behaviour towards realising specific goals. 33 The concept of the public is that it is an antithesis of private and refers to anything that belongs to or happens in the interest of the general populace. Therefore, public administration refers to activities amounting to administration for the public good. As outlined above, they unfold within a political context and are intended to fulfil clearly defined social needs (Thornhill & Van Dijk, 2010:101). Thus, public administration covers or is concerned with the activities of the government. Administrative functions as part of public administration are varied but include implementing government policies. A turning point in public administration came in the 1970s when ‘new public administration’ emerged in response to the financial crises of the time. The new public administration paradigm entails focusing on “improved productivity, performance- oriented organisations and employees, increased accountability and decentralised decision-making" (Thornhill & Van Dijk, 2010:104). The aforesaid approach relegates political and social considerations in favour of an economic market system where the input has to be rationalised by the output. Accordingly, public organisations are expected to behave and perform similarly to private organisations, emphasising contracts and transactions. This is regarded as pivotal for creating an effective and efficient public organisation. As such, a government department that incurs wasteful and fruitless expenditure and fails to deliver on its mandate relating to the satisfaction of public needs and demands would be considered unviable in terms of the new public administration approach. Draai and Raga (2011:87) argue that the new public management theory and its emphasis on managerialism have increasingly become popular with governments worldwide. It is underpinned by a focus on outcomes and advocates for a public service that is “client centred.” Therefore, measuring the success of public administration in the execution of service delivery will include a variety of instruments, such as citizen satisfaction surveys and observation, to determine whether the policy intervention has addressed the identified social problem or not. Widespread protests and civil unrest because of poor or absent service delivery indicate low ‘client’ satisfaction as a direct result of ineffective public administration. Drawing from Cloete’s generic view treatise, Vyas-Doorgapersad (2011:237) points out that public administration comprises certain “generic administrative processes or 34 functions, namely: policymaking, organising, financing, personnel provision and utilisation, determination of work procedures and control.” These generic administrative functions are the hallmark of public administration in terms of the generic view perspective. Clearly, the generic approach focuses on the bureaucratic structure and operational officials within the organisation as crucial to public administration. It is impossible to consider public administration without considering the legalistic and constitutional factors contributing to its evolution. Constitutions not only provide a framework for the protection and upholding of human rights but also outline the general obligations and roles imposed on various state institutions for the purpose of the furtherance of human development, human actualisation and human rights. For instance, a typical constitution of a modern country may characterise access to water as a human right that the state must ensure is upheld, as is the case with the 1996 South African Constitution. Necessarily, a public organisation, in the form of a government department or agency, should be created to undertake water provision to the public. Public management is a complex and difficult phenomenon, and this complexity is something that public managers and other civil servants must contend with daily. Citizens will usually exert pressure on politicians that they have elected, who will then transmit the pressure onto public managers – with the latter expected to find administrative solutions that address the interests of both the citizens and politicians. As Bertelli and Lynn (2005:2) argue, “citizens and their representatives expect the public managers to get the job.” In this sense, public management is a crucial layer wherein citizens and politicians interface and input demands, and in response, public managers are expected to deliver. However, the aforesaid relationship matrix may give the impression that the process works seamlessly. Far from it, public managers do not only have to contend with limited resources, i.e., insufficient budgets or shortage of skills within their institutions but also bear the responsibility of ensuring that what is expected of them aligns with the constitution and laws of their country (Bertelli & Lynn, 2006:147). Failure to ascertain that public management decisions align with the laws and statutory requirements imposed by the constitution may result in officials 35 (unwittingly) violating the laws, possibly at a personal cost. Indeed, in South Africa, there have been myriad instances where public managers were ruled by the courts to have transgressed the law, as in the case of the former police commissioner, Jackie Selebi (Mail & Guardian, 2011). Of course, it is not the intention here to deliberate on the bona fides of the abovementioned, but rather the aim is to illustrate, by way of example, that public managers find themselves in a complex position. As in the case referred to in the preceding paragraph, mistakes generate political controversy, judicial scrutiny and censure. To prevent or mitigate a situation whereby public servants deviate, parliamentarians and/or legislators typically put in place controls ex-ante (Considine, 2005). Even in this case, and because the public service system is such that the power to execute policies is delegated to public managers, the responsibility to choose the right path lies with the officials. Accordingly, the pressure is innumerable, while the margin for error is lean. The primary reason for delegating the responsibility for public welfare to public managers and civil servants generally is because these are supposedly well-trained, skilled or satisfactorily capacitated individuals – traits not many possess in society – and therefore, it is for the good of all that the public administration to be left to them. With the emergence of the modern state from the 16th century onward in Europe, the ideas of a public bureaucracy and the rule of law as the basis for public administration emerged (Malloy, 2013; Bertelli & Lynn, 2006:73). This period of the formation of the political institution called a state was critical; it was a time when clear distinctions between the state (and its administrative architecture) and the citizens were made and consolidated. Public bureaucracy became the sphere within which public administration rose, and the constitutional institution that provided the legal guidelines upon which public administration as an activity is predicated. Necessarily, the state had to be organised in terms of ‘compartments’ or departments, as well as the creation of different public organisations, all to advance the interests of the state and its citizens. Public managers and officials in the public sector would then organise and execute public administration within these different organisations/institutions, coordinating their actions towards realising specific objectives as defined at the political level. 36 2.4 PUBLIC POLICY Policy is a dominant motif in the work that governments do; almost all the activities of governments are geared towards the pursuit of policies. Osman (2002) contends that policy is a (political) statement about goals and wishes and outlines the steps necessary to pursue such goals. Knoepfel et al. (2007) observes that “all policies aim to resolve a public problem that is identified as such on the governmental agenda.” As such, policies constitute a response by the state and its administrative apparatus to a social phenomenon that is considered unpalatable. Such social problems regarded as unacceptable at the political-social level may include substance abuse, i.e., nyaope and cocaine, and youth unemployment. Within the South African political-social context, nyaope and youth unemployment have indeed been identified as menacing social realities that the country should tackle. As a matter of fact, the problems of nyaope and youth unemployment permeate almost all the country's townships, while only youth unemployment is rife in the rural areas, with drug abuse being less prevalent in this category. In an attempt to address these social ills, the South African government formulated the National Youth Policy (2020) and a myriad of policies centred around substance abuse, consequently giving rise to programmes such as the Anti-Substance Abuse Programme of Action (SA News 2021; Republic of South Africa, 2021). Of course, it is not a given that an issue will automatically make it onto a government policy agenda. This could be that the issue is not adequately visible, which could be a result of the insufficient spotlight, fear of undesirable electoral impact, or absence of political and administrative capability to address the issue. In light of this, public policy formulation is a complex, sometimes bewildering process. Crucially, perhaps even problematically, a social problem that generally deserves policymakers’ attention may not necessarily receive such attention. Indeed, it is almost a universal fact that governments formulate policies to achieve one end or another, an end that is ultimately linked to the development or progress of humanity. Over the past few decades, it has become commonplace for discourses immersed in policy to not only refer to development but rather ‘sustainable’ development. Sustainable development is understood as encompassing economic, 37 social and environmental considerations as key elements of policy (Auriacombe & Van der Walt, 2021:7). The economic aspect relates primarily to government policy intervention intended to create a robust economic infrastructure and systems aimed at improving economic growth for the achievement of economic freedom. The social dimension is somewhat broad in focus and deals with a wide array of matters such as housing, education, community welfare and many others pertaining to social welfare. The environmental dimension is borne out of the fact that the environment increasingly suffers from the activities of humans. As a result, policies should minimise the negative impact on the environment. However, the focus here is on public policy in the general sense. Policymaking is a process, and the first step involves identifying the policy issue/problem (Potucek, 2017). The problem is subsequently carefully assessed to establish its nature in terms of causes and scope. After there is a consensus that the issue merits government action, it is moved into the policy agenda realm through various interest groups, political parties, and other stakeholders who advocate for attention to be given by the political representatives. It is worth acknowledging that the policy agenda-setting arena is a very contested space, as myriad issues jostle for government attention (Hill & Hupe, 2002). A parliamentary or portfolio committee would then be instructed to investigate various methods to resolve the problem – this is called the policy formulation stage. Government is conceived in such a manner that for every critical aspect of society, i.e., social development and policing, there is a specific department/organisation whose reason for existence revolves around addressing these challenges. Parliamentary committees also reflect this rational division and bifurcation of responsibility. Thereafter, the portfolio committee will move to the policy adoption phase, which involves tabling the policy in the form of a ‘green paper’ to parliament, where members debate it with a view to adopt the policy, interpreted as legislation. During the deliberations that accompany and characterise this process, the green paper is converted into a ‘white paper’, which is subsequently translated into a bill and eventually promulgated into legislation as an Act. The legislation then obligates the government to respond to the issue specified in the Act. This is the policy 38 implementation stage, where specific government departments will be instructed to take concrete actions to address the problem, using the resources that have been channelled to them for this purpose. At this phase, the department’s management is expected to “plan, strategize, control, monitor and guide action to effectively and efficiently implement policies” (Auriacombe & Van de Walt, 2021:8). In this sense, the department becomes a theatre of policy implementation, an apparatus in which deliberate, concerted and purposed actions are taken to attend to a social issue. Policy implementation is not the final stage; there is also a policy evaluation phase, which entails evaluating and assessing the policy implementation. 2.5 POLICY AND PROGRAMME IMPLEMENTATION Considering that this research study focuses on service delivery agreements, the concept of policy implementation is a key aspect of the research and deserves to be adequately explored. Certainly, the issues that emerge as problems are easier to identify, but solutions are often elusive. Various, sometimes diverging definitions of policy implementation abound. Lazin (1993:8) argues that policy implementation commences with “a set policy and programme, these being central to the idea of implementation.” He believes that implementation should not only be perceived as a translation of policy goals into effect but should also encompass the finer details of what actually transpires in the process, the how and why. In consideration of the abovementioned, it is clear that Lazin (1993) advocates for an approach that advances a comprehensive and thorough view of implementation. Moulton and Standfort (2015:11) posit that “policy implementation is viewed as the activities carried out by various institutions and implementers in pursuit of adherence to public policy and laws.” The interpretation of public policy as a form of law, as legislation, is also reinforced by this definition. Indeed, implementation entails the execution of rudimentary policy decisions, usually as statutes or the result of court judgements or executive orders (Moulton & Standfort, 2015:11). Thus, implementers strive to interpret and impart policy directives into their everyday work through policy programmes – it is somewhat the ‘micro’ level of policy. Similarly, De Coning and Gunther (2009) define policy implementation “as the conversion of mainly physical and financial resources into concrete service delivery outputs in the form of facilities and 39 services, or into other concrete outputs aimed at achieving policy objectives.” Since all government departments tend to have similar, broader and overarching objectives and goals, coordination of policy implementation across all government departments is pivotal. Countries choose their preferred ways of coordinating their response to social problems; South Africa has a ‘cluster’ system. For example, the country has an economic cluster composed of departments aligned to the economic dimension, such as the Ministry of Economic Development, Trade and Industry, the Treasury, and the security cluster, which includes the South African Police Service, State Security Agency and the National Defence Force. Knoepfel et al. (2007:28) argue that an intervention programme is a crucial constituent of public policy. They describe an intervention programme as alluding to decisions and actions taken by a given collectivity that has to be converted into a solid and specific set of programmes for their implementation or application to achieve the desired goals. An example of a policy programme in the South African context is the Integrated School Safety Programme, which is concerned with implementing policies that address the challenges of violence and crime in schools (Parliamentary Monitoring Group, 2019). The programme pursues policy objectives by connecting schools with their nearest police stations and raising awareness amongst pupils as to the measures they can take to avoid being victims of crime. While the general posture taken by scholars towards the idea of implementation is that it is a stage in the policy continuum, Moulton and Standfort (2015) hold the view that effective implementation should be pursued. Against what standards or principles can effective policy implementation take place? This question is important because policy implementation is not a haphazard process. Cloete (2001) provides a list of principles that guide policy implementation. Amongst these are: • The core responsibilities and functions of government departments should be clearly defined, and importantly, departments should focus on their key areas of competencies. • Thorough design and implementation of policy and service delivery programmes is a prerequisite for successful policy implementation. 40 • Output-focused standards should be formulated. • Robust and effective political leadership and administrative capability are crucial for successful policy implementation. • Implementation agencies should be appropriately designed to fulfil their mandate. • There should be conceptual clarity in the implementation strategies. • Adequate assessment or appraisal of the policy, programmes and all efforts to pursue the defined goals should be undertaken. • Sufficient coordination across government departments should be in place. • For every service delivery system, there are numerous others; therefore, thorough consideration of the alternative should also be given. The aforesaid principles are fundamental guidelines that should guide and drive the implementation of public service policies and programmes. A careful assessment of these principles will highlight that policy implementation is not just an activity that only requires policy and programme execution but also an intellectual undertaking that requires continuous analysis. Indeed, reflecting on policy and programme implementation, Ryan (1995:353) contends that implementation is the application or operationalisation of policies and programmes, while implementation analysis is preoccupied with the rollout and execution of policies and programmes and, crucially, the impact of this on the outcomes. Accordingly, civil servants, especially at the senior management level, are expected to possess analytical skills and comprehensive knowledge of the policy and programme. The phenomenon of programme management is an essential aspect of policy and programme implementation. In practical terms, programme management is concerned with the arranging or ordering of a variety of related projects, tasks and actions in an attempt to realise policy objectives and goals (De Coning & Grunther, 2009:49). Moreover, programme management also entails the coordination of the abovementioned activities to ensure synergy. Given the aforesaid, it is evident that programmes give rise to projects and tasks, which are key components or constituent parts of policy programmes. Expanding their argument on the nature and scope of programme management, De Coning and Grunther (2009:49) contend that 41 “programme management targets the relations between projects by attempting to optimise project benefits in a symbiotic way and to integrate project components at the programme level.” Thus, coordination of the various projects central to the programme constitutes the methods to pursue programme objectives and goals. 2.6 TOP-DOWN AND BOTTOM-UP APPROACH TO POLICY IMPLEMENTATION AND IMPLEMENTATION ACTORS As previously alluded to, implementation is crucial to the failure or success of public policy. Bi, Yang and Zhang (2011:1322) observe that “ineffective implementation will be viewed by policymakers as a product of bad execution”; thus, implementation is a pivotal phase in the policy process. In this process, there is an interaction of an array of stakeholders, including policymakers, state bureaucracy officials and the group or community that is the target of the policy intervention. Important distinctions in policy implementation involve top-down and bottom-up approaches. Evidently, the differentiation between ‘top-down’ and ‘bottom-up’ implies the existence of some hierarchy in policy implementation. The top-down approach concentrates on dimensions relating to control and communication that happen in the policy implementation hierarchy (Bi, Yang & Zhang, 2011:1322). Specifically, this approach holds that policy implementation starts with the decision of officials at the top echelons of government, especially officials in the national or central level of government (Sabatier, 2008:22). The assumption is that upper-level government officials are able to subvert the preferences of the ‘street-level’ bureaucrats and policy target groups who may change the way in which a policy is envisioned to be implemented and thereby affect expected outcomes, through a variety of strategies. These may include choosing or handpicking bureaucrats to lead implementation or offering incentives to the policy target group as a way of tilting political support in their favour (Sabatier, 2008:25). Moreover, Koontz and Newig (2014:419) argue that the top-down approach focuses on policy design that outlines, in no uncertain terms, policy directives, succinct articulation of the responsibilities of policy executors/implementers within the bureaucracy, and the ability of top-level officials to give direction without hindrance. Accordingly, the top-down perspective views implementation as a process characterised by hierarchy, with decisions 42 transmitting in cascading fashion from the highest echelons to the lowest levels within an organisation. The bottom-up approach to policy implementation emphasises government officials' role in implementing policy. It focuses on the decisions and activities of employees in organisations as these unfold within ‘implementation structures’ (Hill & Hupe, 2002:54). While the elites may dominate policy formulation, the translation of policy into action requires implementing a process that entails interpretation and modification, with the implementers’ assumptions and subjective biases finding expression in the implementation process. These actors that implement policy have far greater latitude than often acknowledged (Hill & Hupe, 2002:58); for instance, frequently, officials in the coalface of implementation may be compelled to eliminate programmes or projects that appear to clash with others (Pulzl & Treib, 2017:111– 112). Clearly, such decisions are very consequential in the policy process as they have the ability to influence outcomes. Accordingly, the bottom-up approach asserts that officials in the seemingly less important level of the bureaucratic structure have a limitless impact on the policy process. An exploration of public policy would be incomplete without adequate examination and analysis of the actors and the roles performed by these actors in the policy spectrum. As a starting point, it is essential to clarify what is meant by ‘actor’ in the context of this research study. An actor is taken to refer to an individual – who could be a government official, an expert, or another such pertinent person; a group of individuals, i.e., departmental officials; an organisation or institution – i.e., a private company or workers’ representation organisation, or any other similar institution (Knoepfel et al., 2007). A multiplicity of people and organisations may enter the policy arena and participate in addressing a specific social issue. Public actors are taken to allude to those who form part of the political-administrative apparatus and are generally viewed as amounting to the legal ‘authorities’ empowered to deal with social problems. Affected actors comprise the policy target group, beneficiaries or those affected by the policy intervention, whether positively or negatively (Knoepfel et al., 2007). The target group is regarded as people and/or institutions whose behaviour is required to change, 43 i.e., collusion tendencies of private companies may force the government to introduce anti-trust laws. As the policy resolves the identified problem, a certain category of people or organisations will benefit directly. Using the example of anti-trust policies referred to above, once these policies take effect, they will directly benefit certain small businesses that had suffered because of toxic company behaviours, like collusion and price fixing, undertaken by dominant players in the industry. Lastly, people or organisations may witness their lives/circumstances changed completely (positive or negative change) by a policy implementation, albeit they were never the target of the policy intervention in the first place (Knoepfel et al., 2007). This highlights that public policies and their implementation have far-reaching effects on societies, communities, groups or individuals. 2.7 PERFORMANCE MANAGEMENT AND SERVICE DELIVERY AGREEMENTS Results-based management has become a dominant theme in modern public-sector organisations like government departments and state parastatals (Vinuela & Zoratto, 2015). The reason for this shift is a desire to maximise the value that officials can add to the organisation and its goals. As previously indicated, modern governments are divided into various departments, which are structured according to the area of focus. These departments usually develop and implement a range of programmes intended to realise policy objectives and goals and maximise their employees' performance (Frey, Homberg & Osterloh, 2013:959–962). Bussin (2013:20) defines performance management as “a process that measures individual employee performance against set performance standards.” Amongst its key objectives are the alignment of organisational and employee goals; engendering performance-oriented culture in the organisation; pinpointing and overcoming performance challenges; and encouraging a culture of accountability and a concerted focus on delivery (Bussin, 2013:20). Amongst the measures taken to improve service delivery are performance agreements that senior staff are expected to sign. In the South African context, the African National Congress (ANC) government has introduced performance agreements at the level of political principals and senior state officials generally (Public Service Commission, 2009:17). At the centre of performance 44 management is the pursuit of the organisation’s overarching goals. In a policy scenario, the success of an organisation’s performance management function would be measured by the successful implementation of the policy programme. Governments worldwide are gradually modernising their administration to pursue accountability and work ethic, focusing on outcomes. Unsurprisingly, performance management has been one of the methods through which the pursuit of perfection in public service, in general, and service delivery, in particular, is driven. Van der Vyver (2013:101) correctly observes that “in order to achieve acceptable levels of service delivery, governments are starting to rely more heavily on structured systems of performance management and measurement.” These commit officials to certain service delivery targets, and failure to reach the state targets supposedly results in some form of accountability. Phago (2012:64-65) uses the phrase ‘service delivery progression’ to refer to the chain of support that political parties receive from the general public during elections in exchange for services. Once in government, a political party is expected to deliver on the promises it committed to when campaigning for votes. Therefore, the party will be held accountable for the delivery of services, at least in theory. Of course, political parties are formed to gain access to state power, and once they are elected, they work to retain that power in the subsequent election cycles. Logically, political pressure will be exerted on government officials to effectively implement policies that satisfy the demands put forward by citizens. The preceding implies the notion of outcomes measurement, policy implementation outcomes measurement to be precise, in a sense that outcomes have become fundamental to government work. Outcomes management in the public sector takes a holistic approach to policy implementation, considering not only issues related to skills, resource input and efficiency but also effectiveness – the impact of the intervention (Bovaird & Davies, 2011:94). In this regard, the outcomes of the implementation of a housing policy will be measured by determining the number of people/families that previously did not have access to decent and dignified housing and are now homeowners as a result of the policy intervention. The housing policy is considered a success once the greatest possible number of the policy’s target group gain access to 45 housing (Proctor et al., 2010:73–74). However, the implementation is unsuccessful if only a few receive houses through the policy. In this latter scenario, the implementing officials must be held accountable for non-delivery and contradicting their performance contracts. 2.8 A GENERAL OVERVIEW OF THE DPSA The Department of Public Service and Administration (DPSA) is responsible for the overall organisation and management of the public service apparatus. Nonetheless, South Africa is a unique country in the sense that it emerged in 1994 from an apartheid rule that was characterised by public service designed and intended only to serve a relatively small section of society, white South Africans. The negotiated settlement that ended the liberation struggle called for the convening of non-racial and non- discriminatory elections; indeed, the elections were held in April 1994, and the erstwhile liberation movement, the ANC, won by a convincing majority (Ngcaweni, 2013). Since the ANC subscribed to the principles of non-racialism, non-sexism, human rights and the idea of democracy, it sought to extend and position the state’s administrative apparatus to provide public services to all South Africans, regardless of race, ethnicity, religion or creed. Given that the public service inherited in 1994 only serviced a minority of South Africans, the new government’s position had implications for the DPSA (Naidoo, 2005). One of the most consequential implications was that the DPSA had no adequate institutional capacity to incorporate all South Africans. Perhaps the greatest challenge that DPSA faced in the immediate aftermath of the apartheid regime and the early dawn of democracy was the reconfiguration of the fragmented South African public service. The apartheid regime had created the so called ‘homeland’ system – a political system whereby South Africa’s black population were settled in terms of ethnicity into semi-autonomous and self-governing political entities (Challaghy, 1983). When the apartheid system was dismantled, the public service of these homelands had to be integrated with the previously white dominated civil service apparatus that had jurisdiction over the country’s more developed regions, including Pretoria and Johannesburg, to form a single public service (Levin, 2009:948). On the one hand, and being a racist and prejudicial system, the white minority regime had concentrated resources in the formerly white administrations and not the black 46 homelands. These resources were in the form of generous budgets and highly trained and skilled public servants. On the other hand, the technocrats staffed in the homelands were poorly trained, with severely limited resources (the homelands were mainly economically unviable) and poor infrastructure generally. Logically, integrating the two disparate and significantly differentially endowed public service institutions was bound to result in an imbalance and poor service delivery. The mandate and role of the DPSA are encapsulated in the Public Service Act of 1994 and the Public Administration Management Act of 2014, which call for, amongst others, the creation of the “organisational structures and establishments of departments and other organisational and governance in the public service” (DPSA, 2021) . In this sense, the DPSA is expected to possess the capacity and capability to innovate around the idea of governance to advance effective public administration underpinned by high service delivery output. Indeed, the DPSA is tasked with the establishment of a public service that is “development-oriented” (DPSA, 2021) - this dovetails neatly with the idea of creating a ‘developmental state’ as espoused in the NDP (Republic of South Africa, 2012). Management of resources is a precarious and, sadly, a responsibility that can be fraught with mismanagement and even fraud and corruption. As an attempt to curtail the various statutes, the Public Service Act and the Public Administration Management Act intentionally contain elements that call for accountability, not only in handling public resources like money and equipment but also in the manner services are rendered. Thus, discrimination based on ethnicity, gender, class, creed or any arbitrary basis is prohibited. Considering that South Africa comes from a terrible apartheid past where the public service apparatus was designed to serve only a few in society, as discussed above, the DPSA is also expected to lead the transformation of the public administration. While this is pursued, the idea of imparting innovation and efficiency in public administration institutions remains prominent in the discourse. As a matter of fact, various institutions have also been established to assist the DPSA in pursuing its constitutional mandate to establish and oversee fair, effective, efficient, innovative and accountable public service. These include the Public Service Commission, the Centre for Public Administration Innovation and the National School of Government. 47 The role of the Public Service Commission is to monitor, investigate and evaluate public service, ensure that the highest ethical standards are observed in the practice of public administration and impart accountability (Public Service Commission, 2021). It also explores and suggests strategies that can help improve performance in the service, in addition to handling some personnel matters, especially pertaining to recruitment, promotion and dismissals. In light of this, the Public Service Commission supplements the DPSA by ensuring that standards and expectations in the country’s public administration are followed. As an agency of the DPSA, the Centre for Public Service Innovation (CPSI) was founded to develop models, methods, systems and innovative solutions to enhance and deepen public administration and ultimately achieve significant efficiency and effectiveness in the sector (Centre for Public Service Innovation, 2021). It is based on an outcomes approach, focusing on systems and methods that would yield the required outcome with the most precision. Lastly, the National School of Government is concerned with training and capacitation of public servants through formulating educational content to help improve the productivity of public sector employees (National School of Government, 2021). The emphasis is on training senior staff in the public sector, particularly in the category of director general, deputy director general, chief director, director and deputy director. The South African government embraced the idea of a performance agreement between the government and its employees. In 2020, President Cyril Ramaphosa characterised performance agreements that members of his cabinet were entering into as “the cornerstone of a new culture of transparency and accountability, where those who are given the responsibility to serve – whether as elected office bearers or public servants – do what is expected of them” (Republic of South Africa, 2020). Clearly, these were performance agreements entered into at the highest levels of public service – the national executive as constituted by the president and ministers, collectively referred to as the cabinet. This demonstrates that the South African government recognises the importance of performance management as an administrative instrument that has the potential to improve the implementation of public policy and, consequently, increase the likelihood of realising desirable policy outcomes. 48 2.9 CHAPTER SUMMARY This chapter examined, at a theoretical level, the phenomenon of public policymaking, the social and political context within which policy emerges and the processes that accompany policymaking. Public policy constitutes an endeavour by governments to respond to wide-scale social problems. Political parties try to gain the support of the public by designing their party manifestos in ways that commit to resolving the issues that bedevil society. Once in government, they translate these demands into policy outputs and eventually seek outcomes through implementation. Governments are commonly organised in terms of departments and agencies, which subsequently act as institutional mechanisms through which public policymaking attains some semblance of substance in that social concerns are aggregated and solutions provided. As a collaborative and never-ending process, scholarly research explores the idea of public policymaking intending to build epistemology that will improve the crucial field of public administration – public administration, in the practical sense, is understood as constituting the activities of bureaucracies in pursuit of the public good. As a result, theories and models like institutional theory and systems theory, rational decision model and other systemic models have emerged to enlighten the phenomenon of public policymaking. Policies are converted into programmes, projects and activities within the administrative apparatus to ensure coherent and efficient implementation. Thereafter, employees within the public bureaucracies proceed with the implementation process. Realising that implementation is complex, and that policy goals and aspirations are difficult to achieve satisfactorily, governments have integrated performance management into public administration. Performance agreements are quasi-legal instruments, more so in the form of contracts, that employees enter into with their employers. They set clear goals concerning the successful implementation of policies and commit to assessing this once a policy cycle is completed; thus, the emphasis is on outcomes and the accompanying impact on society. This is the approach that South Africa, through the DPSA and government policies and intervention, has increasingly embraced in an attempt to resolve the country’s many challenges. The following 49 chapter, Chapter 3, will discuss public service in South Africa, particularly the service delivery agreements and their implementation by some of the G&A cluster departments, amongst other related focuses. 50 CHAPTER 3 THE HISTORICAL ROLE OF THE DEPARTMENT OF PUBLIC SERVICE AND ADMINISTRATION AND GOVERNANCE AND ADMINISTRATION CLUSTER MODEL 3.1 INTRODUCTION This chapter explores and discusses the evolution of public service in South Africa. It examines public sector institutions responsible for service delivery and the policy and programme interventions the post-apartheid government has made. Moreover, it also describes the government’s efforts to develop public service implementation models that improve efficiency and effectiveness in the sector. The study focuses on four service delivery departments: The Department of Planning, Monitoring and Evaluation (DPME), the Department of Cooperative Governance and Traditional Affairs (COGTA), the Department of Justice and Constitutional Development (DOJ&CD), the Office of the Chief Justice, and the DPSA. Special attention is given to the DPSA, considering its position as the lead department in the administration and management of public service. The DPSA is explored, and its evolution is tracked throughout the nearly three decades of South Africa’s democracy; however, attention is given primarily to the definitive processes and events that shaped the DPSA’s role. Reference is also made to key departments like The Presidency and the National Treasury, as it is impossible to reflect on government service delivery innovations without considering what the highest office in the land thinks and the financial implications of such innovations. The successive colonial and apartheid administrations of South Africa institutionalised and cemented racial discrimination against the black majority. In light of this, the post apartheid government strived to achieve effective administration and management of public service to address the legacy of social and economic exclusion of the majority. The 1995 and 1997 white papers on the transformation of the public service and delivery and other government policy documents make a clear commitment to transforming South Africa’s public service to align with the 1996 Constitution of the Republic of South Africa. Amongst many other interventions, the government developed 12 delivery agreement outcomes to help build state capacity in pursuit of the democratic government’s development agenda. 51 Since this is a contextualisation chapter, it assumes a descriptive approach, describing and explaining the essence of the events and processes central to the evolution of South Africa’s public service and the DPSA since 1994. Given that South Africa and the country’s public service existed before 1994, reference is also made to predemocracy events and practices that may have impacted the nature of the post- apartheid public service. 3.2 A BACKGROUND OF THE PUBLIC SERVICE IN SOUTH AFRICA South Africa’s political transition from apartheid to democracy in 1994 was an epochal moment that extensively impacted not only the political system and society but also the way in which public administration and management were structured (Chipkin & Meny-Gilbert, 2012; Wenzel, 2007). One of the critical and far-reaching moments was the unification of the former ‘homeland’ and apartheid administrations into a single public service (Franks, 2014). While the apartheid public service apparatus catering to white South Africans was well-resourced and adequately capacitated, the homeland administrations had poor capacity (Fernandez, 2019). This meant that as the integration of the previously separate administrations unfolded, the new administration's capacity did not necessarily expand and improve. The legislative basis that clarifies the nature and role of the public service are the 1996 Constitution, the 1995 White Paper on the Transformation of the Public Service, the 1997 White Paper on the Transformation of Public Service Delivery, the Public Service Act of 1994, and the Public Administration Management Act of 2014. Since 1994, South Africa has undergone many transitions, one of which involved transforming public service (Kariuki & Tshandu, 2010). Throughout the 28 years that the ANC has been in power, the governing party undertook a re-configuration of government to build public service capacity. As far as the present period is concerned, the restructuring entailed introducing public service capability-building and service delivery implementation departments and organs like the DPME and the National Planning Commission (NPC). The ANC made it abundantly clear that it considers the state an important institution that can drive social transformation and development (Butler, 2013:1419). To this effect, the idea of fashioning a developmental-oriented state has been omnipresent in the internal discourses of the party, its alliance partners, 52 and intelligentsia broadly. As the fulcrum of public service, the DPSA is one of the key departments tasked with building capacity within South Africa to ensure that the state plays its transformative-developmental role in the country. The other key departments and institutions outlined in the 20-Year Review (1994–2014) are the Department of Performance Monitoring and Evaluation, The Presidency, the National Treasury, and the Public Service Commission (PSC). These departments and the PSC are collectively responsible for building a capable state. South Africa's developmental challenges are complex and intractable. However, the government has the daunting responsibility of addressing and overcoming them, as proclaimed in the 1996 Constitution and the NDP (Constitution of Republic of South Africa, 1996; NPC, 2012). For example, the post-apartheid South African government has the most extensive public housing programme in the world. It has delivered over 4 million housing units to people experiencing poverty and the working class since 1994. Nonetheless, despite this extraordinary achievement, housing shortages remain one of the many prominent problems that encroach on the Bill of Rights and the right of citizens to decent shelter, as espoused in the 1996 Constitution. 3.2.1 The policy and legislative evolution of public service The post-apartheid era has seen government formulate and adopt a succession of development policies. From the Reconstruction and Development Programme (RDP) of 1994, the Growth, Employment and Redistribution (GEAR) in 1996, the Accelerated and Shared Growth Initiative for South Africa (ASGISA) in 2004, to the New Growth Path (NGP) in 2010, indeed democratic South Africa’s quest for a development plan has been a convoluted and difficult one. The RDP policy was mainly concerned with the redistribution of resources to redress the apartheid legacy of discrimination, while GEAR concerned itself with “macroeconomic stabilization and economic growth by lowering the country’s budget deficit and reducing inflation and redistributing economic resources by creating employment opportunities” (Burke & Kock, 2008:2). The ASGISA called for significant government investment in infrastructure, education and skills, and to address the problem of the ‘second economy’ (economic marginalisation, poverty and social alienation) amongst others, while the NGP was primarily concerned with improving the performance of the economy through eliminating regulatory 53 obstacles and skilling South Africans (Republic of South Africa, 2008; Republic of South Africa, 2010). In hindsight, all these plans have failed to achieve their stated objectives. In 2010, under President Jacob Zuma, the South African government established the NPC to map out a comprehensive, long-term national plan for South Africa. The NPC was mainly made up of senior figures in government, business, and academia; President Zuma appointed the Minister of Finance, Trevor Manuel, as the first chairperson of the NPC. Amongst the responsibilities of the NPC were to conduct frequent consultation engagements with different stakeholders in society on issues relating to the development of South Africa, undertake development planning, and advance the implementation of the NDP (NPC, 2012; Hoskins & Karriem, 2016:15–16). The national plan resulting from the aforesaid policy-formulation initiative is the NDP, a blueprint of the steps the South African government, and society in general, must take to ensure that the country reaches certain levels of development (NPC, 2012). The NDP is a broad and overarching plan informed by a vision of what South Africa should look like by 2030, and it also puts a capable public service at the centre of achieving a developmental state. Relating to their viewpoint on ‘a capable and developmental state’, the NPC commissioners observed in the plan that: There is a real risk that South Africa’s developmental agenda could fail because the state is incapable of implementing it. The commission makes far-reaching institutional reform proposals to remedy the uneven and often poor performance of public service and local government. (NDP-2030, 2012:44). Accordingly, the NDP took the position that a sufficiently capacitated and capable public service is central to implementing the plan and, ultimately, the realisation of the imagined future. The 1995 White Paper on the Transformation of Public Service was the first authoritative document to signal the intent of the post-apartheid government concerning the transformation and capacitation of public service. The drive to embark on the transformation was informed by the desire to, inter alia, create a public service that can respond to the needs of all South Africans, establish a public service that is 54 development-oriented and can effectively contribute towards fighting poverty in the country, set up a goal and performance-oriented, efficient, and cost-effective public service that is integrated, coordinated and decentralised (DPSA, White Paper, 1995). The apartheid-era public service was a crucial cog in the social engineering initiative of the government by providing meaningful services to the white section of society only, to the detriment of other races (Gumede, 2008:9). This had to change, as per the 1995 White Paper. The racial discrimination embedded in the apartheid system meant that the majority of South Africans (black people) were neglected and, consequently, were significantly behind in terms of socioeconomic development (Ramphele, 2001:3-4). Considering the foregoing, the post-apartheid state had to assume a developmental posture that would see the state play an active role in directing the social and economic direction of the country with the ultimate objective of ensuring the social and economic empowerment of the black majority. This had implications for the nature and scope of public service; the idea of the state taking a developmental shape meant that there had to be corresponding human capital capacity and capability that would enable it to intervene effectively to reverse the legacy of apartheid (Levin, 2009). Moreover, the 1995 White Paper’s mission also necessitated government-wide coordination of programmes and integrating planning across state institutions, departments, public enterprises, and agencies (DPSA, White Paper, 1995). All these were aligned with the RDP, a government pro-poor policy framework aimed at uplifting the erstwhile excluded racial groups in society. Considering that public administration and management must contend with and respond to the social milieu that is in constant flux, the 1995 White paper was subsequently replaced by another white paper, the 1997 White Paper on the Transformation of Service Delivery. The 1997 White Paper formally adopted the Batho Pele principles as guidelines on how the public service interacts with customers (the public). (DPSA, White Paper, 1997). The Batho Pele principles are based on eight standards of service delivery that public service must adhere to: (a) consultation – the public service as a service delivery apparatus must always consult the public about the “level and quantity” of services they receive from government; (b) service 55 standards – citizens should be informed of the extent and quality of the services that they will receive so they are aware of the nature of the services that will be rendered; (c) access – all South Africans must have access to all the public services that they are constitutionally entitled to receive; (d) courtesy – citizens must be treated with courtesy and compassion by the public service; (e) information – South Africans should be provided with honest and accurate information pertaining to the kind of services they will receive from government; (f) openness and transparency – there should be transparency for how governments across all the three spheres are run; (g) redress – in instances where the relevant service standards are not met, citizens are entitled to an apology and their concerns should be treated with compassion; (h) value for money – public service should be delivered in a manner that is economically justifiable and efficient to ensure value for money (DPSA, White Paper, 1997). The concept of Batho Pele translates into ‘people first’ in English – meaning that the public service must always strive to improve citizens' circumstances. Indeed, the eight Batho Pele principles contribute towards inculcating humanism within public service to hopefully result in responsiveness to the service delivery concerns of the population. The 1996 Constitution of the Republic of South Africa also forms an integral part of the legislative framework upon which the DPSA’s reason for existence is justified, and its goals and objectives are implied. Chapter 10 of the Constitution deals with public administration, outlining the nature and scope of South Africa’s public service. Relating to the capacity of the state, Section 195(h) of the Constitution proclaims that the principle of “good human resource management and career development practices, to maximise human potential, must be cultivated” (The Republic of South Africa Constitution, 1996). Clearly, this constitutional provision obligates the state to develop public sector employees to ensure public service fulfils its role in society. Chapter 10 of the 1996 Constitution also calls for public service that is development-oriented and ethically grounded (The Republic of South Africa Constitution, 1996). These provisions feature prominently in government plans, policies and programmes for public service, indicating that the Constitution directs the government in its work. 56 3.2.2 A changing public service The nature of public service is such that it requires human capital for service delivery objectives and goals to be pursued and, in some instances, achieved. Consequently, public service employees are arguably its most pivotal resource or asset. Without people employed in government, there would be no public service. As previously argued, South African public service has undergone fundamental changes and reforms since 1994, informed by the democratically elected government’s determination to right the wrongs of the apartheid era. The reforms were wide-ranging and encompassed structural reconfiguration of the public service, which entailed incorporating the former homeland and apartheid-era public servants into a single public service, among others (Naidoo, 2005). The apartheid government had institutionalised racial discrimination in employment practices in the public sector, where white people were given preference for senior and substantive positions over members of other racial groups, especially black Africans (Posel, 1999). Tragically, the discrimination in public service was not confined to employment practices but also extended to the provision of service delivery, resulting in devastating racialised uneven development across South African provinces, cities, towns, and communities today (Tshishonga, 2019). Accordingly, the first democratic government elected to power in 1994 (the ANC) had the unenviable task of first reversing the legacy of racial discrimination bequeathed to South Africa by the apartheid regime and subsequently transforming public service to be consistent with the democratic and human rights principles of the 1996 Constitution and aligning the service with the development goals of the new South Africa. The democratic government undertook an ambitious recruitment drive, recruiting hundreds of thousands of black South Africans into the public service, a previously discriminated racial group under apartheid. As the 20-Year Review report on public service highlighted, the large-scale recruitment of new entrants in the public service had several implications for the capacity of government departments and public entities (The Republic of South Africa, Twenty-Year Review, 2014). First, many of the people who entered the public service did not have previous experience, which negatively impacted the government's ability to deliver services. Second, and related 57 to the abovementioned, the apartheid regime designed an inferior education system for black South Africans, the so-called ‘Bantu education’, and this meant that a considerable number of the new recruits did not have the proper education and training that would enable them to function optimally in the advancement of government objectives (Burke & Kock, 2008:1–2). Third, as stated previously, black people were generally denied opportunities to occupy managerial positions during apartheid. As such, the democratic government was compelled by circumstances to promote people who did not possess previous management experience into senior positions that would require them to manage complex service delivery systems. Fourth and finally, the collapse of the apartheid regime and the dawn of democracy coincided with the exodus of white, experienced professionals from the public service, who decided to leave public service through the voluntary severance package scheme that the government introduced in the early days of democracy (Lodge, 2002). The 20-Year Review identified the recruitment of unskilled employees into public service as something that has compromised the quality of service offered by the government (The Republic of South Africa, Twenty-Year Review, 2014:22). As indicated, the recruitment of persons belonging to the previously excluded racial groups was necessitated by the noble objective of achieving racial representativity in democratic South Africa (Fernandez & Lee, 2016:92). Nonetheless, this also affected public sector service delivery at a time when there was an expansion of public goods and services to communities that were neglected during apartheid. This historical background is necessary as it constitutes some of the realities the DPSA and present government must contend with in their efforts to improve effectiveness and efficiency in the public service. In the 25-Year Review report, the South African government reflects on many governance challenges confronting the post-apartheid government, including those related to public administration and management. The review report proclaims that the South African government is driven by the desire to improve the quality of life for all the country's citizens (DPME, 2019). This required that the state assumes a developmental posture and build the necessary capacity to intervene and direct the 58 economy towards a higher growth trajectory; possess the wherewithal to tackle unemployment, poverty and issues of underdevelopment; and have the will to mobilise the citizens and society at large to pursue these objectives (DPME, 2019:191–192). The review report notes that the South African government created the Intergovernmental Forum (IGF) in 1994, a forum or platform that allows ministers, directors-general, and national and provincial governments to interface and brief each other on governance-related matters. It was established to ensure cooperation among the national, provincial and local levels of government (DPME, 2019:192). Crucially, this highlights that the government was aware of the necessity and importance of approaching governance, particularly concerning policy and programme implementation, in an integrated and coordinated way to achieve maximum socialeconomic transformation. However, the IGF's decisions were not enforceable, rendering them ineffective. In addition, the IGF comprised an inappropriately large number of people, making it difficult to manage its work. The agenda was not strategic, which also brought into question its importance. In its pursuit of the ideal governance model, the South African government introduced the PFMA in 1999, replaced the previous “annual incremental budget cycle” with the MTEF and the “MTSF and Strategic Planning and Annual Performance plan” in 2001 (DPME, 2019:192). The goal was to achieve integration across key government activities, connecting planning with budgeting across government departments. The government continued to reform public service throughout the 1990s, as evidenced by introducing new governance systems and institutions, including creating the Forum of South Africa’s Directors-General (FOSAD) to provide administrative support. Moreover, as the government intensified reforms, public administration also became fragmented. Accordingly, a cluster system was adopted in 2004, whereby government departments with related or complementary functions were ‘clustered’ together, leading to the emergence of six cabinet clusters: the Social Sector cluster; the Economic Sector cluster; the Investment and Employment cluster; the International Relations, Peace and Security cluster; the Justice, Crime Prevention and Security cluster; and the Governance and Administration cluster (2019:193). Upon realising that there were no “overall monitoring, impact assessment and accountability” systems, the government introduced the Government-wide M&E System (GWM&ES) in 2005. The 59 G&A cluster became the structure responsible for ensuring that public service performs its tasks and functions optimally. This being the core focus of this research study, the work of the G&A cluster is discussed extensively. Despite the many interventions to improve public service explored above, challenges remained. These included weak strategic capacity in the uncertainty around the existence of a “well-articulated and robust strategic intent and planning that effectively directs the public service…” (DPME, 2019:197). Given South Africa’s history of racial discrimination, the democratic state needed to play a redistributive role, which requires a redistributive capacity embedded in public service. The 25-Year Review report observes that all developmental states have a central coordinating nerve centre that directs the social-economic transformation mission and is characterised by an emphasis on the integration of planning, budgeting and prioritisation across all spheres of government. As the review report indicated, this was lacking in South African public service. Secondly, the review report notes that there was gravely inadequate technical capacity, underscored by the limited availability of technical and managerial skills within the public service, compelling the government to outsource technical expertise from the private sector. Thirdly, the organisational culture of public service was lacking. The review report states that public administration needed to be infused with a ‘developmental ethos’ that would allow it to effectively pursue the government’s development objectives (DPME, 2019:197–198). In summary, the post-apartheid government realised that while many initiatives have been introduced to improve the capacity of public service to fulfil its developmental role, plenty of challenges relating to integration and coordination of planning policy programme implementation remained. As such, the government continues to be preoccupied with the search for more effective systems, approaches and models to enhance public service performance. 3.3 SOME OPERATIONAL CHALLENGES IN PUBLIC SERVICE Public dissatisfaction with the service delivery performance of some government departments and agencies has led them to outsource some of their delivery functions to the private sector (Baden-Weiss & Nel, 2008). Service delivery failures are caused 60 mainly by internal capacity gaps, particularly regarding skills shortages in the institutions responsible for delivering services to the public (Koelble & LiPuma, 2010:567). In South Africa, service delivery limitations have often resulted in violent protests by communities affected by the poor performance of public service. Indeed, protests against the lack of or inadequate provision of houses, tarred roads and electricity, and skyrocketing crime, have become frequent in the country (Mashamaite, 2014:234–236). Considering the preceding, outsourcing is a response to internal capacity challenges within public service and is informed by the desire to achieve government policy goals. However, outsourcing is often at a higher financial cost than if such functions were performed internally (Grout, 2003). In fairness, it is difficult for public sector entities or even those in the private sector to build enough internal capacity to render all the services that are part of their raison d’être, and the tendency has been to establish tendering systems. The purpose of tendering systems is sourcing services or products not internally generated in a government department, a public sector entry or a private sector firm (Managa, 2012:3). Accordingly, tendering is not a problem in and of itself; however, it becomes an issue if there is an excessive reliance on tenders to execute its work, as this can result in severe cost overruns for the entity. The NDP observes that public procurement policies are inadequate and problematically unclear on what constitutes corruption (NDP, 2012:47). It emphasises that regulations must be tightened to prevent civil servants from conducting business with the state. Barring government officials from doing business with the state may seem sound given that officials have inordinate power to sway government contracts due to their proximity to the tendering systems. However, the fundamental problem is ultimately not necessarily who gets the tender but whether it was awarded fairly and transparently in line with the country’s procurement regulations and the PFMA, and more importantly, whether the company awarded the contract has the requisite capacity to deliver. More grievous is enlisting private consultants to undertake work that civil servants should ideally execute. For example, government departments and public sector entities spend hundreds of millions annually on legal and accountancy services 61 acquired from the private sector (Daily Maverick, 2021). The institutional configuration of each government department or public sector entity is such that there should be a unit/division/directorate to perform legal or accounting services for the department or entity in question. However, because of capacity constraints, sometimes in the form of staff shortages or the absence of relevant skills to undertake complex work, organisations created to deliver certain public services end up enlisting the services of consultants. For this reason and other challenges, the South African government, in general, and the DPSA, in particular, are preoccupied with building capacity in the state through a comprehensive implementation model that would result in efficient and effective service delivery systems. 3.4 THE GOVERNANCE AND ADMINISTRATION CLUSTER The role of governments in electoral democracies is to translate the manifestos of the political parties into reality (Bara, Budge & Volkens, 2009; Brouard et al., 2018:1–3). Manifestos are loose and broad promises political parties make to the public during elections and commit to implementing if elected to office (Budd & Lamare, 2022). When the ANC contested the 1994 and subsequent elections, the party’s manifestos always centred around pursuing and realising a non-racial, non-sexist, united and prosperous South Africa (African National Congress, 2016). Accordingly, once the party won elections and ascended to the Union Buildings, the fundamental question has always been how to translate election manifestos into workable government policy programmes. Against the prevailing socioeconomic and security challenges that characterised South Africa’s post-apartheid, the governing ANC identified several broad priority developmental targets. These are “decent work and sustainable livelihoods; education; health; rural development; food security and land reform; and the fight against crime and corruption” (The Presidency, 2010:7). These were subsequently refined into ten strategic targets, which were in turn translated into 12 priority service delivery outcomes. Expectedly, these were wide-ranging in their scope and ambitions, covering outcome targets spanning social, economic, environmental, security and development aspects, amongst others. However, considering that this research study aimed to examine the implementation of delivery agreements within the DPSA and departments 62 that fall under the G&A cluster, with a view of crafting an implementation model, Outcomes 5 and 12 are the most pertinent. On the one hand, Outcome 5 calls for developing “a skilled and capable workforce to support an inclusive growth path” (The Presidency, Delivery Agreement Outcome 5, 2010:13). On the other hand, SDA Outcome 12 makes a clarion call for the establishment of “an efficient, effective and development oriented public service and an empowered, fair and inclusive citizenship” (The Presidency, 2010:13). Both of these outcomes allude to the need for the capacitation of public sector institutions and employees. This intervention is expected to lead to the emergence of a capable state well-suited to pursue and achieve many of the government’s development priorities. The Presidency’s Guide to the Outcomes Approach document emphasises that the adoption of an outcomes approach is a vital step towards improving service delivery and asserts that the outcomes approach needs succinct clarity on the connection between “what we do and what we achieve” (The Presidency, 2010:10). Regarding its nature, an outcomes approach entails the following (The Presidency, 2010:10): i. A focus on results; ii. Planning based on logical thinking, with a thorough appreciation of the resources, both in terms of human capital and budget, required to implement the plan; iii. Connecting government activities to outputs and outcomes to determine what works and what does not; iv. Clarity and unambiguity on the expectations; v. Allowing continuous learning, frequent revision and improvement of policy, strategy and plans through experience; and vi. Rendering coordination is relatively easier to achieve. The development of outcomes is one thing, but implementing them is another. The government introduced performance agreements, through which the president is able to commit government ministers to the achievement of government priorities. Specifically, the performance agreements are confined to the 12 outcomes, which indicates the government’s appreciation that senior government officials need to adopt 63 a systematic, outcomes-based approach for the country to pursue and realise its development objectives effectively. While these performance agreements are not legally binding, they contribute towards engendering accountability and exerting political pressure on ministers to perform. The South African government perceives performance agreements, not as instruments intended to punish officials that enter into these agreements but rather to enhance the management, coordination and learning aspects of governance (The Presidency, 2010:14). The performance agreements are aimed to “strengthen the capacity of the state and increase accountability” (The Presidency, 2020:2). This is followed by the introduction of delivery agreements in all levels of government, also involving key stakeholders outside of the government. When former President Jacob Zuma came into office in 2009, many changes were undertaken to the institutional structure and organisation of government to improve and enhance service delivery and thrust the country onto a developmental trajectory. These changes were also against the backdrop of the realisation that the state had limited capacity and was not adequately capable of fashioning and driving a developmentally-transformative agenda. The changes included the splitting of the Department of Education into the Department of Basic Education and Department of Higher Education and Learning in 2009, the introduction of the Department of Performance Monitoring and Evaluation (DPME) in 2010, and the establishment of the National Planning Commission (NPC), also in 2010 (Republic of South Africa, 2009). Given the apartheid regime’s history of epistemic discrimination against the black African majority, the paucity of skills amongst blacks was huge, as previously indicated. By splitting the Department of Education into two, the government hoped that both primary and tertiary education would receive sufficient focus and be streamlined to effectively facilitate training, learning and upskilling of South Africans at a significant scale to produce the much-needed skills. However, the more decisive intervention that the South African government made concerning building a capable state to drive the ANC’s social and economic transformation agenda was with the creation of the DPME and the NPC, both established in 2010. The DPME was formed to monitor and evaluate senior government officials’ performance when implementing government programmes. It 64 focuses on assessing “management practices departments” (DPME, 2022). Linked to the aforementioned, the DPME also creates and manages partnerships with the National School of Government, the higher education sector, and private actors to facilitate capacity development for public sector employees. As such, and regarding public service capacity issues, the DPSA not only manages the performance of senior government officials but also facilitates their capacitation through its partnerships with various training and learning institutions. In fact, the performance plans also include personal development plans (PDP) for staff (DPSA, 2016). The PDPs are connected to the government’s commitment to improving the skills and capacity of public service employees. Notwithstanding the abovementioned intervention, poor performance remains a challenge in public service, with “many managers [experiencing] difficulty in addressing issues of poor or under-performance” (Manyaka, 2012:303). Lastly, the DPME is also responsible for monitoring and evaluating service delivery programmes. The government’s Operation Phakisa initiative is one of the interventions intended to fast-track the implementation of service delivery programmes (DPME, 2022). In the early 2000s, the South African government rolled out the Thusong service centres nationwide to bring service delivery closer to communities. The centres were designed to act as a one-stop node for an array of government services, like issuing identity documents and birth and marriage certificates, and providing computer training and applications for the Unemployment Insurance Fund (Government Communication and Information Centre, 2008). The Thusong service centres prove to be an impactful intervention concerning access to service delivery, especially for poor and indigent South Africans who no longer had to travel long distances to access services. 3.5 THE DPSA AND DELIVERY AGREEMENT OUTCOME 12 The foregoing sections have proffered a general background to the history, challenges and prospects of the South African post-apartheid public sector. The pursuit of excellence, effectiveness and efficiency in the administration and management of public service has led the government, especially the DPSA, to initiate measures to attain this goal. Of particular relevance is SDA Outcome 12 of the 12 outcomes that flow from the governing ANC’s seven development priorities. This section examines 65 Outcome 12 as a service delivery intervention intended to improve public service performance. Regarding its nature, and as indicated in the preceding interlude, SDA Outcome 12 is derived from the ANC’s seven development priorities (discussed in more detail later in the research study) emanating from the party’s manifesto. It is part of the 12 outcomes that apply to all government departments, to which they all have delivery agreements committing to deliver outputs aligned with the governing party’s developmental objectives. Outcome 12 regards the role that the DPSA must play in improving public service; more pointedly, it seeks to achieve “the outcome of an efficient, effective and development-oriented public service” (The Presidency, Delivery Agreement for Outcome 12, 2010:9). Thus, it is at the centre of the notion of a capable and developmental state. It sets concrete and identifiable targets to measure the department's success in achieving SDA Outcome 12. Since Outcome 12 is concerned with delivery, just like the other outcomes, it is more of an implementation and evaluation tool than a policy statement. Regarding its objectives, SDA Outcome 12 concerns itself with attaining three targets: crafting a new implementation model; developing and effecting anti-corruption interventions; and introducing service delivery monitory and evaluation systems (The Presidency, Delivery Agreement Outcome 12, 2010:8). Since 1994, and as emphasised in this research study, the government has fallen short in successfully implementing the various legislative, policy and regulatory frameworks, and ultimately failed to realise its developmental imperatives (The Presidency, Annual Performance Plan, 2020). This points to the inadequacy or ineffectiveness of existing implementation models and approaches. It is against this background that outcome 12 commits the DPSA to create an implementation model characterised by succinctly defined and appropriately located decision-making rights and clearly outlined “mandates and roles and responsibilities” (The Presidency, Delivery Agreement Outcome 12, 2010:9). The SDA Outcome 12 identifies the arbitrary concentration and centralisation of decision-making responsibilities as one of the factors impeding the implementation of government policies and programmes (The Presidency, Delivery Agreement for 66 Outcome 12, 2010:9). Outcome 12 states that appropriate delegation of responsibilities in government would go a long way addressing some of the implementation shortcomings that bedevil the state and its institutions. Furthermore, SDA Outcome 12 calls for senior staff, especially the heads and executives of departments, to be roped into recruitment and financial oversight activities for their respective organisations to ensure the required capacity and efficiency are in place. The DPSA is also responsible for developing a ‘functionality analysis toolkit’ to clarify the roles and responsibilities of managers and executives within and across departments. This will assist in eradicating duplication of functions or services, leading to improved public service performance. As already highlighted, another aspect of the proposed model is that there should be implementation support and accountability. The national departments mainly provide strategic guidance, while provincial governments, municipalities, and other public sector organs deliver the actual service. These institutions are sometimes overwhelmed with the responsibilities placed on them, negatively affecting their ability to implement service delivery programmes (The Presidency, Delivery Agreement Outcome 12, 2010). Accordingly, the SDA Outcome 12 provides that all national departments must play a central role in supporting the implementation work of service delivery departments and institutions within the state to enhance public service efficacy and efficiency. For the proposed implementation model to succeed, the government must deploy senior and experienced government managers and executives to the entities at the centre of service delivery, like municipalities and agencies such as the South Africa Social Security Agency (SASSA). Crucially, SDA Outcome 12 distinguishes between internally-focused and externally-focused management functions and places these functions as the pivotal dimension of any future service delivery implementation model (The Presidency, Delivery Agreement Outcome 12, 2010:11–12). Table 1 below lists the characteristics of both management functions. Table 3.1: Management Functions Internally-focused management Externally-focused management functions functions 67 • Supply chain management and • Managing the quality of service delivery procurement through introducing service delivery standards and other measures. Managers must use satisfaction surveys and complaints to understand the service needs of target populations • Human resources management and • Manage service improvement development interventions in response to public sentiments • Financial management • Engage with stakeholders in relation to service delivery • Appropriate delegations and decision • Service delivery planning and access rights • Oversight of frontline services • Expenditure review and comparative cost reviews to drive improvements in value for money • A turnaround strategy for the State Information Technology Agency and other initiatives to improve ICT as a key enabler of effective service provision in the public sector The roll-out and execution of implementation support entails a combination of human capital development through training and learning opportunities for public sector employees and institutional reform/reconfiguration involving such measures as ‘organisation design’, ‘business process’, ‘management policies’, and ‘decision rights’ (The Presidency, Delivery Agreement Outcome 12, 2010:12). Accordingly, key government departments are expected to introduce good-practice implementation guidelines; outline capability standards for management functions as based on assessment of existing capabilities and limitations; and continuously mentor and support managers to roll-out the good-practice implementation guidelines to a point that would be able to perform this function without external support (The Presidency, Delivery Agreement Outcome 12, 2010:12). In summary, the DPSA is determined to improve public service through continuous efforts to develop and evolve 68 implementation models that increase the efficiency, effectiveness and delivery capability of the state. 3.6 THE MEDIUM-TERM STRATEGIC FRAMEWORK (2019–2024) One of the most important instruments that the government uses to pursue its developmental goals and objectives is the medium-term strategic framework (MTSF). The MTSF is a five-year outline of government priorities that align with South Africa’s presidential term as contained in the 1996 Constitution. At a broader level, the MTSF seeks to resolve the triple impediments of unemployment, inequality, and poverty, achieving these objectives by anchoring itself on the three pillars of the NDP. These pillars are the pursuit and establishment of a capable state; driving a robust and fundamentally inclusive economy; and building human capital through training and educating South Africans (DPME, 2020a:12). At a narrower level, the MTSF lists seven priorities that the current government should pursue during its tenure. These are; i. Priority 1: realisation of a capable, ethical and developmental state ii. Priority 2: achievement of economic transformation and job creation iii. Priority 3: education, skills and health iv. Priority 4: consolidate the social wage through reliable and quality basic services. v. Priority 5: spatial integration, human settlements and local government vi. Priority 6: social cohesion and safe communities vii. Priority 7: a better Africa and world In consideration of the abovementioned, it is apparent that the MTSF is broad in its ambition and potentially impactful if implemented as envisioned. It doubles as an implementation plan and an integrated monitoring guideline for the government. Concerning Priority 1, the government clearly puts an effective, capable and efficient public service apparatus at the core of what the state does. The shortcomings of the previous ANC administrations in reversing the legacy of the heinous apartheid system and the failure of government to spearhead social transformation were viewed as caused by the institutional and human capacity limitations that resided within government specifically and state organs generally, hence the drive to build a capable and developmental state, as outlined in the MTSF (DPME, 2020b). Moreover, the ANC 69 government also aspires to a public service that is not only capable in nature and developmental in orientation but also ethical (DPME, 2020b). Ethical in the sense that public service should be based on the constitutional values, ethos and principles of public administration, the supremacy of the rule of law and preoccupied with pursuing the rights and social justice espoused in the 1996 Constitution. Priority 1 has five outcomes through which the successful implementation of a programme aimed at achieving a capable and honest government is measured. Outcome 1 expects government intervention to improve state leadership, governance, and accountability. The implementing departments for Outcome 1 are the DPME, DPSA, The Presidency, the National Treasury (NT), the Department of Public Enterprises (DPE), the Department of Cooperative Governance and Traditional Affairs (COGTA), and the Department of Justice and Constitutional Development (DOJ&CD). Outcome 2 is concerned with realising a functional, efficient and integrated government, while Outcome 3 relates to developing a professional, meritocratic, and ethical public service (DPME, 2020b). Outcome 4 anticipates the emergence of honest and constructive engagement between the government and key societal stakeholders, leading to a social compact. Lastly, Outcome 5 focuses on empowering women, youth and people with disabilities; a category of people often marginalised in society. A concise overview of what the rest of the priorities entail would clarify and enrich an understanding of public service and how it is organised. Priority 2 calls for economic reforms to ensure faster growth; and for the public-private sector partnership to spur economic growth and the creation of jobs for South Africans. The implementing departments for this outcome are the Department of Employment and Labour (DEL), The Presidency, NT, the Department of Science and Innovation (DSI), and the Department of Trade, Industry and Competition (DTIC), amongst others. Priority 3 commits the government to provide good education, skills, and decent healthcare. The implementing agents are the Department of Health (DOH), the Department of Basic Education (DBE) and the Department of Higher Education and Training (DHET), some of the government agencies regulating PED and the South African Council of Education operating in the education sector. Priority 4 refers to the importance of retaining the welfare system and expanding the provision of reliable and quality 70 essential services. The Department of Social Development (DSD), the Unemployment Insurance Fund (UIF), and DEL are the main implementing agents for this priority (DPME, 2020b). Priority 5 seeks to reverse the legacy of apartheid-era discriminatory spatial planning through spatial integration, human settlements, and local government. The focus is on providing quality essential services to municipalities, introducing effective and modern modes of public transport to reduce the time people spend travelling between their homes and places of work (usually in the cities), building low-cost houses and developing human settlements that enable people to live closer to critical public amenities, infrastructure and places of work. People residing in rural areas should be empowered to participate fully in the South African economy. To this end, agriculture, tourism, mining and agro-processing sectors should be developed in rural areas to ensure they thrive (DPME, 2020b). Priority 6 calls for establishing a social cohesion programme to enhance social unity, inclusion, and the social compact between government and citizens. Priority 7 is mainly the realm of the Department of International Relations and Cooperation (DIRCO), supported by the DTIC, Department of Transport (DOT), and NT. When considered collectively, these priorities are South Africa’s development master plan and the core of the MTSF 2019–2024. Their achievement is undoubtedly hinged on the effectiveness and efficiency of the public service. 3.7 OTHER FRONTLINE DEPARTMENTS AND AGENCIES IN PUBLIC SERVICE The Department of Cooperative Governance and Traditional Affairs (COGTA) is one of the G&A cluster ministries. COGTA was formed in 2009 when the previous Department of Cooperative Governance was disbanded as part of the broader government restructuring. Dr Nkosazana Dlamini-Zuma heads the ministry, and its primary responsibility is to ensure that the country’s municipalities function effectively. In 2019, President Cyril Ramaphosa, together with Dr Dlamini-Zuma, introduced the district development model (DDM) to synchronise and coordinate service delivery planning. During the 2019 Presidency budget speech, President Ramaphosa characterised South Africa’s municipalities as working in ‘silos’, meaning integration was absent in 71 the planning and implementation of service delivery programmes amongst the local government spheres for any given district. He further noted that this created difficulty for the government to monitor and exercise oversight on government programmes implemented in districts, metro municipalities and local municipalities (COGTA, 2022). The DDM was then developed as an intervention that entailed “a process by which joint and collaborative planning is undertaken at local, district and metropolitan by all three spheres governance…” (COGTA, 2022). Moreover, the DDM was expected to address service delivery challenges at the local level of government and result in the ‘localisation’ of procurement and job creation – all to empower people residing in these spheres. Thus, the national government and COGTA sought to create conditions for the emergence of a ‘developmental local government’, at the centre of which are the optimisation of social development and economic growth, the democratisation of development, integration and coordination, and learning (COGTA, 2022; Khambule, 2021:510–512). Of course, the DDM was developed while considering similar interventions that came before it, such as the Integrated Sustainable Rural Development Programme and the Local Government Turnaround Strategy. As indicated in the preceding paragraph, the DDM has several objectives, including improving and strengthening monitoring and evaluation at the district layer of government. It is intended to build capable and developmental public service delivery institutions at the local tier of government. Accordingly, the DDM is an intervention aimed at speeding up service delivery in South African municipalities. Specifically, COGTA is responsible for implementing SDA Outcome 9, which concerns realising a ‘responsive, accountable, effective and efficient local government system’ (COGTA, 2010). To achieve this outcome, COGTA is expected to churn out specific outputs. Firstly, given that the capacity and level of development of South Africa’s municipalities are vastly different, COGTA is tasked with implementing a “differentiated approach to municipal financing, planning and support” (COGTA, 2010:9). Secondly, local government is the only sphere of government that citizens directly interface daily, as such, COGTA is expected to improve and enhance people’s access to the basic services rendered by municipalities. Thirdly, South Africa is also characterised by high levels of unemployment, which has led the government to introduce the Community 72 Work Programme in municipalities so that poor residents can access employment closer to where they live. Fourthly, in terms of delivery agreement 9, and as per the role of COGTA pertaining to local government, the department is duty-bound to undertake any actions necessary to improve human settlements in municipalities (COGTA, 2010:9). Fifthly, South Africa’s communities are based on the ward committee model insofar as participation in political activities and voting are concerned. Therefore, COGTA is expected to improve and deepen this model to advance democracy at the grassroots level. Sixthly, many of the country’s municipalities are bedevilled by poor administrative and financial management challenges, as the annual audits from the AGSA always reveal. Accordingly, COGTA is responsible for generating intervention outputs aligned with improving municipalities' administrative and financial capabilities. The DDM referred to in the preceding paragraphs is an example of one such output. Finally, COGTA must also ensure that a ‘single window of coordination’ is developed to implement delivery agreement 9. When considered collectively, these outputs are expected to improve public service and enhance South Africans’ quality of life. The Department of Justice and Constitutional Development (DOJ&CD) is a G&A cluster department at the frontline of service delivery. The DOJ&CD and the Office of the Chief Justice (OCJ) are expected to contribute towards achieving Priority 1: a capable, ethical and developmental state. The outcome linked to Priority 1 is ‘improved leadership, governance and accountability’, and both the DOJ&CD and OCJ are tasked with undertaking various interventions, including coordinating their engagements with other pertinent stakeholders, such as The Presidency and the DPME, intended to strengthen public service governance and accountability (DPME, 2019:32). Moreover, it is anticipated that the impact of this intervention would be ‘public value and trust, an active citizenry, and partnerships in society’ – emergence of effective social compact. Furthermore, the DOJ&CD and OCJ are tasked with leading the efforts to enact the “Prevention and Combating of Hate Crimes and Hate Speech Bill” to foster constitutional values (DPME, 2019:195). The South African government views 73 eliminating discrimination and marginalisation predicated on racial identity, gender, disability and sexuality, amongst others, as pivotal to nation-building. This is also consistent with the NDP, which calls for ethical leadership in the country to ensure a humane, compassionate, corruption-free government. Accordingly, the DOJ&CD and OCJ drive the enactment of legislation to achieve the aforementioned outcome, as articulated in the government Priority 6 contained in the MTSF. This output – the enactment of the hate speech and hate crime bill – expected of the DOJ&CD and OCJ is easier to measure because once the bill is enacted, it will be simple to notice. However, the actual implementation of the bill, once it is law, may prove difficult and will require many other departments and organs of the state, such as the courts, the Department of Social Development and the police, to play a role. Furthermore, the DOJ&CD and OCJ are responsible for implementing the outcome related to the pursuit of equal opportunities, inclusion and redress at all three tiers of government (DPME, 2019:198). Chapter 9 institutions are also expected to contribute to attaining this outcome. The outcome encompasses coordinating the National Action Plan (NAP) to fight racism, xenophobia and other pertinent intolerances (DPME, 2019:198). The outputs of implementing the outcome include initiatives such as antiracism and anti-xenophobia campaigns and creating a funding model to finance the NAP. The impact of successfully implementing the outcome will be an emergence of a diverse society characterised by cohesion and having a common national identity (DPME, 2019:201). In South Africa, the phenomenon of corruption has become an ever-present nuisance that not only results in the stealing and wastage of public resources but also hamstrings societal development. As a result, citizens have increasingly developed a perception of the government as being corrupt. The DOJ&CD and OCJ are accordingly tasked with the responsibility of tackling this problem. The MTSF (2019–2024) sets the outcome of improvement in corruption perceptions specifically to address this challenge. This requires improving the capacity of the country’s court systems to tackle corruption, strengthening the Special Tribunal created in terms of the Special Investigation Unit (SIU) to recoup ill-gotten assets, and improving the capacity of the commercial crimes courts. The DOJ&CD, OCJ, and other related entities like the 74 National Prosecuting Authority (NPA) are delivery organisations expected to achieve these outputs (DPME, 2019:215). The cumulative impact of this intervention will improve investor confidence and change societal perceptions of corruption. As the department within which the office of the president is located, the Presidency is a strategic ministry within the G&A cluster. The Presidency has a political head responsible for the department's running, and Minister Mondli Gungubele is the current political head of the ministry. The Presidency performs a variety of functions related to public service. These include periodical cabinet meetings where the executive as a collective convenes to reflect on the nature and scope of South African public service, the challenges affecting the government’s ability to deliver on the governing party mandate and government programmes and to determine interventions to help overcome these challenges. The department also manages the performance contracts that the president signs with his collective of ministers. The annual national performance plans that the department formulates and releases periodically to manage and improve public service performance and the recent Economic Reconstruction and Recovery Plan aimed at re-energising South Africa’s COVID-19 battered economy are some examples of the Presidency’s efforts towards resolving the social and economic challenges confronting the country (The Presidency, 2020a; The Presidency, 2020b). Indeed, it was obviously after consultation at the executive level that the South African government embarked on a journey in 2009 to effect a fundamental restructuring of the public administration institutions, specifically strategic national departments at the coalface of service delivery and directly preoccupied with the capacitation of the public service (Koma & Tshiyoyo, 2015:37–38). The Presidency occasionally runs programme monitoring and oversight trips across the country, led by the president himself. The Siyahlola Presidential Monitoring Programme, introduced during the presidency of Zuma, is one of the several initiatives aimed at monitoring and evaluating service delivery, identifying challenges related to programme delivery, and determining the kind of improvements necessary (DPME, n.d.). As part of the Siyahlola Presidential Monitoring Programme, oversight visits at a presidential level were undertaken to many parts of South Africa to monitor the rollout of government programmes. Furthermore, the Presidency has also run the 75 socioeconomic impact assessment (SEIAS) since 2019, previously located in the DPME. The SEIAS reviews the potential social and economic impact of policies that are yet to be adopted by the government (The Presidency, 2020c). The National Treasury (NT) is another crucial service delivery frontline department whose mandate is the management of state finances (National Treasury, 2022). The NDP, MTSF and various other government development plans have financial implications; financial resources are necessary to implement government plans, programmes and projects. This is where the NT enters the fray as a manager of public finances and financer of public service budgets. It allocates money to government departments and state agencies to enable them to perform their roles as defined in the Constitution. In undertaking this role, the NT is guided by various budget statements, especially the medium-term expenditure framework (MTEF). The Public Finance Management Act, No. 1 of 1999 (hereafter the PFMA), is the legislative framework that regulates and guides the management and use of public finances (National Treasury, 1999). The PFMA defines the roles of the NT as encompassing promoting “the national government’s fiscal policy framework and the coordination of macro-economic policy” (National Treasury, 1999:13). This has implications for the public service as the NT is expected to consider the financial stability of the country when allocating finance to departments and other public sector entities. Expectedly, the national budget available to the NT is dictated by the strength and performance of the economy. When the economy is faring poorly, as South Africa’s has in recent years, there is very little money available to the NT to allocate across the state. The consequence is that the public service must manage finances and resources efficiently and have adequate capacity to extract maximum outcomes in terms of service delivery with limited resources. The South African economy has been declining for several years. Specifically, the economy was severely hit by the 2008 global financial crisis and the electricity crisis that started a year earlier (2007) (Msomi & Rena, 2014; Bowman, 2020). As an economy deeply integrated into the international economic and financial systems, the country could not escape the economic decline that started in the U.S. with the 76 collapse of big international financiers like Lehman Brothers and Citibank, the fall itself instigated by speculative and risky lending practices. In December 2007, on the eve of ANC’s elective conference in Polokwane, the then president of South Africa, Thabo Mbeki, admitted that the government was warned of the worsening electricity generation capacity at Eskom and how this would result in serious and devastating electricity supply problems, but the government failed to heed the warning (Engineering News, 2007). Owing to the severity of electricity generation at Eskom, the power blackouts became more frequent and widespread, resulting in a steep decline in productivity for many companies in the economy, especially those in energy-intensive sectors like mining and steel industries, the backbone of the economy (Blignaut, Inglesi-Lotz & Weideman, 2014:5). This mismanagement has led to Eskom frequently raising its electricity tariffs to finance re-building of electricity generation, which also impacts the economy (Inglesi, 2010:209). Moreover, the COVID-19 pandemic that landed in South Africa at the beginning of 2020 also curtailed economic activity and thrust millions out of employment (Asmal & Rooney, 2012:3–8). The government spent billions of rands on social relief interventions like the Social Relief of Distress Grant for the unemployed and economic recovery programmes, further compounding public finances. The economy's poor performance also coincided with increasing widespread socioeconomic hardships in society, which required the government to intervene to mitigate the situation. Accordingly, the National Treasury found itself having to attend to a multiplicity of pressing social and economic issues competing for South Africa’s limited resources. Obviously, this had negative implications for the MTSF, service delivery programmes and other public sector-driven development imperatives in that the declining financial resources need to be efficiently and prudently managed and spent. Indeed, the MTEF of the National Treasury (NT) is centred on the idea that public finances must be used efficiently to maximise service delivery (National Treasury, MTEF, 2021). The MTEF is based on the assessment of the service delivery needs of South Africans and, of course, the role that various departments and provincial governments must play in determining financial resource inputs for the attainment of the defined outputs (National Treasury, 2021:2). As such, it makes the connection 77 between the inputs (financial resources) and outputs (service delivery), thus demanding that the government display the ability and necessary efficiency in the manner for which the country’s limited resources are used. Accordingly, from the perspective of the NT and MTEF, there is no room for squandering public resources. Therefore, the adoption of delivery agreements by the DPSA and the government, in general, is intended to ensure efficiency in the use of resources and, most fundamentally, ascertain that service delivery programmes are effectively and successfully executed. 3.8 CHAPTER SUMMARY This chapter examined and discussed the nature and scope of public service in South Africa. It was argued that South Africa’s apartheid past left a racial and uneven development legacy to the democratic dispensation. Therefore, the new democratic government, under the ANC, had to develop policy and legislative frameworks to address the legacy of apartheid as well as to put South Africa on a developmental trajectory. Policies such as the RDP and GEAR were adopted in the early days of democracy, and these did not achieve the envisioned development levels. The government has since crafted and adopted the NDP as a policy framework to guide South Africa’s development. Building an efficient and effective public service is one of the key focuses of the NDP. Government departments, especially the DPSA, have since undertaken a succession of steps towards building capacity within public service for the purpose of service delivery. The aforesaid includes the development of the 12 delivery agreement outcomes intended to ensure that government departments and agencies at the coalface of service delivery execute their roles in fulfilling the state’s development targets as coming from the governing ANC’s seven development priorities. Outcome 12 emphasises the need for crafting an implementation model within the government that would integrate planning and coordination across all three government spheres to improve the management and execution of service delivery programmes. It gives particular attention to building capacity amongst public sector managers and senior staff to function effectively in pursuit of the NDP goals and objectives. The next chapter empirically analyses the governance and institutional support function. 78 CHAPTER 4 RESEARCH DESIGN AND METHODOLOGY FOR THE STUDY 4.1 INTRODUCTION This chapter delineates the research design and methodology for the study. It provides a thorough exploration of the chosen research design, which is qualitative research design, proffering a justification for why it was viewed as appropriate for this study and looking at its advantages and disadvantages, amongst other dimensions. The purpose is to provide a complex and holistic picture of crafting a model for the sector delivery agreements in the Department of Public Service and Administration of South Africa. The chapter did not necessarily limit its focus to qualitative research methodology but also extended this to examining and describing other research designs and methodologies, especially the quantitative research methodology. This was mainly done to establish why a qualitative approach was considered appropriate for this research study. It discusses the benefits of a case study approach adopted for this study as it examines the role of the DPSA and the G&A cluster departments in implementing delivery agreements to improve public service in South Africa. Aside from other key elements of research methodology, the chapter also looked at the measures taken to ensure that the validity and reliability of the research findings were intact. 4.2 RESEARCH METHODOLOGY The research study adopted a qualitative research approach, which is the basis for the foundational framework chosen to pool various parts of this study in a reasonably logical manner to address the research problem and the research question. As such and as a general point, in this study, the type of research strategy embraced was influenced by the research question and the issue that the researcher sought to probe, as all research undertakings should do (Denzin & Lincoln, 2005). Accordingly, the research question and sub-questions that guided and demarcated the focus of the study are framed as follows: 79 • What would be the best model for the delivery agreement in the DPSA and the government departments within the G&A/GSCID cluster? Three related sub-questions were also posed: • What is the historical role of the DPSA, and how has it performed its policy mandate? • Which types of variables influence performance contracting in the relationship between the DPSA and G&A/GSCID cluster departments? • What inputs and recommendations can be fostered to create a new sector delivery agreement for the G&A/GSCID cluster? Two philosophical positions have been considered and inform the choice of the research design. The qualitative method provided the philosophical assumptions that guided the direction of the collection and analysis of data during the research process. In addition to considerations centred on the nature of the study, the choice of a qualitative approach as the methodology was informed by a desire to leverage the interpretive prowess and understanding of human-created and driven systems that this approach offers. Creswell (1998:74) points out that qualitative researchers approach their studies with a certain paradigm, a basic set of assumptions guiding their inquiries. By this, Creswell means that there are guidelines and paradigms that allow the researcher to conduct an inquiry in a systemic and orderly manner. The study comprised a literature review that explored existing assumptions of public service and the role of models in the implementation of policies and programmes and an empirical investigation that was based on the collection of primary data through the conduct of interviews with appropriately placed government officials and the retrieval of relevant primary documentary information on efforts of service delivery departments and agencies in general and the G&A/GSCID cluster in particular to optimise execution of government programmes. For the purposes of expanding and deepening clarity on how the research study was conducted, this chapter expands the discussion on the research design and methodology to include other equally foundational dimensions of research like target population and sampling process methods of data collection, 80 reliability and validity, and the data analysis process. These are allocated sections, as the reader will uncover later in the chapter. As previously stated, the chapter describes the research design and methodology used in the study, also detailing the procedures involved in the selection, collection and analysis of data to strengthen the reliability and validity of the study findings. Moreover, being a methodology chapter, it further describes ethical considerations for the research study’s scope, limitations and significance. The qualitative case study method needs the researcher to conduct an in-depth examination of varied, detailed and extensive information obtained from different sources to present comprehensive explanations that portray a holistic picture concerning the issue they are studying. With this in mind, the DPSA, the outcome facilitation unit, and the service delivery branch were selected to facilitate discussions important for this research study; the organisational arrangement of the DPSA was also presented. The sources used to compare, contrast, and crosscheck information were documents, interviews, and discussions. Methodological triangulation across three different data collection methods amplified the study’s depth and reliability. Data analysis was conducted concurrently with data gathering from various sources indicated above. The researcher has chosen the qualitative research method to conduct this study. According to Leedy and Ormrod (2005:133), qualitative research encompasses several approaches to research that are, in some respects, quite different from one another. All qualitative approaches have two things in common. First, they focus on phenomena that occur in natural settings – that is, in the ‘real world’. Secondly, they involve studying those phenomena in all their complexity. Qualitative researchers rarely try to simplify what they observe. Instead, they recognise that the issue they are studying has many dimensions and layers, and so they try to portray the issue as a whole. Therefore, qualitative researchers locate the study within particular settings that provide opportunities for exploring all possible social variables and set manageable boundaries; thus, the qualitative approach is described as the type of research that is more explicitly controlled and qualitatively measured. 81 According to Creswell (1998:15), qualitative research is an inquiry process based on distinct methodological traditions that explore a social or human problem. Creswell’s philosophy on qualitative research was deemed the most appropriate prism through which to frame the study – especially considering that the service delivery agreement examined is a product of human interaction in a social environment (workplace). The researcher builds a complex, holistic picture, analyses words, reports detailed views of informants, and conducts the study in a natural setting. Flick (2009:14–15) indicates that the essential features of qualitative research are the correct choice of appropriate methods and theories; the recognition and analysis of different perspectives; the researchers’ reflections on their research as part of the process of knowledge production; and the variety of approaches and methods. Moreover, Flick (2009) also contends that qualitative research criteria depend on whether findings are grounded in empirical material, whether the methods are appropriately selected and applied, and the relevance of findings and reflexivity of proceedings. In this case, the object under study is the determining factor for choosing a method, as the design of methods is open to the complexity of a study subject. Crucially, Fossey, Harvey, McDermott and Davidson (2002:723–730) argue that in qualitative research, the researcher develops an intricate delineation, analyses data reports detailing participants' discussions and carries out the study in a natural setting. The process entails going to the study setting, getting permission, and collecting material. This leads the researcher into the multifaceted dimensions of a problem or issue and presents it in all its complexity (Fossey et al., 2002). Some of the most popular or traditional qualitative research methods are ethnography, case study, interviewing and historiography. Willis (2007:235) argues that the term ethnography sometimes means the same as the term fieldwork, and occasionally, it means all the qualitative methods used to learn about culture (including corporate or school environments.) In this broad sense, ethnography is an umbrella term for fieldwork, interviewing, and other means of gathering data in authentic (real-world) environments. 82 4.3 RESEARCH DESIGN The process of crafting a model for the sector delivery agreement in the DPSA is intricate and multifaceted, considering numerous variables that affect the G&A cluster, the G&A/GSCID cluster. There is a great deal of theoretical evaluation and analysis of strategies required in initiating linkages and correlation of the key variables related to the theme of the study. In order to ensure a robust research design, an appropriate approach that matches the researcher’s perception of the reality of the phenomenon being studied is essential (Ghezeljeh & Emami, 2009:16). Therefore, because of the intricacy of the theme, this research study applied a case study method and design to explain and explore a conceptual model for the Department of Public Service and Administration sector delivery agreement model. This research design dictates that the starting point is the collection of qualitative data and, subsequently, the analysis of this data as the primary research method. Naidoo (2005:41) refers to Stake, who indicates that qualitative research is a form of systematic empirical inquiry into meaning. Empirical inquiry is any form of inquiry that depends on the world of experience in some fundamental way. In this research study, the empirical approach aspect was generated by the interviews, which comprised senior officials and deputy directors in the DPSA, DPME, DOJ&CJ, OCJ and COGTA, as they were requested to respond to open-ended questions in writing and in an in- depth interview. The participants were purposefully chosen (purposive sampling), and the interviews were conducted with the officials to discover essential, invariant structures of the central meaning of their experience of the sector delivery agreement and services delivery interventions and improvement initiatives in the South African public service. Quantitative researchers are justifiably concerned with establishing correlations between variables. This research study was descriptive, as it examined and explored how the DPSA provides support to government departments and how the sector delivery agreement enhances the DPSA’s obligation to support the departments in the G&A cluster. Creswell (1998:186) states that some cases generate theory, some simply describe cases, and others are more analytical in makeup and display cross case or inter-site comparisons. The study also used Stake’s (1995:3) concept of the 83 instrumental case study to elucidate confusion, the need for general comprehension, and to gain insight into the issue of interest; that the sector delivery enhances public service performance and service delivery in the South African government departments within the G&A cluster. Neuman (1997:19) states that “in descriptive research, the researcher starts with a well-defined subject and conducts research to describe it accurately. The outcome of a descriptive study is a detailed picture of the subject.” Stake (1995:8) states that “the real concern of case study is particularisation, not generalisation.” Hence, the case in this study was the primary focus, and there is no generalising or theorising. Thus, the research design in this study aimed to minimise and, to a large extent, eliminate bias. Instead, it sought to intensify trust in the collected and analysed research information. It also encapsulates all the elements of research design. As stated by Yin (2012:4), a case study assumes that “investigating the context and other complex settings related to the case(s) being studied is integral to comprehending the case(s).” Using the case study method in this research study allowed for an in-depth focus on the context and complexity of the DPSA’s mandate and obligation to the government departments within the G&A /GSCID cluster context. Neuman (1997:331) notes, “a qualitative researcher may use a case study approach. He or she might collect a large amount of data on one or a few cases, go into greater depth, and get more details on the cases being explored.” Neuman (1997:331) further states, “the case study researcher encounters an overwhelming amount of information but has immersed in it. Immersion gives the researcher an intimate familiarity with people’s lives and culture.” Thus, this study used the case study method to gain intimate familiarity with implementing a sector delivery agreement by the DPSA to improve service delivery, especially service delivery quality and access. This then informs the crafting of the evaluation model for the sector delivery agreement. Gillham (2000:10) argues, “case study research is not exclusively concerned with qualitative methods: all evidence is pulled into the case study researcher’s data collection. However, quality methods (and what they allow you to do) are primary.” Gillham (2000:11) also states that qualitative methods allow researchers “to explore complexities that are beyond the compass of more ‘controlled’ approaches; to get 84 under the skin of a group or institution to find out what really happens – the informal reality which can only be perceived from the inside; to view the case from the inside out: to see it from the perspective of those involved; and to carry out research into the processes leading to results rather than into the ‘significance’ of the results themselves.” In this research study, the qualitative method reflected how the DPSA policy frameworks are enhanced by the sector delivery agreements supporting the government departments in the G&A/GSCID cluster to improve service delivery in South African public service. 4.4 RESEARCH METHODS In everyday interactions, people often bicker over how certain conclusions about a particular issue are determined. Though unwittingly, what they are contesting is the “method” with which they traversed the journey that led them to draw the conclusions or “truths” that they have. Academic research is no different; it requires one to choose the appropriate method that would facilitate the study of the issue that the researcher wants to explore. Analogically, a research methodology is a domain or a map; a research method refers to a set of steps to travel between two places on the map (Jonker & Pennik, 2010), hence the noun ‘method’. Three types of research methods are commonly applied in social sciences: qualitative, quantitative and mixed methods; the latter is a result of the combination and the concurrent use of qualitative and quantitative methods. A multi-method qualitative research method with a case study design was adopted for this study. Qualitative research involves collecting various empirical materials: case studies, personal experiences, introspective life stories, interviews, observations, and historical, interactional, and visual texts that describe routine and problematic moments and meaning in individuals’ lives. Qualitative research is not haphazard, idiosyncratic, or even subjective. Instead, it is planned, ordered, and public (Denzin & Lincoln, 1994:2). Willis (2007:235-6) states that much of qualitative research involves forming and asking questions. The result is often powerful stories that both inform and inspire. Interviews may be highly structured, semi-structured or open. Structured interviews 85 and surveys that ask participants to select answers to questions from a list of options are standard tools for the post-positivist researcher. The idea is that if enough effort is invested in writing good interview or survey questions, the interview or survey should capture some of the reality of the situation. This was considered when the interview questions were developed for this research study. Leedy and Ormrod (2001:148–149) refer to Peshkin (1993) that qualitative research studies typically serve one or more of the following purposes: i. Description. They can reveal the nature of certain situations, settings, processes, relationships, systems, or people. ii. Interpretation. They enable a researcher to (a) gain insights about the nature of a particular phenomenon, (b) develop new concepts or theoretical perspectives about the phenomenon, and (c) discover the problems that exist within the phenomenon. iii. Verification. They allow a researcher to test the validity of certain assumptions, claims, theories, or generalisations within real-world contexts. iv. Evaluations. They provide a means through which a researcher can judge the effectiveness of particular policies, practices, or innovations. Mouton (1996:38) distinguishes between three levels of methodological dimensions. Firstly, the research technique is the specific and concrete means that a researcher uses to execute specific tasks; such tasks are related to specific stages in the research process, such as sampling, measurement, data collection and data analysis. Secondly, research methods are meant to execute a certain stage in the research process, for example, sampling, measurement, data collection, and data analysis methods. Thirdly, methodological paradigms, for instance, quantitative, qualitative and participatory action paradigms, are not merely a collection of research methods and techniques but also include certain assumptions and values regarding their use under specific circumstances. Regarding traditional quantitative research, the method is pre-specified, and the study is then conducted. The study method is thus an external, preset framework regardless of the approach. In addition, the pre-specified method includes details on statistics that 86 will draw meaning from the data. In contrast, qualitative research is recursive and fuzzy. The methods, from technique to purpose, can evolve across the research process. The evolution of the study is in the hands of the researcher. Similarly, the data analysis almost always depends on the researcher (Willis, 2007:203). According to Creswell (1994:7), in a qualitative methodology, inductive logic prevails. Categories emerge from informants rather than being identified a priori by the researcher. This emergence provides rich ‘context-bound’ information leading to patterns or theories that help explain a phenomenon. The question about the accuracy of the information may not surface in a study, or if it does, the researcher talks about steps for verifying the information with informants or ‘triangulating’ among different sources of information. According to Silverman (2011:17), the main strength of qualitative research is its availability to study phenomena which are simply unavailable elsewhere. Quantitative researchers are rightly concerned with establishing correlations between variables. However, while their approach can tell a lot about inputs and outputs to some phenomenon (e.g. how national identity is correlated with voting behaviour), it has to be satisfied with a purely ‘operational’ definition of the phenomenon and does not have the resources to describe how that phenomenon is locally constituted. As a result, its contribution to social problems is lopsided and limited. One real strength of qualitative research is that it can use naturally occurring data to find a sequence (how) in which participants’ meanings (what) are deployed. Having established the character of some phenomenon, it can then (only then) move on to answer (why) questions by examining the broader contexts in which the phenomenon arises. Creswell (2009:4) describes the terms qualitative research and quantitative research. (a) Qualitative research explores and understands the meaning individuals or groups ascribe to a social or human problem. The research process involves emerging questions and procedures, data typically collected in the participant’s setting, data analysis inductively building from particulars to general themes, and the researcher making interpretations of the meaning of the data. The final written report has a flexible structure. Those who engage in this form of inquiry support a way of looking at research that honours an inductive style, a focus on individual meaning, and the 87 importance of rendering the complexity of a situation (adapted from Creswell, 2007). (b) Quantitative research is for testing objective theories by examining the relationship among variables. These variables, in turn, can be measured, typically on instruments, so that numbered data can be analysed using statistical procedures. The final written report has a set structure consisting of an introduction, literature and theory, methods, results, and discussion (Creswell, 2008). Like qualitative researchers, those who engage in this form of inquiry have assumptions about testing theories deductively, building protections against bias, controlling for alternative explanations, and being able to generalise and replicate findings. In a qualitative study, the research question often starts with a how or a what, so initial forays into the topic describe what is happening. This is in contrast to quantitative questions that ask why and look for comparison of groups or relationships between variables, with the intent of establishing an association, relationship, or cause and effect (Creswell, 1998:17). There are two reasons why a qualitative method and not quantitative method was selected for this study. Firstly, the research question starts with “to what extent”, i.e., to what extent will the implementation of sector service delivery agreement yield the desired results of improved service delivery in South African public service? This research study examined and explored the implementation of the new outcomes-based approach in South African public service. It reflected on the implementation and impact of previous interventions to improve service delivery and why the sector agreements were not introduced and implemented before 2009. Moreover, it analyses the conceptualisation and the implementation process of the sector delivery agreement to enhance service delivery by the Department of Public Service and Administration. Secondly, a qualitative inquiry was selected because the topic needs to be examined and explored for better understanding and explanation. The decision on how the data would be collected was a vital facet of this research. Henning (2005:36) states that the design type reflects the methodological requirements of the research question and, therefore, the type of data that will be elicited and how the data will be processed. However, these decision-making actions depend on the researcher’s knowledge and philosophy because a methodology is an epistemological basis for an inquiry. 88 Henning (2004:36) further distinguishes between the term “methods” and the term “methodology”. The term “method” denotes a way of doing something (one thing). Methodology refers to the coherent group of methods that complement one another and have the “goodness of fit” to deliver data and findings that reflect the research question and suit the research purpose. Thus, the researcher must understand qualitative inquiries’ methods, techniques and procedures. According to Bloomberg and Volpe (2012:30), within the qualitative approach, there are a variety of traditions or genres, each distinguished by a specific form, terms and focus regarding what constitutes inquiry within the qualitative paradigm. While these genres or disciplinary traditions are naturalistic, interpretive, and increasingly critical and draw upon multiple methods, each rests on somewhat different assumptions about what constitutes inquiry within the qualitative interpretive paradigm. Qualitative is a field of inquiry that crosscuts disciplines and subject matters (Denzin & Lincoln, 2011). Creswell (2007) identifies five main traditions: case study, ethnography, phenomenology, grounded theory, and narrative research. Ethnography means all the qualitative methods used to learn about the culture, and phenomenology research focuses primarily on themes related to lived experiences. In grounded theory, the researcher discovers or generates a theory of a process, and in narrative inquiry, the focus is on told stories of individuals or cultures. A case study thoroughly explains and analyses bounded or multiple bounded phenomena. The first, second and third administrations of the democratic government in South Africa have, through the DPSA, introduced various legislative frameworks. The purpose of these frameworks was to address inequality in service delivery and improve service delivery and service quality, but this has not yet achieved the desired outcome. To improve service delivery performance, the fourth administration of the democratic dispensation imported the outcomes-based approach and customised it for South Africa’s political context. Subsequently, this study used a case study to explore the implementation of the sector service delivery agreement by the DPSA to improve service delivery in South African public service. South African public service, academics, and practitioners have undertaken numerous studies on service delivery that were beneficial to and informed this study (i.e., the 89 20Year Review (covering 1994 to 2014) is an example of a government study (review) on service delivery, and the Journal of Public Administration has many articles written on service delivery). The conducting of a case study on implementing the sector delivery agreement augmented the current body of knowledge. It will also cause a further inquiry into challenges and attempts to improve service delivery in the South African public service. A qualitative approach can enhance and familiarise our understanding of the complexity of implementing sector agreements for improved service delivery. Mouton (2011:161) quotes Fetterman on evaluation research that qualitative evaluation approaches involve using predominantly qualitative research methods to describe and evaluate the performance of programmes in their natural settings, focusing on the implementation process. This research study also explored the literature on intervention programmes implemented since the 1994 democratic dispensation. However, the exploratory investigation was also undertaken and primarily intended to conceptualise and implement delivery agreements for improved service delivery; this was done through personal interviews and analysing existing documentary sources. 4.5 CASE STUDY APPROACH Yin (1989:23) defines a case study as an empirical inquiry that investigates a contemporary phenomenon within its real-life context; when the boundaries between phenomenon and context are not evident and in which multiple sources of evidence are used. When considering undertaking research, the researcher must not only determine the research question(s) and the problem but also what the unit of analysis will be (Hafiz, 2008:545–546). In this scenario, the case would become the unit of analysis, with the theoretical or analytical framework applied to the case to answer the research question(s) and respond to the research problem, thereby fulfilling the research aim. Leedy and Ormrod (2001:149) state that in a case study, a particular individual, programme, or event is studied in depth and in its natural environment/setting for a defined period. While the findings of a case study-based research may have limited generalisability, it offers the benefit of a comprehensive and thorough study of an issue, creating reliable knowledge on a subject. Sometimes researchers focus on a single 90 case, perhaps because its unique or exceptional qualities can promote understanding or inform practice for similar situations. A case study may be especially suitable for learning more about a little-known or poorly understood situation. It may also be useful for investigating how an individual or programme changes over time, perhaps due to certain circumstances or interventions – particularly in situations of longitudinal studies (Street & Ward, 2011). In either event, it is useful for generating or providing preliminary support for hypotheses. Merriam (1988:9) describes a case study as an examination of a specific phenomenon, such as a programme, event, person, process, institution, or social group. According to Willis (2007:239), case studies are: i. Particularistic. Case studies have a clear delimitation, scope and focus on a particular context, such as a person, a family, an office, a company, a classroom, or an apartment building. ii. Naturalistic. The naturalistic aspect of case studies relates to the fact that they are about real people and situations, and much of the data collection occurs in real-world environments. iii. Thick descriptive data. Case studies rely on thick descriptive data, whereby the data sources and methods include participant and nonparticipant observation, interviews, historical and narrative sources, writings such as journals and diaries, various quantitative data sources, including tests, and almost anything else one can imagine. iv. Inductive. As a rule of thumb, case studies rely on inductive reasoning. This means that researchers formulate their conclusions based on specific premises and apply them more generically. Generalisations, concepts, or hypotheses flow from examining data grounded in the context. Sometimes the researcher may be able to develop a tentative hypothesis at the beginning of a case study. However, these expectations are inconclusive and often reformulated as the study progresses (Merriam, 1988:13). 91 v. Heuristic. Merriam (1988:13) observes, “Case studies illuminate the reader’s understanding of the phenomenon under study. They can bring about the discovery of new meaning, extend the reader’s experience, or confirm what is known.” Accordingly, case studies allow researchers to expand and deepen their knowledge of a subject by uncovering new meanings. Bloomberg and Volpe (2013:31) and Creswell (2007) argue that three variations exist in case study analysis. These are the single instrumental case study (which focuses on an issue or concern in one bounded case), the collective or multiple case study (multiple case studies illustrate an issue of concern), and the intrinsic case study (the focus is on the case itself because the case presents a unique situation). The data collection process in case study research is typically extensive and draws on multiple data collection methods, including document reviews, observations, interviews, focus groups, surveys, and critical incidents. Analysis can be holistic or embedded – that is, dealing with the whole or parts of the case (Yin, 2009). Thematic analysis is not for the purposes of generalising beyond the case but rather for a detailed description to understand the complexity thereof. Selecting a case (or cases) to study requires that a researcher establish a rationale for a purposeful sampling strategy and clear indications regarding the boundaries of the case. In many instances, case studies may not have a clear beginning and end points and deciding on boundaries that adequately surround the case can be challenging. According to Creswell (1998:39), a case study is chosen to study a case with clear boundaries. Furthermore, it is important that the researcher have contextual material available to describe the setting of the case. Usually, a contextualisation section or chapter is created to describe the status quo concerning the issue under investigation. In addition, and related to the aforesaid, the researcher needs to have a wide array of information about the case to provide an in-depth picture of it. The phenomenon should be thoroughly examined, and the presentation thereof should contain and demonstrate all facets under study so that the reader gains a clear understanding. Moreover, Creswell (2007:72) further states that “case study research is a qualitative approach in which the investigator explores [a] bounded system (a case) or multiple bounded systems (cases) over time through detailed, in-depth data collection involving multiple 92 sources of information (e.g., observations, interviews, audio-visual material, and documents and reports), and reports a case description and case-based themes.” According to Creswell (2007:74–75), the procedures for conducting a case study are: i. determining if a case study is appropriate to the research problem; ii. once the case is identified, the researcher decides which bounded system to study; iii. the data collection is extensive, drawing on multiple sources of information; iv. the data analysis can be holistic or embedded; and v. the report includes detailed outcomes on the phenomenon. According to Yin (1993:3), the case study is the method of choice when the phenomenon under study is not distinguishable from its context. Such a phenomenon may be a project or programme in an evaluation study. As stated at the outset, this research aimed to determine the most suitable model for service delivery agreements that the DPSA and the G&A/GSCID cluster could craft and implement to improve public service. Clearly, examining efforts to develop a model for delivery agreements by the South African government needed to be approached by focusing on the DPSA and the G&A/GSCID cluster departments as the case. This involved identifying and tracing the implementation of all the major policies and programmes initiated since 1994 to enhance public service performance. The study of cases tends to produce complex explanations or interpretations in the form of an unfolding plot or narrative about particular people or events. This makes the passage of time integral to the explanation. Often the emphasis becomes the sequence of events: what occurred first, second, third, and so on. This focus on the process helps to reveal how an issue evolves, a conflict emerges, or a social relationship develops (Neuman, 2011:177). Naidoo (2005) refers to Stake (2000:437), who defines case studies in terms of the study’s purpose, suggesting that different researchers have different purposes for studying cases. Identifying the three types of case studies as intrinsic, instrumental, and collective, the author notes that these seldom fit neatly into such categories. Therefore, the researcher needs to maintain an awareness of this incongruity and be 93 prepared to acknowledge the condition instead of having the predisposition to lump them together, even when they do not complement each other. Stake (2000:437) amplifies that intrinsic case studies serve the purpose of understanding a single case without concern for whether or how it may be representative of other cases, or whether it can be used for theory building, or for understanding constructs or phenomena. Instrumental case studies clarify an issue or theory, with the case being more important than it is in an intrinsic case study. In an instrumental study, the decision to study a case is made based on its ability to increase understanding of an issue. Collective case studies use more than one case to understand an issue or phenomenon. This study itself is descriptive and analytical, as it examines and explores the implementation of the sector delivery agreement. Creswell (1998:186) states that some cases generate theory, some simply describe cases, and others are more analytical and display cross-case or inter-site comparisons. The study also used Stake’s (1995:3) concept of the instrumental case study to clarify confusion, the need for general understanding, and to gain insight into the issue of interest: the sector delivery agreement and service delivery in the South African public service. Similarly, Neuman (1997:19) states that “in descriptive research, the researcher begins with a well-defined subject and conducts research to describe it accurately. The outcome of a descriptive study is a detailed picture of the subject”. According to Stake (1995:8), “the real business of case study is particularization, not generalization”. Hence, the case in this study is the main focus, and there is no generalising or theorising – meaning that the relevance or application of the study is not necessarily assured to other cases; the case study regarding this research is non-comparative and therefore bounded. According to Yin (2012:4), a case study assumes that “examining the context and other complex conditions related to the case(s) being studied are integral to understanding the case(s).” The use of the case study method in this study allowed for an in-depth focus on the contextual conditions and the complexity of service delivery in South African public service. Neuman (1997:331) notes, “a qualitative researcher may use a case study approach. He or she might gather a large amount of information on one or few cases, go into greater depth, and get more details on the cases being examined.” 94 Neuman (1997:331) further states that “the case study researcher faces an overwhelming amount of data but has immersed in it. Immersion gives the researcher an intimate familiarity with people’s lives and culture.” Thus, this study uses the case study method to gain intimate familiarity with service delivery within the South African public service to improve service delivery, especially inequality and quality. Moreover, Gillham (2000:10) argues that “case study research is not exclusively concerned with qualitative methods: all evidence is pulled into the case study researcher’s data collection”. However, quality methods (and what they enable you to do) are primary. Gillham (2000:11) further states what the benefits of qualitative research methods are, and specifically that these allow the researcher to explore complexities that are beyond the scope of more ‘controlled’ approaches, to get under the skin of a group or organisation to find out what really happens – the informal reality – which can only be perceived from the inside; to view the case from the inside out: to see it from the perspective of those involved; and to carry out research into the processes leading to results rather than into the ‘significance’ of the results themselves. This study’s qualitative methods reflect how implementing sector delivery agreements improved service delivery in South African public service. According to Yin (2012:13), the most desired convergence occurs when three or more independent sources point to the same set of events, facts or interpretations. According to Flick (2009:452), triangulation may extend methodological and theoretical access to the issue and field of the chosen study. Using triangulation requires more effort and resources, and the approach will be more fruitful if it produces new and additional insights. This study thus followed a triangulation approach by analysing documents and conducting interviews with public servants and academics to reach convergence. Flick (2000:183) notes three modes of application for triangulation: validation strategy, an approach to generalising discoveries, and a route to additional knowledge. Flick (2000:179) further distinguished the following four forms of triangulation as a validation strategy: (a) Triangulation of data combines different sources and at different times, from different places or relevant people. (b) Investigator triangulation is characterised by using different observers or interviewers to balance out the subjective influences of 95 individuals. (c)Triangulation of theories means ‘approaching data with multiple perspectives and hypotheses in mind. Various theoretical points of view could be placed side by side to assess their utility and power’ (Denzin, 1978:297). (d) Denzin’s central concept is methodological triangulation ‘within-method’ and ‘between-method’. Denzin (1994:241) further states that triangulation is generally considered a process of using multiple perceptions to clarify meaning, verifying the repeatability of an observation or interpretation. According to Savin-Baden and Major (2010:116), context is the mainstay of qualitative research, and the synthesis should strive to provide contextual information that retains the integrity of the original studies. Accordingly, the DPSA and relevant G&A/GSCID cluster departments and agencies were explored in a descriptive-analytic fashion to examine the initiatives of these institutions and organisations geared towards service delivery improvement in South Africa to maintain the context that gave rise to this study. Further, the synthesis should retain a sufficient substantial description to allow participant voices to be heard. For this study, the interview questions were designed to allow the selected participants to offer their own perspectives on crafting and implementing service delivery agreements. It is admittedly a challenge to find the line between being succinct and retaining substantial descriptions while maintaining integrity, but it is a balance for which the synthesis must strive. Neuman (1997:331) emphasises that context is critical. When a researcher removes an event, social action, answer to a question, or conversation from the social context in which it appeared or ignores the context, social meaning and significance are distorted. Attention to social context means that a qualitative researcher notes what came before or what surrounds the focus of the study. In the case of South Africa, public service emerged from the racist apartheid past before 1994, a period whereby the public was designed and existed for service in the interest of the country’s white population. As such, the new democratic government under the ANC had to initiate ways to expand and improve public service capacity to extend the delivery of public goods and services effectively and sustainably to populations previously excluded under apartheid. Creswell (1998:40) indicates that a case study is chosen to examine a ‘case’, bounded in time or place, and there should be contextual material about the setting of the case; 96 a wide array and extensive material should be gathered from multiple sources of information to provide an in-depth picture of the case, as indicated in previous sections. In exploring the system of the South African Department of Public Service and Administration concerning service delivery, information is mainly acquired on the effect of particular aspects of service delivery implementation. Yin (1989:21) describes three traditional prejudices against a case study strategy as (a) lack of rigour, (b) inadequate basis for scientific generalisation, and (c) they take long and result in massive, unreadable documents. In this study, the researcher made it a point to guard against biased views and personal preferences that could influence the findings and conclusion. This was achieved through rigour. 4.6 SELECTION OF STUDY PARTICIPANTS’/TARGET POPULATION/SAMPLING As Babbie (1998) has argued (see Chapter 1), a study population in research is the theoretically outlined aggregation of study elements. It aggregates components from which the sample is eventually drawn. As previously pointed out, systems theory was chosen as the basis for the theoretical framework for the study, and it is used as the lens for analysis. In addition, literature on models was also examined to understand what informs formulation of models, and this was connected with the aim of developing a service delivery model. Given that the study also sought the views of senior government bureaucrats on the implementation of delivery outcome 12, its population target comprised senior public service officials, deputy directors general, chief directors, directors and deputy directors from the Department of Public Service and Administration, the Department of Planning, Monitoring and Evaluation, the Department of Cooperative Governance and Traditional Affairs, the Department of Justice and Constitutional Development, and the Office of the Chief Justice. Considered collectively, the theoretical framework and the selected population were deemed pivotal to the study’s quest to respond to the research question and address the stated problem. 97 4.6.1 Sampling The sampling unit is that element or set of elements considered for selection in some sampling stage. In a simple single stage-sample, the sampling units must possess the elements that are important to the study. A sample frame is the list of sampling units from which the sample is selected. In single-stage sampling designs, the sampling frame is simply a list of the study population. Neuman (2011:242) contends that to avoid choosing a sample that is inappropriate for a study, researchers need a sampling strategy that matches the study’s specific purpose and data. The larger set from which the researcher samples is termed a population. In order to enumerate a population, researchers must have a clear definition of the population to which they wish to generalise. Once the definition of the unit and population under study had been established, the researcher must then develop a complete listing of all elements that make up that population (Denzin, 1989:72). Indeed, the target population for this research was clearly defined as constituting senior South African government officials, especially at the level of chief director, deputy director general, directors and deputy directors, who are intimate crafting and implementing service delivery agreements to improve the public service performance. According to Flick (2009:115), the issue of sampling is encountered at different stages in the research process. In an interview study, for example, sampling is connected to deciding which persons to interview (case sampling) and from which groups these participants should come (sampling groups of cases). Furthermore, it emerges when deciding which interviews require extensive further engagement that is transcribed and analysed (material sampling). In relation to data interpretation, this pertains to decisions around which parts of a text need to be selected for interpretation in general or for particularly detailed interpretations (sampling within the material). Finally, it arises when presenting the findings; which cases or parts of text best demonstrate the findings (presentational sampling). These are some of the helpful guides that Flick (2009) provides regarding sampling decisions. These were kept in mind when undertaking this research study. On a different yet related issue, Neuman (2011:242) argues that there is a need for a sampling strategy that matches the specific study’s purpose and data to avoid 98 choosing a sample that is inappropriate for the aim of a study. Therefore, a sample that accurately represented the relevant population in this research study was South African public service in general and national departments in particular. Neuman (2011:241) further suggests that “we sample to open up new theoretical insights, reveal distinctive aspects of people or social settings or deepen understanding of complex situations, events or relationships.” Accordingly, all the perspectives acquired through the participant interviews were captured and represented comprehensively and in their complexity; by so doing, opening the possibility of uncovering potentially insightful knowledge about South African public service. Nonetheless, Miles and Huberman (1984:37) indicate that sampling involves not only decisions about which people to observe or interview but also which settings, events and social processes. Qualitative studies call for incessant refocusing and redrawing of the study’s boundaries during fieldwork, but some initial selection is still required. The conceptual framework and research determine the foci and the boundaries within which samples are selected. Hence, this study used a purposive sampling technique to select senior managers directly involved with the coordination and monitoring of the implementation of delivery agreements in each department. A total of 22 senior government officials at the level of deputy directors- general, chief directors, directors and deputy directors were interviewed from various departments, including the DPSA, DOJ&CD, OCJ, DPME and COGTA. During the sampling process, factors such as the job position of the individuals sampled, their knowledge, experience and expertise were seriously considered as consequential variables, which Morgan (1997:42) contends should be the case. 4.6.2 Data and information collection Case studies are common in research. When undertaking a case study research, the investigator gather data on the individuals, programmes or matters that research focuses on (Leedy and Ormrod 2001:149). Normally, the data in question would incorporate observations, interviews, documents and records that tell a story about the issue under investigation. Accordingly, the investigator is oftentimes required to prolonged spells of time on the site of research and even interact frequently with the study target population. Things, processes or events have context, i.e., economic, 99 political or social context, and the investigator has duty to acknowledge and document the context that may have an effect on the case. Because by pointing out the context of the case, people who have in interest in case or have read about would be able to determine the extent to which its findings are generalisable to other scenarios. For this study, policy and programme documents of the governing ANC, various relevant government departments and agencies, and key public service bureaucrats were engaged to source information. The activity of data collection in research is a necessary stage and should be approached systematically, with criteria for collection entailing setting parameters, type of data, justification, and outlining the protocol for collection (Creswell 1994). In this study, the outlining of the parameters of the study was first executed with formulation of the research question. Policy and its implementation, policy documents and deliberations on sector delivery agreements and service delivery in South African public service formed some of the data collected through literature review. The primary dimension data dimension was constituted by interviews and official document reviews. 4.6.2.1 In-depth, semi-structured Interviews An in-depth, semi-structured interview is a qualitative data collection method whereby a researcher engages in a dialogue with an individual to obtain detailed information about a phenomenon being studied (Sreejesh et al., 2014:47). This study used individual in-depth, semi-structured interviews to solicit and record responses from the research participants. For the longest time, individual interviews have been regarded as the most useful data collection method for exploring individuals’ experiences in different areas (Petty, Thomson & Stew, 2012:380). The information from each interview session was audio-recorded; however, where participants chose not to be audio-recorded, responses were recorded in writing and thereafter coded, arranged and transcribed using a thematic approach, as recommended by Barbour and Kitzinger (1999:16). This ensured proper recording and complete accounting for all the information that was gathered through the interviews conducted. 100 4.6.2.2 Document review Combining multiple theories, methods, observers, and empirical materials produces a more precise, comprehensive and objective representation of the object of research (Silverman, 2011:369). Thus, a combination of data from documents and book reviews, journals, policy documents, other government documents, the internet, and semistructured interviews with officials from the Department of Public Service and Administration and of Cooperative Governance, Justice and Constitutional Development, Office of the Chief Justice and from Department of Planning, Monitoring and Evaluation ensured reliability and validity and improved the overall quality of this research. Patton (2002:306) emphasises mixing interviews with document reviews in collecting data for qualitative studies. This expands and enriches the information researchers have at their disposal to pursue the study’s objectives and execute its aims. This study reviewed relevant documents regarding the sector delivery agreement and monitoring and evaluation policy implementation within South African public service for secondary data collection. The identification of the possible parameters of the study commenced during the initiation of the research question. As already indicated, this study collected data from the documents and deliberations concerning service delivery in South African public service. It is also helpful to combine multiple theories, methods, observations and empirical materials to produce a more accurate, comprehensive and objective representation of the object of study (Silverman, 2011:369). Accordingly, combing systems theory and data from reviewing policy documents, books, journals, other government documents, the internet and interviews with officials from the Department of Public Service and Administration increased this research study’s reliability and validity significantly. 4.6.3 Data analysis, validation and reporting Quoting Jorgensen’s (1989:107) in definition of analysis, Boije (2010:76) states that an “analysis is a breaking up or disassembling of research materials into pieces, parts, elements, or units. With facts broken down into manageable pieces, the researcher sifts and sorts them, searching for types, classes, sequences, processes or patterns. The aim of this process is to assemble or reconstruct the data in a meaningful or 101 comprehensible fashion.” Similarly, Mouton and Marais (1991) explain data analysis as the process, at the core of which is the dissection and the deconstruction of a matter into its components, to improve understanding of the matter. Therefore, data analysis in this study entailed organising accumulated data and segmenting it into manageable pieces, synthesising it in accordance with the main research question and subquestions. As would become clear later (see Chapter 5 and Chapter 6), data sourced from in depth and semi-structured interview sessions was transcribed and analysis undertaken. Many scholars offer their advise on the treatment of this type of data. indicate that A preferable data gathering and analysis approach is that connects and entwine them from the onset (Miles and Huberman 1991:49). This was used in this study and it helped with improving understanding of the subject under investigation and provided coherence for the research study as it proceeded. Moreover, Stake (1995:77) opined analytic strategies or approaches that the researcher adopts are influenced by the nature of study. He makes reference to categorical aggregation and direct interpretation; which of the two the researcher chooses is entirely dependent on the nature of the study. Regarding the application of the aforesaid to case study, Stake (1995:77) charges that because this type of the study s complex, categorical aggregation of data may undermine appreciation of its multi-layered nature. Usually, we will try to spend most of our time in direct interpretation, argues Stakes (1995). Interpretation is very fundamental aspect of research, whether quantitative or qualitative research. Interpretation is making sense of a phenomena through attaching meaning to what has been observed or collected (Neumann (2011:177–178). In particular, qualitative studies are the most germane for interpretation in that they literally ascribe meaning to data, translate it and render it intelligible to people. However, qualitative interpretation requires a thorough understanding of the meanings of the people or matters that are being studied. This is commonly called the first-order interpretation. Oppositely, the second-order interpretation extracts coherence and sense of meaning in the data itself. Therefore, certain meanings from the larger set of meanings that are underlying in the data are singled out and interpreted, for their significance. Interestingly, second-order interpretation is able to generalise and make 102 a link to a theory and general knowledge. As such, ‘reflexivity’ is essential in qualitative research. Creswell (1994) contends that in this type of research, the researcher fulfils a crucial role as an instrument of data collection and interpretation. In equal measure, Seroka (1999) charges that, by its nature, qualitative research is anchored on an interactive process that is not immune to subjectivity – from both the researcher and the research subjects, and that, in fact, the values and prejudices of the researcher make an imprint in the process. Accordingly, the idea of neutrality is impossible to realise, and instead, there should be an acknowledgement of the subjectivity inherent 4.6.4 Triangulation Yin (2012:13) states that the most desired convergence occurs when three or more independent sources point to the same set of events, facts or interpretations. Flick (2009:452) suggests that triangulation may extend methodological and theoretical access to the issue and field of the chosen study. Using triangulation requires more effort and resources, but the approach is more fruitful if it produces new and additional insights. This study thus follows a triangulation approach. Government official documents were analysed, and interviews were arranged and conducted or undertaken with senior government officials at different departments and with scholarly texts (i.e., books and journal articles) to reach convergence. Yin (1989:21) refers to the three traditional prejudices against the case study approach as (a) lack of rigour, (b) little basis for scientific generalisation, and (c) that they take a long time and result in massive, unreadable documents. In this study, the researcher guarded against biased views and personal preferences that could influence the findings and conclusion. The researcher was consistently aware of the pitfalls identified by the reflexivity thesis. 4.7 RELIABILITY AND VALIDITY The principles of reliability and validity were applied in this research study to measure the trustworthiness of the research findings. The most commonplace criticism of qualitative research is that it lacks the rigour and credibility attributable to quantitative research (Horsburgh, 2003). Typically, qualitative research focuses on the exactness of the data and the degree to which such data can generate generalisations. This is contrary to quantitative research, which focuses on the extent to which the research 103 findings are reliable over a period, and whether the measures used correctly measured what they were intended to measure –to validate the research findings (Denzin & Lincoln, 2005). 4.7.1 Reliability in qualitative research As previously pointed out (see Chapter 1), the concept of reliability is a very important aspect of research, and in qualitative research it alludes to the dependability and consistency of data. Similarly, in According to Gibbs (2002), in quantitative research, reliability relate to the extent to which the findings will be constant if repeated investigations are undertaken, whether in varying situation or with different investigators and the extent to which the findings are generalisable. Regarding this research study, reliability was guaranteed through a multiplicity of interventions, such as the use of recording, coding, transcribing, integrating and presentation of the collected data. Moreover, the data was comprehensively interpreted, with transcripts having been cross-checked to ensure consistency and reliability (Creswell 2014:24). Moreover, to strengthen the reliability of the research findings, the researcher discussed the analysis and interpretation of the interview scripts with his supervisor, who also made a similar interpretation of the scripts. Beyond the supervisor, the researcher also took the initiative to consult with various academics and professionals and asked them to analyse the interview scripts. Again, there was an overwhelming convergence with the interpretation that the primary research arrived at, thus further strengthening the reliability of the research findings. 4.8 ETHICAL CONSIDERATION As per the North-West University (NWU) ethical standard, a formal ethical clearance letter was sought from and granted by the NWU Research Ethics Committee. Once the ethical clearance letter was obtained, the researcher identified the nodal persons and relevant stakeholders in the DPSA and other participating government departments. The researcher subsequently completed the necessary applications to conduct research with the DPSA, Department of Planning Monitoring and Evaluation, Department of Cooperative Governance, Department of Justice and Constitutional Development and Office of the Chief Justice. The approvals and consent letters from 104 the participating government departments were issued and later presented to the NWU. The researcher informed the interviewees that their participation in the study was voluntary and that their consent would be requested before the interviews commenced. Moreover, the objective and the process of the study, as well as the anticipated benefits, were made clear to the potential participants before they participated in the research study. On receipt of permissions and the approved questionnaires, the researcher conducted himself ethically by ensuring that consent was obtained from the potential participants before they partook in the study. The participants were not coerced or forced to participate in the study, as their participation was voluntary, and the information gathered was solely used for the research study. In addition, the collected information will not be revealed to any person not directly involved with the study. The use of audio recordings was declared and explained. Consent was requested upfront, and participants who did not concur with the audio recording instead had their responses recorded in writing. Finally, the study upheld all the ethical principles applicable to research. It ensured that the participants’ responses that became the study data sets were stored in confidential and safe data storage. All sources were acknowledged, plagiarism was avoided, and the study ensured compliance with all NWU ethical processes and requirements. 4.9 CHAPTER SUMMARY This chapter outlined the study’s research design and methodology and the selection, collection and analysis of data to ensure reliability and validity. It also described the ethical considerations for the research study to ensure it is grounded on ethical scholarly research principles and values. The qualitative case study method was used to conduct an in-depth examination of the varied, detailed and extensive array of information obtained from different sources to present comprehensive explanations that portray a holistic picture of the Department of Public Service and Administration and the three departments in the G&A/GSCID cluster. Necessarily, the chapter explored what qualitative research entails, tapping into the views of scholars such as 105 Flick (2009) and Fossey et al. (2002) to establish an understanding of the concept, to ultimately link to the broader study. The ensuing chapter conceptualises the sector delivery agreement and performance agreements concerning the previous public service policy and regulatory frameworks of the democratic dispensation. Furthermore, it explores the concept of an outcome- based approach in relation to the new public management and administration. It also provides a comparative analysis of countries that have implemented the outcomes-based approach. Lastly, the chapter examines the key strategic areas of the delivery agreement and also presents the organisational arrangements of the Department of Public Service and Administration and the Department of Performance Monitoring and Evaluation. 106 CHAPTER 5 PRESENTATION AND DISCUSSION OF THE DATA FINDINGS 5.1 INTRODUCTION In the post-apartheid era, the successive democratic governments of the ANC have always assigned themselves the responsibility of developing and administering an effective and efficient public service that is fit for playing a transformative and developmental role in society. As has been highlighted in this research study (see Chapter 3), various policy frameworks, like the 1995 White on the Transformation of the Public Service and the 1997 White Paper on Transforming Public Service Delivery, illustrate how the governing ANC sought to (re)position the public service as an agent for positive, impactful change in South Africa. These have had varying degrees of success and failure. The performance of these government interventions can be determined and assessed through a detailed study of various scholars’ pertinent government reports and assessments. With the DPSA as the frontline department tasked with ensuring the implementation of SDA Outcome 12, it was hoped that public service would become an effective agent for change. As previously stated (see Chapter 3), the SDA Outcome 12 calls for creating an efficient, effective, developmental public service. However, the narration of people at the coalface of public policy implementation in the form of senior officials in the public service, deputy directors-general, chief directors, directors and deputy directors offers an original and unmitigated view of the dynamics, nuances, and factors contributing to the successes and failures of government policy implementation. The performance of the successive ANC governments has been the subject of many heated debates, not only in academia but in society in general. There are those who contend that the governing party has proven itself to be unsuitable to govern effectively and transformatively, while there are also those who counter, arguing that notwithstanding the many governance and development shortcomings, the party has performed well considering the challenges bequeathed to it by the racist colonial and apartheid governments (Mhlongo, 2020). Though unwittingly, these debates and 107 ponderings centre on one important aspect of the state; the public service and its ability to perform and execute the service delivery role it bears. The perused literature indicates that when Jacob Zuma took over as president of South Africa in 2009, he initiated a wide-scale and qualitative reconfiguration of the government’s structure. This took the shape of restricting existing departments (i.e., breaking up the then Department of Education into the Department of Basic Education and Department of Higher Education and Training, respectively) and creating new ones like the Department of Planning, Monitoring and Evaluation (Naidoo, 2019). These changes were informed by careful assessment of the previous governments’ shortcomings, which partly lay in how the service delivery institutions of state-like departments were configured, and a corresponding determination to overcome these challenges and inject efficiency and efficacy in public service. The Guide to the Outcomes Approach, of which SDA Outcome 12 is a part, was equally one of the interventions made by the Zuma administration to measure the performance of departments and state agencies in their mandate of creating a develop-oriented public service that would be well suited to the pursuit of the vision of a developmental state, as contained in the government development blueprint, the NDP. Writings related to and about systems theory indicated that an organisation (should) operates like an organism, where every part performs an essential function necessary and indispensable to the optimal and efficient functioning of the whole (Whitchurch & Constantine, 2009). Accordingly, the South African government emphasised a ‘cluster’ approach to governance – that is, requiring that departments and agencies with related, overlapping and/or mutually inclusive responsibilities and functions are clustered together in a system of governance to ensure coordination and avoidance of ‘silo’ mentality in their operations (Koma & Tshiyoyo, 2015). In relation to SDA Outcome 12, an ideal at the core of state performance and effectiveness, its implementation and pursuit are managed on a cluster basis, with the DPSA as the ‘owner’ department. This is informed by the government’s recognition and appreciation that improvement in the performance of the entire public service would require intervention at all levels across the government and state, so all the key entities had to be brought together. After all, the government is like an organism that must be 108 viewed in its totality, as the systems theory contends, and for it to perform, all parts must be prepared and readied. The people who had an unrivalled view of the government’s drive and efforts to implement SDA Outcome 12 and the SDAs in general as it launched its attempt to become developmental in posture were identified and interviewed. Furthermore, their views form part of the key dimensions of the research study that are considered in this chapter. 5.2 OUTLINE OF THE EMPIRICAL APPROACH IN THIS RESEARCH STUDY It is a universal truism that research is undertaken to discover new insights about a phenomenon that people have little understanding of, in its entirety or certain aspects thereof (Zarah, 2017). This research study was conducted to assess the implementation of a sector delivery agreement by the DPSA to enhance public service performance in South Africa. Specifically, the main research question was framed to probe and establish the best model for a delivery agreement in the DPSA and G&A cluster departments. As previously stated, the sub-questions, considered collectively, sought to examine the past role of the DPSA and how it has executed its policy role; determine the variables that affect performance contracting between the DPSA and G&A cluster departments; and decide possible inputs and recommendations for creating an alternative sector delivery agreement for the G&A cluster. Necessarily, these questions are borne in mind throughout this chapter. Empiricism is an essential aspect of scholarly research. Naidoo (2005) surmises empirical research depends to a greater degree on the study of the world of experience; in the case of research interviews, the participants’ views measure their experience of the research matter. Certainly, the study’s empiricism was strengthened by including interviews as a data collection method in the research. Therefore, this decision was taken to source, assess, and measure the viewpoints of pertinent research subjects regarding service delivery agreements specifically and the performance of public service in general. The research methodology chapter proclaimed a qualitative approach for this research study. Being an approach that allows for ‘expansiveness’, the qualitative research design allowed for a profound interpretation of the interview responses and the accumulated data generally, enriching the examination and analysis of the subject under study (Creswell & Poth, 2018; Creswell 1998; Leedy & Ormrod, 2005). 109 Essentially, the researcher aims to construct a ‘holistic’ picture of the phenomenon or phenomena under study through hermeneutics (Kinsella, 2006). Accordingly, understanding the correlation between key variables becomes pivotal in qualitative research. In this research study, the important variables were the DPSA’s support of the G&A cluster in the execution of its mandate, implementation of SDAs (SDA Outcome 12), and improving public service performance. Of course, the DPSA, in the context of the G&A cluster and implementation of service delivery improvement interventions, formed the case study, which also influenced the choice of interview participants. As Chapter 6 will illustrate, the findings presented in this chapter also inform and dictate the development of an alternative sector delivery agreement. As declared in the chapter dealing with methodology, the study relied on both primary and secondary data. The primary data included interviews with important and relevant stakeholders in the management and implementation of sector delivery agreements (SDAs), in addition to primary documentary evidence. However, the concern of this section is to look at the former and detail how the instrument was developed and used to collect the data. As a starting point, the researcher identified the interview targets (see Tables 5.1 and 5.2 in Section 5.4). These people have worked with SDAs in general and SDA Outcome 12 in particular. A total of 13 senior government officials and three deputy directors were identified and selected for interviews. Thereafter, the researcher proceeded to formulate research questions. In order to simultaneously ascertain focus and richness in the responses, both structured and semi-structured interviews were used. Initially, the intention was to interview 20 to 25 senior managers from the DPSA, DPME, COGTA, Office of the Chief Justice and the Department of Justice and Constitutional Development to gather and measure their views on the implementation of service delivery programmes. Nonetheless, challenges were encountered in accessing all 30 identified potential interviewees. These included the inaccessibility of all the potential participants due to their seniority within their departments, in particular COGTA, and time constraints. Roulston (2014) argues that some of the challenges to collecting data through interviews entail the inaccessibility or unavailability of the participants, especially those at senior ranks in their organisations. However, a mitigating factor to 110 this challenge is that, in most instances, securing an interview with a limited number of participants who hold senior positions ensures that researchers source authoritative views that carry a significant amount of validity in relation to the broader sector or environment (Agarwal & Tanniru, 1990:125–128). Sometimes senior managers find it difficult to secure time for participation in research interviews due to their busy schedules. This is precisely what the researcher experienced in the case of this research study. Notwithstanding the aforesaid and as alluded to above, the interviewed participants were deemed sufficient as they are very senior in their respective organisations. Their views were treated as authoritative and valid, and importantly, they were considered representative of other senior managers in similar organisations. Of course, structured interviews allowed for asking close-ended questions about the management and implementation of the SDAs, and semi-structured interviews for open-ended questions enabled interview participants to elaborate expansively on their responses. Time was arranged with willing participants to conduct the interviews, and a consent form was developed and sent to potential participants before the interviews. This was done to ensure that they were aware of the purpose of the study, that their anonymity would be upheld, and that participation in the process was voluntary, in line with longstanding research ethics. The majority of the participants demonstrated discomfort around the use of an audio recording device to record the interviews. This is not an anomaly in research, as Atkinson et al. (2008) argue that research participants have the propensity to alter their responses if they distrust the ‘real’ reason for the interview(s). Recognising that this may affect their responses, in that they may fear that the voice recordings may later be abused, the researcher decided to opt for scripting to record the proceedings. Indeed, the participants appeared more comfortable with the questions when their responses were not taped by a recording device. Multiple scripts were written when all the interviews were complete, constituting a rough sketch of the interview responses. Thereafter, the responses were rewritten more orderly through a transcription process to ensure that they would be relatively easy to use during the data presentation and analysis in the research study. 111 While the interviews were conducted when the COVID-19 pandemic had subsided, the culture of fear of meeting people physically still permeated, and some of the restrictive regulations continued to be observed. This saw some potential participants expressing hesitancy about the idea of a meeting to conduct an interview. Another problem encountered was the fear of being recorded, as mentioned above. This was in addition to the general distrust towards the idea of doing an interview, as some people mistakenly believed that their utterances in the interview process might be used against them in future. Nonetheless, after assurances that that would never happen since the study was for academic purposes, the apprehension and distrust were somewhat reduced. Being a person who was also employed full-time in a more senior and consequential position at a key government department, the researcher occasionally rescheduled interviews because of work commitments. Notwithstanding all the aforesaid challenges, the researcher was able to overcome the obstacles and undertake the interviews to completion, with the number deemed crucial to the robustness of the study reached. In summary, the study participants were selected from the DPSA, DPME, OCJ and DOJ&CD, and one former COGTA senior manager also participated. A set of questions (discussed later in this chapter) were developed and standardised. These questions were then posed to the participants during the interview process. At a more general level, the questions were formulated and framed in a manner that had to solicit responses pertaining to the participants’ levels of academic achievement, their experiences executing functions concerning the improvement of public service performance interventions, and their views on the challenges, bottlenecks and what works. As a point of emphasis, the whole nature of these questions and the findings emanating from the interviews are addressed more comprehensively later in this chapter. The presentation and analysis of the data were done using tables and charts, in addition to a qualitative interpretation of the meaning of the information contained in the depictions. The benefit of using tables and charts to present and analyse findings is that it improves the accessibility and understanding of the research by people interested in reading on the subject. 112 5.3 PARTICIPATION BY THE TARGET POPULATION IN THE INTERVIEW PROCESS As a research study that aimed to assess the implementation of a service delivery agreement by the DPSA to improve the overall performance and quality of public service, a certain number of potential research participants were identified and purposefully selected for interview purposes. This speaks to the question of sampling in the study, which was purposive sampling, as the researcher sought to solicit views from a category of public service employees with similar traits (senior managers working for the DPSA, DPME, OCJ and DOJ&CD); so these constituted the population from which the researcher sampled. Therefore, interviews were conducted with government officials, both former and current public service professionals, who had intimate knowledge and understanding of the South African government’s introduction and subsequent implementation of the Guide to the Outcomes Approach strategy, especially the SDA Outcome 12 to gather primary data that would enable a response to the study research question and problem. The use of focused group interviews was avoided, with the researcher opting for in-depth interviews conducted individually with each participant to extract their most profound and comprehensive responses. Indeed, this data collection method worked well in that the participants demonstrated comfortability that would have been difficult to anticipate in a setting where a focused group approach was chosen. Tables 5.1 and 5.2 (below) profile the interviewees: the government officials who participated in the interview process. It should be noted that these are high-ranking public service employees, past and present, at the coalface of government activities aimed at improving the performance of the state. Table 5.1 contains interviews conducted between the 1st and 4th of March 2022, and Table 5.2 tabulates information related to interviews undertaken and completed between the 6th and 12th of May 2022. The formulation of the two tables was informed by a desire to ensure order and neatness in the presentation of the interview data, and they do not in any way allude to a perceived difference in the profiles or the responses of the interview participants, though this may exist. 113 Table 5.1: Interview Participants Category One Level of Code Academic Professional Department/Institution Name Position Achievement Experience 1NP DPSA A1 Director 2Advanced DPME A2 13yrs+ Chief NP Director DPSA A3 7yrs+ Deputy NP Director NP DPSA A4 Director 33yrs+ DPSA A5 11yrs Deputy Director NP (Source: Feni, 2022) As can be discerned in Table 5.1, the overwhelming number of participants interviewed worked for the DPSA (Department of Public Service and Administration). This is unsurprising given that the DPSA is the selected champion for the SDA Outcome 12 within the Governance and Administration (G&A) cluster. In addition, the abovementioned sector delivery agreement targets the building of capability and capacity within the public service and, as such, deals with performance matters; hence the link to the DPME (Department of Planning, Monitoring and Evaluation) is equally acknowledged. 1 NP – ‘not provided’. 2 Advanced - the respondent did not reveal the exact number of years of work experience other than stating that they have been working in the public service for many years 114 The pattern regarding interview participants and respondents is also replicated, to an extent, in Table 5.2. Table 5.2: Interview Participants Category Two Level Code Academic Professional Department/Institution Name Position Achievement Experience Office of the Chief Justice PhD 6–10yrs Former B1 Director DPSA 3Postgraduate 11–15yrs Chief B2 Director DPME Postgraduate 11–15yrs Chief B3 Director DPSA Postgraduate 21yrs Former B4 Director DPSA Postgraduate 16yrs+ Chief B5 Director (Source: Feni, 2022) Some of the questions that were asked of the research participants are described. This is accompanied by a discussion of the interviewees’ responses to the questions. Question 1: How many years have you been working with performance outcomes? 3 ‘postgraduate’ – the interviewee did not want to specify which postgraduate level they reached 115 Experience 25 20 20 15 10 10 10 10 7 5 0 1 2 3 4 5 Series1 (Source: Feni, 2022) Figure 5.1: Category One Participants’ Work Experience in Public Service The figure above represents the work experience (in years) of the interview participants depicted in Table 5.1. The majority of the participants in the study have had ten years or more working experience, with only one participant who had less than ten years and another with over 20 years of experience in the employment of public service. Therefore, the people who participated in this category of interviews were expected to have a vast knowledge of public service and its workings by virtue of their extensive experience. More importantly, they have institutional memory of the various government policy interventions intended to improve the public service to position the South African state for a developmental role. Most of them witnessed the functioning of public service in the pre-2010/11 era, before the wide-scale government restructuring that also saw the introduction of the SDAs, of which SDA Outcome 12 is a part, and after this period. Accordingly, the expectation was that they would thoroughly understand public service. In the second round of interviews, tabulated in the figure, the participants were also asked similar questions. Just as was the case in the first round of interviews, a total of five interviews were completed. The participants had an advanced level of work experience ranging between 6 and 20 years. As such, the profile of the participants is similar, at least insofar as work experience and interface with the SDAs are concerned. 116 Experience 25 20 15 10 5 0 B1 B2 B3 B4 B5 Experience (Source: Feni, 2022) Figure 5.2: Category Two Participants’ Work Experience in Public Service Question 2: What is your level of academic achievement? This question was important because it aimed to gather information on the level of academic achievement of the people behind the implementation of policy programmes in public service. As is the norm globally, public services recruit people based not only on their work experience but also their academic qualifications. Table 5.2 illustrates that not all participants were comfortable revealing information pertaining to their studies and specifically their qualifications. This was problematic because it meant that the level of academic achievement, if any, of some of the people responsible for driving government policy could not be ascertained, whether they had requisite qualifications or not. Besides the aforesaid, this also means that the research study cannot say anything about this category of interviewees on the question of whether they are academically qualified for the positions they occupy and the attendant responsibilities. As Table 5.2 indicates, in the second round of interviews, the participants were able to indicate their level of academic achievement. Participant B1 was the most academically qualified with a PhD degree, which means they possess the requisite training to understand and drive policy programme implementation in the form of the SDAs and benefit their department regarding other administration and management 117 issues. Nonetheless, the other four participants were less comfortable revealing the full extent of their academic achievements, as they only indicated that they did ‘postgraduate’ studies. Despite this, the fact that they completed postgraduate studies is interpreted as amounting to engagement in advanced studies and, therefore, adequately academically qualified for their roles within public service. Question 3: Are SDAs linked to service delivery improvement and organisational capacity? And if so, how do they link? This question sought to extract the participant’' views on the relationship between the SDAs, especially SDA Outcome 12, and departmental capacity and service delivery improvement. One response to this question was to highlight that the introduction of the SDAs brought improvement in the way public service operates; in that a delegation framework was developed, which would likely lead to the amendment of the Public Service Act to empower heads of departments (HODs) to make employment decisions. That would wrestle away political principal’' influence on employment issues within public service and locate this power in the hands of senior career bureaucrats. Obviously, this will ensure that the right people with the correct skill profiles are appointed to the appropriate positions within public service. Moreover, one of the interviewees (from the OCJ) indicated that a technical assistance unit (TAU) was established in the DPSA to attend to the appointment and functioning of boards in public sector entities. This injects standardisation of practices across public sector entities, which have increasingly been suffocated by inefficiencies, corruption, incompetence, and reliance on government bailouts. Another participant in the study indicated that before 2009 the G&A cluster worked closely with the Government-Wide Monitoring (GWM) and would typically initiate discussion on issues emerging from the president’s state of the nation address (SONA). The cluster was not as effective as before, as it was not streamlined and tended to take up a wide array of issues, including staff’s overseas travels, and had a lack of requisite understanding of the number and skill profiles of people at the coalface of service delivery. The professionalisation of public service is another important theme featured in the interview responses. One interviewee indicated that Chapter 13 of the 118 NDP deals specifically with the issues of professionalisation and leadership accountability in government. They view this as a positive dimension in the SDAs considering, they argued, that the public service has demonstrated weakness in this aspect. Question 4: Are the DPSA and DPME working together in the implementation of SDAs? This question was deemed relevant because the DPSA and the DPME are supposed to closely interface since the former is responsible for overall public service, while the latter is responsible for developing and administering governance systems and interventions intended to improve the planning, performance and assessment of the public service. In particular, the conceptual coherence and practicability of the SDAs (with an emphasis on SDA Outcome 12) is the responsibility of the DPSA, while its successful implementation also significantly involves the DPME. One interviewee gave a historical background to the SDAs, indicating that this comes from DPSA’s roll out of the service delivery implementation plan guidelines emanating from the 1997 White Paper on Transforming Public Service Delivery. Unsurprisingly, the focus shifted to tangible, impactful service delivery as opposed to the mere existence of systems and programmes – as required by the concept of ‘people first’ (Batho Pele). This is partly where the characterisation as ‘outcomes approach’ comes from – the performance assessment regarding identifiable outcomes. However, concerns around implementation management also came through. For example, participant B1 expressed uneasiness in what they define as poor coordination of efforts between the DPSA and DPME, leading to duplication in some instances. The interviewee pointed to the delivery improvement plan (SDIP), the strategic plan, and the annual performance plan (APP) (both belonging to the DPME). This conveys an impression of departments working in ‘silos’ – with insufficient coordination in their overlapping activities and goals. However, the cluster system allows for these two departments and other line departments to interact, which can be an opportunity for them to reflect on these matters. Another interviewee said that the DPME had been the coordinator for all the outcomes and the SDAs, while the DPSA retained the role of chairing the G&A cluster in addition to being the implementing agent for SDA Outcome 12. This means that these two departments are critical to the 119 success of the government's interventions to improve the effectiveness and efficiency of public service in pursuit of a developmental role for the state. Accordingly, it is pivotal that they revisit the existing coordination systems and approaches to maximise the potential impact of their work linkages, which would ultimately auger well for achieving the SDAs’ and other government policy targets. The interviews were undertaken on different days, and as previously declared in this chapter, tables and figures have been created for the interviews carried out on a specific date range to ensure neatness in the presentation. Table 5.3 (below) contains the information of interviewees whose views were solicited between 26 July 2022 and 12 August 2022. Table 5.3: Interview Participants Category Three Level of Code Academic Professional Department/Institution Name Position Achievement Experience COGTA Post-graduate 16yrs+ Deputy Director General (Support and C1 Interventions) DPSA Post-graduate 6yrs+ C3 Deputy Director DPSA C4 Chief Director Post-graduate 16yrs+ OCJ C5 Chief Director Post-graduate 11yrs+ (Source: Feni, 2022) Like the other interview participants, the interviewees depicted in Table 5.3 were equally asked to respond to questions. However, some of the questions were 120 condensed or combined in this chapter, recognising that they overlapped and that this was not the actual interview but a part that deals with interpreting the collected data. Question 1: How long have you been working for COGTA? Participant C1 was among the most senior employees interviewed at the deputy director-general level. As Table 5.3 illustrates, C1 had over 16 years of work experience in public service, making them one of the most experienced employees in public service. Even more pertinent to the study is t that C1 had been working with issues relating to service delivery for 12 years, having started this role in 2010, which is also a pivotal period in the introduction of SDAs and at a time when there was a shift towards emphasising the performance-based approach to public service (see Chapter 3). Unlike C1, participant C3 had only been working for 6 to 10 years for DPSA in a middle management role. However, as highlighted below, the respondent demonstrated sufficient familiarity with COGTA and DPSA work related to SDAs and interventions to improve local government. Question 2: What role has the DPSA played in relation to the improvement of service delivery, specifically as pertaining to work in the purview of COGTA? Participant C1 observes that the national government worked with the provincial and local spheres of government, recognising that these levels of government, especially the local, are ‘closer’ to the people. Indeed, Chapter 3 of the 1996 Constitution of the Republic of South Africa provides a constitutional, legal framework that guides relations between the three tiers of government (national, provincial and local) (Republic of South Africa, 1996). In terms of Chapter 3 of the constitution, all three levels of government are expected to work cooperatively and coordinate their efforts to ensure service delivery. However, as C1 argues, there is an absence of cooperation, let alone coordination, between the spheres, and the prevailing situation is that each local government (municipality), the provincial government and national departments appear to have their individual planning and tend to work separately. In the age of ‘paradiplomacy’ – a situation where sub-national governments initiate and enter into relations with other governments in the international systems, particularly for development purposes (Lecours, 2008) – it certainly is not surprising that various 121 government departments and agencies, at all levels of government, have demonstrated apathy or lack of interest in working with other entities within the government. Indeed, provinces like Gauteng, Mpumalanga and the Western Cape are known for their strong external relations. The national government crafted the DDM to eradicate fragmentation and lack of coordination efforts to improve local government and, ultimately, service delivery. Expectedly, COGTA was designated as the implementor of the DDM; however, other departments are also involved. Question 3: Before the implementation of the SDA Outcome 12, now Priority 1, what contracts were in place between DPSA and G&A cluster departments to ensure service delivery? Some interview participants indicated that before the implementation of SDA Outcome 12, the government had no clearly defined instrument for improving public service performance. For instance, participant C1 argued that while the DPSA insisted that departments must have instruments of performance enhancement, this idea never came to pass. Instead, there was reliance on the annual performance plans (APP), which according to C1, was not enough. However, participant C3 said there were service delivery improvement plans prior to 2009, making mention of service standards introduced to improve service delivery. Sadly, there was a lack of coordination in implementing these interventions. Participant C3 stated that it was with the introduction of the SDAs that DPSA and COGTA worked closely on improving service delivery in South Africa. Question 4: In cases where there was a lack of service delivery, what intervention mechanisms were available for DPSA before the SDA? As stated above, before the introduction of the SDAs, there used to be weaknesses concerning coordination and coherence in the implementation work of various government departments and agencies. Participant C1 argued that the emphasis was on inputs, i.e., resources like human capacity and finances, without there necessarily being a connection to outcomes. Paradoxically, the DPSA pushed for the roll-out of SDAs as the government moved towards focusing on outcomes and the impact of government service delivery programmes. 122 This was a decisive intervention, and in addition, the DPSA also runs Batho Pele forums which include the involvement of two representatives from the Office of the Premier of each province to facilitate responsive governance and ultimately ensure that the service delivery needs of the public are understood and pursued. Table 5.4 (below) contains information on the research participants interviewed on the dates ranging from 27 August 2022 to 8 September 2022. The participants were asked several questions, and their responses are summarised below. Question 1: How long have you been working around SDA-related issues? Participant D1 had been working for the DPME for approximately 11 years, dealing with the management performance assessment tool (MPAT). Participant D1 was particularly important to this research study in that they worked directly with matters of performance management – which is at the core of SDA Outcome 12. Participants D2, D3 and D4 had been working for the South African public service for 16, 10 and 11 years, respectively, and were employed by the Department of Justice and Constitutional Development (DOJ&CD). They all had been occupying roles that interface with the DPSA’s service delivery improvement interventions. Accordingly, they were appropriate participants in the study. Table 5.4: Interview Participants Category Four Code Academic Professional Department/Institution Name Position Achievement Experience DPME D1 Director Post-graduate 11yrs+ DOJ&CD D2 Post-graduate 16yrs+ Chief Director DOJ&CD D3 Director Post-graduate 10yrs DOJ&CD D4 Director Post-graduate 11yrs (Source: Feni, 2022) 123 Question 2: Before the implementation of SDA Outcome 12, now Priority 1, what contracts were in place between the DPSA and G&A cluster departments to ensure service delivery? Participant D1 indicated that before the introduction of the SDAs, there was the Policy Coordination and Advisory Services (PCAS), which eventually evolved into the Department of Planning, Monitoring and Evaluation (DPME) in 2009. Whatever mechanisms were in place for service delivery improvement, D1 argues that they were not structured in the same fashion as the services and outcomes approach. This essentially means that the government had not considered the performance management issue as pivotal to improving public service and, ultimately, service delivery, at least not to the desirable degree. Without a doubt, the formation of the DPME in 2009 and the later inclusion of the Planning Commission and renaming it Department of Planning Monitoring and Evaluation in 2014 was mainly informed by the government’s drive to build a capable state, as envisioned in the NDP (NPC, 2012). In this sense, the DPME and the DPSA are critical to achieving effectiveness and efficiency in public service and service delivery. Question 3: What was the strength and weakness of this arrangement before the SDA came with the implementation of the outcomes approach? Participant D1 contended that the PCAS was a robust institution from a policy standpoint, especially considering it comprised highly regarded academics, business people and public servants. However, as the adage goes, a policy is only as good as its implementation; glorious ideas can be cobbled and packaged as policy, but they are useless without successful implementation. More problematically, D1 asserted that the PCAS also did not have performance information, meaning that they could not systematically assess the performance of service delivery departments and agencies in their execution of government policy. Ironically, the good thing about the previous system is that it highlighted the need for a different approach – specifically one based on outcomes – hence the introduction of the SDAs. A new way of ‘doing’ governance emerged, and this included the performance management and development system (PMDS) for heads of departments (HoDs) originated by the DPSA and the ministerial performance improvement management system (DPME, 2012). Therefore, it can be 124 argued that the SDAs and outcomes approach generally significantly changed how the South African government views public management and administration. Question 4: In cases where there was a lack of service delivery, what intervention mechanisms were available for the DPSA before the SDA? The prevailing view on this question was that the government had done reasonably well in providing service delivery to the population, considering the many hurdles with which it had to contend. Moreover, these challenges encompass a lethargic, stagnant economy; fast-paced population growth; and immigration. Participant D1 indicated that citizens have responded to instances of absent or poor service delivery by initiating protests, which compelled the government to stretch the minimal resources it had to make interventions to end the protests (Alexander, 2010:25–28). Participant D3 argued that the government’s anti-corruption interventions would eventually improve service delivery to the people and likely reduce protests produced by discontent around the provision of public services and goods. It is a fact that corruption has the propensity of diverting resources meant for service delivery, thus resulting in poor or non-delivery of services (Mpehle, 2012:). Themes of corruption and general squandering of public resources have become a metaphor associated with South Africa, with billions of rands lost annually to corruption and wastage. The impact of this on service delivery cannot be denied, as illustrated by the case of Estina Dairy Farm, a government-sponsored community empowerment scheme in the Free State that was reportedly abused by corrupt politicians and business people (Daily Maverick, 2022). So, corruption has a terrible impact on service delivery, as does underperforming or incompetent public service. Question 5: What is your understanding of the role played by the DPSA in the designing of a public service that has high levels of performance? Please elaborate. As an interviewee with comprehensive knowledge of government efforts to design an effective public service, participant D1 had the most comprehensive answer to Question 5. They particularly commend the DPSA for having been able to reorganise public service in the post-1994 period. Specifically, D1 argued that the DPSA 125 successfully undertook the daunting task of restructuring the apartheid and homeland administrations, amalgamating and rearranging these parallel civil services to form a single public service for a unitary state as a democratic South Africa. The DPSA has since proven its dexterity, continuously adapting and re-shaping public service in response to citizens and global trends. South Africa does not isolate the millions of refugees and migrants into refugee camps, like many other governments worldwide. This means that public service must also provide services to this category of people, as it does for citizens. This obviously stretches the resources at the government’s disposal. Participant D1 argued that when this factor and others with similar implications are considered, the DPSA has performed reasonably in establishing a functional public service. As of writing this thesis, the DPSA is seized with exploring ways to enhance public service, and a myriad of interventions (i.e., SDAs) have since been made to this effect. It is against this background that D1 advanced the argument that the DPSA has performed justifiably well. Question 6: What impediments have caused the government’s previous legislative and policy frameworks not to succeed in bridging policy intent with the actual output of quality service delivery? The majority of the interviewees in this category, D1, D2 and D4, observed that the South African government is widely criticised for having eloquent and progressive policies but often fails to implement them. So, implementation challenges, which are a matter of capacity constraints affecting public service, are something that all the participants bemoaned or remonstrated. Interestingly, D1 contended that there is a need to cultivate a strong patriotism sentiment amongst the public service employees, a sense that their role is more transcendental and historically significant in that the nation's fate rests in their hands. As a senior South African public servant who has undertaken working visits to China in the past, D1 advanced the view that Chinese civil service is effective and efficient because their employees are people who are highly patriotic and the senior managers have been subjected to robust training by the ruling Communist Party of China. Indeed, China’s economic rise, which has given it serious clout in international affairs, is generally attributed to competent public service. As 126 such, the call for South Africa to model its public service on the Chinese model is a reasonable proposition. Question 7: How does the sector delivery agreement enhance the DPSA’s obligation to support departments in the Governance & Administration cluster, in particular the selected departments? As was the case with many of the respondents covered in the other tables, the interviewees tabulated in Table 5.4 also expressed dismay over the functioning of the G&A cluster. The common thread running through all the arguments is that the G&A cluster was supposed to be the backbone of the government, as D1 observed, with the DPSA as the chair. However, the feeling gathered from the interviews is that it has lost focus, and worse, the G&A cluster appears to have become a social club of sorts where elites in government converge. This is a grave concern given that the G&A cluster is the fulcrum of service delivery implementation interventions, at least theoretically or as initially conceived (Republic of South Africa, 2022). The study participants characterised the G&A cluster as not performing its coordination work and having merely become an informal ‘talk shop’ where senior government officials ‘clear’ issues. In light of this challenge, the need for an alternative service delivery model and approach is glaringly urgent. With this, it is hoped that a model that departs from the government’s current modus operandi or creates an alternative service delivery system will be provided in Chapter 6 of this research study. 5.4 THEMATIC ISSUES IN THE DATA FINDINGS 5.4.1 Bearing on public service performance The data findings portray several ‘realities’ pertaining to the structure and performance of South African public service. First, the findings indicate that before 2009/10, the performance dimension of government was assumed and never (adequately) thought of as something to be planned, developed and implemented. This problem is particularly articulated by participant B1, who summarily contended that prior to introducing the sector delivery agreement (SDA) instrument in 2009/10, the capacity of the public service to function optimally was neglected. 127 As Table 5.2 (above) illustrates, interview respondent B1 worked for the Office of the Chief Justice of the Republic of South Africa (OCJ), dealing with performance information. According to B1, the absence of a focus and emphasis on public service performance meant there was not enough clarification of, and certainly not satisfactorily, complex and sophisticated performance evaluation systems against which the government departments and agencies could be adequately measured. This obviously had negative implications for creating an interventionist and developmental state that ANC had envisioned because the two presuppose the existence of meticulously capable public institutions like government departments and agencies. Unsurprisingly, B1 hailed the introduction of initiatives like the SDAs and other qualitative changes, i.e., the introduction of the Department of Planning, Monitoring and Evaluation to assess government performance (DPME), as constituting a significant step towards building state capacity. Secondly, the success of public service is also measured in terms of the accessibility of its service delivery – the services and goods it provides to the public. Participant A3 works for the DPSA and is responsible for ensuring the accessibility of government services to the populace through the Thusong service centres. The Thusong service centres are service delivery nodes where people can access an array of public services at a single point or location, i.e., a centre that issues identity documents and processes social grant applications. Consistent with the determination to live up to the spirit of Batho Pele, the government also introduced the service delivery charter and moved towards an emphasis on ethics, all supposedly aimed at enhancing public service and its accessibility. A3 said that while the Thusong service centres were an excellent idea, their performance failed to meet expectations as people continued to struggle to access the full complement of services in centres adjacent to their neighbourhoods. The interviewee cited political instability as the primary cause of the performance shortcomings of the Thusong service centres; the constant changes in the ministers responsible for the rollout and management of the centres meant momentum was easily curtailed or even erased in instances where a sudden change in the leadership of the department occurs. In addition, the new minister would typically also insist on appointing a new director general, which disrupts the ongoing work 128 before their arrival. This aspect of A3’s argument is particularly a familiar observation about one of the impediments to public service generally held in South Africa. Third, the issue of performance contracts between the president and his ministers only became perceived as essential to improving public service performance in the fourth administration. Interview respondent B5 stated that performance contracts only started in 2011 when there was recognition that these were necessary if the government was to have a chance at successfully executing the medium-term strategic framework (MTSF). The MTSF constitutes government priorities flowing from the ANC’s election manifesto. Based on the performance contract signed with the president, each minister defines and delineates the ‘line of march’ for the staff, and the chances of successful execution of government policy programmes become magnified. While there is no panacea or precise method to implement programmes successfully, the introduction of performance contracts exerts pressure on officials to deliver and creates accountability expectations for non-delivery (Gilad, 2008). 5.4.2 The implications of the data findings on Sector Delivery Agreement Outcome 12 As already proclaimed, the interviewees were selected for their knowledge of, or professional proximity to, the implementation of the South African government’s sector delivery agreements (SDAs), especially SDA Outcome 12. The SDAs constituted an attempt by the government to introduce an ‘outcomes-based approach’ in public service, whereby the success or failure of the government bureaucracy would be measured in terms of the policy and programme outcomes. Participant A2 stated that the SDAs had two dimensions; firstly, individual ministers undertake and sign a performance agreement, and secondly, the SDA was also a joint agreement that committed everyone to attain identified service delivery targets. The available data highlights that SDA Outcome 12 is managed through the G&A cluster, with DPSA as the responsible department. Therefore, in the interviews conducted as part of the study, interviewees from the DPSA were significantly more conversant on SDA Outcome 12 than those not from the DPSA. This ensured richness and accuracy in the accumulated data. 129 While the SDAs were clearly articulated, challenges remained, especially regarding the absence of frontline workers’ skills to execute the service. For example, A2 noted that clarity of thought and purpose was not necessarily replicated in the other spheres of government, provincial and local levels and that in some instances, access to public healthcare did not improve as envisioned by the SDAs as there was a shortage of medical doctors and other infrastructural constraints. Indeed, South Africa’s healthcare system is undercut by a severe limitation of health workers (EWN, 2022). This has undoubtedly negatively affected the government’s vision for improved and effective public healthcare, as contained in the NDP and other related government documents. As was discussed in the literature review part of the research study, the G&A cluster is central to the management of the SDAs. This is further underscored by interview respondent A4 who affirmed the centrality of the G&A cluster in managing the SDAs. However, A4 also contended that prior to the implementation of the SDA Outcome 12, the G&A cluster was run on an ad hoc basis, without a clear delineation of roles among the departments, and more importantly, the responsibilities of the departments were not formalised and codified within the G&A cluster. Accordingly, there was a lack of clarity of thought and purpose, which certainly circumscribed the potential impact that the G&A cluster could have had. The SDA Outcome 12 brought clarity insofar as the roles of the different departments within the G&A cluster were concerned and necessitated coordination in the cluster's work. The 1996 Constitution of the Republic of South Africa assigned the DPSA to manage and administer public service in the country (Republic of South Africa, 1996). This was also confirmed by the data collected through interviews, where it was revealed that the DPSA is responsible for the overall organisation of the state, departments and government agencies/organs. In addition, the department is equally saddled with overseeing the performance management systems designed to promote the cultivation of efficient and efficacious South African public service. The preceding links to and provides a partial glimpse into the reasoning behind the formation and subsequent adoption of SDA Outcome 12. The DPSA is driven by a determination to improve public service to fulfil its developmental role as articulated in the country’s Constitution and various government development policy frameworks. 130 One of the interviewees argued that SDA Outcome 12 appeared to place excessive emphasis on outputs while neglecting inputs. This is the argument made by participant B4 in Table 5.2, which contains (untraceable) information relating to the profile of the interview participants. Moreover, the respondent states that the majority of senior staff (SMS) had poor skills, which meant that their ability to execute government policy (service delivery) was significantly compromised. Indeed, a documentary review of government policies, like the 1995 White Paper on the Transformation of the Public Service, the 1997 White on Transforming Public Service Delivery, and various scholarly and government reviews of public service policy implementation, reveals that the South African government has fallen significantly short of achieving its various service delivery policy objectives (see Chapter 3). There was a neglect of the overall organisational culture and failure to attend to the welfare of employees as the government chased specific outcomes. This criticism by B4 is interesting and certainly baffling when a few points are considered. Firstly, the South African government has invested heavily in establishing institutions and forming partnerships with institutions of higher learning for the professional training of public sector employees. The National School of Government (NSG) is the primary implementing agent for capacitating employees. This is in addition to bursaries that it avails to its employees who want to study further, as well as the often-free professional training workshops government departments and entities frequently organise. Secondly, the introduction of the SDAs was informed by a recognition that the government has performed poorly in addressing many of the social ills and economic injustices emanating from the period of racist apartheid rule; public service was not as effective and efficient as it should be. Lastly, by the year 2000, the majority of government bureaucracies around the world had embraced the outcomes approach, erstwhile associated with private enterprises, to improve their performance (Rist, Zall & Kusek, 2004). Accordingly, adopting the SDAs was long overdue in South Africa and was undoubtedly the correct move in light of the limitless performance shortcomings that bedevilled the country’s public service. Fundamentally, the SDAs can be categorised as forming part of the new public administration approach, which emerged in the 1970s, as indicated in Chapter 2 (see 131 Chapter 2, Section 2.4). This is because the emphasis is on outcomes, as the components of the SDAs, like SDA Outcomes 5 and 12, attest (Guide to Outcomes Approach, 2010). Being a broad rubric under which a more improved and comprehensive public administration and management philosophy is subsumed, a public service anchored on the new public administration and management emphasises productivity, performance-oriented institutions and employee accountability. Thus, the link to SDAs, at least theoretically, is palpable. 5.5 APPLYING THE SYSTEMS THEORY TO THE DATA FINDINGS In Chapter 2, a theoretical framework was created to aid with analysing the collected data. Systems theory was viewed as the theoretical prism best suited to assist in the dissection of the South African government’s implementation of the SDAs, especially SDA Outcome 12, considering that the study emphasises this aspect of the SDAs. An overwhelming number of the interviewees said that the government has struggled to make commendable progress in implementing SDA Outcome 12, citing a multiplicity of factors as a hindrance. As previously stated, these include poor information flow, coordination, lack of skills, and vague or incorrect allocation of responsibilities amongst implementing agents. In line with systems theory, a healthy organisation is one characterised by a steady flow of critical information and resources (Biazzo, 2002), as the successful execution of its policy objectives hinges on this. Personnel for implementing SDA Outcome 12 and ultimately ensuring service delivery, the overriding role of public service, was limited by poor skills, not only in the core staff directly leading the SDAs but the entire government. South African public service has traversed a convoluted journey of reform, transformation and innovation since the dawn of democracy. Coming from a past of racial discrimination, the legacy of which was reflected in the social and economic marginalisation of the non-white populations of South Africa, the new government sought to use public service to address these challenges (ANC, 1992). This is what Cloete (1981) meant when he argued that (public) administration is intended for the efficacious pursuit and realisation of goals. Public service is at the core of public administration, and in the case of South Africa, policy frameworks such as the RDP and GEAR form some of the early policy interventions of the post-apartheid 132 government and its attempt to achieve the goals of social and economic redress. However, as Cloete’s (1981) argument alludes, public administration proper is not merely a case of running public service but doing so in a manner that productively and effectively pursues the outlined targets. Accordingly, there is an element of the outcomes approach to this. Certainly, the inability of the South African government to effectively implement and satisfactorily achieve the goals of its major policies like RDP and GEAR indicates an ineffective public service. Every administration has policies and programmes it seeks to pursue during its tenure. As already highlighted, and in the case of the ANC, these policies and programmes flow from the governing party’s manifestos, outlined as broad and general priorities. These are then refined into an MTSF (a five-year plan), and the public service's responsibility is to further fine-tune these into workable policies and programmes that will assist the party in achieving the objectives and aims of the MTSF. Accordingly, the responsibility of public service organisations (i.e., departments and state agencies) and bureaucrats became one of translating the MTSF into concrete action plans that will inevitably result in the service delivery being rendered – this is policy programme implementation. However, in practical terms, the post-1994 governments have fallen short in their pursuit of many of the policies; this view is informed by an assessment of the state’s performance in the pursuit of the seven priorities, summarised as the building of a capable state; economic transformation and job creation; education, health and skills; provision of quality public services; spatial integration and effective local government; unity and security; and successful international relations (DPME, 2020a:12). The extensive restructuring of government and institutions (departments and agencies) referred to in this chapter and Chapter 3 align with systems theory and its thesis on how an effective organisation (in this case, the government) should be organised. Informed as it was by the limitations characterising government regarding the execution of policy, the change saw an emergence of a systematic approach to governance. The NPC was created as a brain trust of the government, injecting intellectual rigour into the conduct of governance and producing the NDP, which 133 envisions the emergence and rise of a developmental state, at the centre of which is effective public service bureaucracy (NPC, 2012). The NDP sets 2030 as the year in which many of the development targets should be achieved (NPC, 2012). Among these are creating a capable, competent public service and an annual GDP growth rate above 5%. However, only eight years remain until 2030, and a comprehensive assessment of the NDP goals unequivocally indicates that South Africa has failed so far and will ultimately fail to realise the NDP vision by 2030. Certainly, the policy problems that underpinned the NDP were understood by the government and policymakers. However, whether this understanding was linked to a complimentary appreciation of the appropriate solutions is not uncertain. It is a crucial rule of systems theory that policy problems must be understood as linked to their solutions (Allen & Friedman, 2011; Kuhl, 2013). The ANC government correctly determined that apartheid legacies of economic and social exclusion and economic stagnation needed to be addressed but gravely misunderstood the nature and extent of the interventions (policy programmes and actions) necessary to address or overcome these problems in approximately 20 years. The over 5% economic growth target of the NDP is a goal primarily reliant on the actions of actors (businesses) that are beyond the control of the state and government. It is well documented that South African businesses have tended to ‘hoard’ their capital in banks, mostly foreign banks, other than to invest in the country’s economy (Business Live, 2017). Despite many incentives to encourage companies to plough capital into the South African economy to expand existing operations or set up new ones, the economy has remained starved of capital, with the consequence that the aspirations imparted in the NDP pertaining to not only economic growth rates but also related issues of employment and development cannot be achieved. Aside from the economic aspects, the key departments, like the DPSA, DPME, Presidency, and DTIC, have fallen short so far in implementing the NDP. It appears there is weak synchroneity in their activities which has contributed to this failure. Coordination becomes crucial against this background of a multiplicity of departments and agencies working towards similar or overlapping policy goals. Hence, at a theoretical level, the cluster approach is an essential invention in public administration. As previously highlighted, the South 134 African government has adopted this approach and has the Government and Administration cluster for this end. As the department responsible for the overall management and administration of South African public service, the DPSA has ownership of SDA Outcome 12. Notwithstanding the aforesaid, the achievement of SDA Outcome 12 is the responsibility of a multiplicity of departments and government agencies, and the management of its pursuit is conducted through a ‘cluster’ system – where organisations of interest converge to plan and engage in activities aimed at the successful implementation of strategies intended to achieve SDA Outcome 12. The South African government diagnosed what an ideal service delivery implementation model would look like, as contained in Table 3.1 of Chapter 3. The model would need to have both internally and externally focused functions – with the former relating to fundamentals residing within the organisation or institution and the latter pertaining to the outputs and outcomes (i.e., service delivery) the organisation must produce. As previously indicated, the internal functions include human resources, financial management capacity, appropriate delegations, decision rights, and externally-focused functions, including quality service delivery, managing service improvement interventions and oversight of frontline services (The Presidency, 2010). Clearly, this follows the systems theory, where there must be a logical connection between the various activities that unfold within the organisation and the outcomes. In consideration of the above, systems theory prescribes and explains what an effective organisation should resemble. Logically, creating implementation models proceeds from the theoretical basis of systems theory and develops systematic pathways and logics of implementation with clearly specified resources, activities and outcomes. This is precisely what this study does; it ultimately culminates in formulating a service delivery implementation model to be recommended to the government. The combination of documentary reviews and in-depth interviews in the study ensured that the study’s reliability and validity were robust to the point of unassailability. This does not necessarily imply that the study cannot be refuted, as this is impossible in the field of research, as Karl Popper (1963) correctly observes that any scholarly work 135 claimed as irrefutable is nothing but dogma. It is only to argue that this data collection approach strengthened the study's scientific nature. Logically, this also affected the findings, including that the DPSA, in the context of the G&A cluster, has been unable to manage and enforce the implementation of the SDAs successfully, particularly SDA Outcome 12. Obviously, this has meant that South African public service remains ineffective and, therefore, unable to make decisive progress towards building the capability and capacity requisite for it to embrace a developmental posture, as envisioned by the governing ANC in its various manifestos since 1994. Moreover, the simultaneous use of document reviews and interviews not only enriched the analysis and interpretation linked to the findings but also helped formulate an alternative service delivery model, as Chapter 6 attests. This richness and the model it develops make the study especially worthy in proffering a view of the state of South African public service and the possible interventions that could be made to enhance the public service. 5.6 CHAPTER SUMMARY In this chapter, the data collected was used to analyse the implementation of the SDAs and SDA Outcome 12 by the DPSA and the South African government in general. This was done by first presenting the findings of the interview process and then analysing the findings. The research participants were senior managers in government departments and state entities, like the DPSA, DPME, OCJ and the DOJ&CD. Most interviewees raised concerns around various issues, including what they perceived to be poor coordination within the G&A cluster on matters pertaining to the implementation of SDA Outcome 12, shortage of skills, and poor organisational design, amongst others. However, the majority of the participants also expressed the view that introducing the SDAs was a positive development, as previously, there was less emphasis on outcomes as the ultimate measure of performance within public service. The government, as an organisation composed of a multiplicity of departments and agencies, should work in terms of the assumptions of systems theory to ensure the improvement of service delivery. Systems theory characterises an effective organisation as one that receives resources and information to work towards certain objectives and goals in response to the pressures emanating from the environment. It 136 was argued that democratic South Africa faced extensive social and economic problems from the onset and that the governing ANC has tried to respond to these challenges by implementing policies driven by public service. Similarly, it was also argued that the democratic governments had fallen short in achieving most of the goals they set and that the changes in the nature and structure of government that occurred with the fifth administration were motivated primarily by a desire to overcome these institutional limitations. In light of the continuing service delivery challenges, it was important that this research study develop a model of implementation that can be recommended to the DPSA to improve public service performance. Accordingly, the ensuing chapter outlines the process and steps taken to develop and present a model and explain how it can assist the government in addressing South Africa’s service delivery problems. 137 CHAPTER 6 AN ALTERNATIVE MODEL FOR PUBLIC SERVICE DELIVERY IN SOUTH AFRICA 6.1 INTRODUCTION South African public service has profound policy programme implementation limitations, which have affected the delivery of essential services to citizens. The proposed model for service delivery agreements will assist the government in overcoming these challenges. The model has various elements, including performance contracting, incentives and outcomes. Governments develop public policies to fulfil their commitments to their citizens, commitments that normally seek to address societal problems or pursue developmental aspirations. Nonetheless, governments have often uncovered that translating these policies into action and, more fundamentally, into successful implementation resulting in the realisation of the stated objectives and goals is more challenging than it may seem. Public service delivery is the mode through which policies interface with communities. The practical manifestation, as alluded to in the foregoing, may give the impression of the existence of a linear relationship between policy and service delivery. However, this is far from it, as Masilela and Nel (2020:37) highlight by arguing that “service delivery involves all the aspects relating to when, how, and where a service is delivered to a customer, and whether it is fair in nature.” This complexity and difficulty in the actualisation of policy commitments have resulted in scholars of public administration and management developing service delivery models. 6.2 DEVELOPING THE MODEL The development of a sound service delivery model should be preceded by a careful and thorough review of the existing service delivery models and approaches (Masilela & Nel, 2020:37). Therefore, developing new models of service delivery requires an equal move away from traditional approaches of service delivery to correspondingly alternative ones. Regarding the definitional meaning and description of alternative service delivery, Ford and Zussman (1997:6) contended that it entails “a creative and dynamic process of public sector restructuring that improves the delivery of services 138 to clients by sharing governance functions with individuals, community groups and other government entities.” A close examination of the above description of the nature of alternative service delivery reveals that it encompasses the restructuring of public sector institutions and processes; and that this restructuring will enhance service delivery to the populace. As such, the alternative service delivery model is linked to the outcomes approach that has become vogue in public service the world over, driven by the idea of creating a customer-based, service delivery-oriented public service. Within the South African context, the DPSA (2000:13) describes alternative service delivery as “an optimum mix of flexible service delivery programmes, activities and mechanisms that can be strategically utilised to achieve government’s service delivery objectives or either directly by government or in cooperation with other sectors such as the private sector or the voluntary sector.” The service delivery model proposed in this study has several components that ensure it is organised systematically and has internal coherence. Firstly, public sector employees at the manager level are responsible for ensuring the successful implementation of service delivery programmes. Management is a complex phenomenon requiring advanced skills and dexterity on the part of the employee. Therefore, the proposed model requires that before an employee is hired or promoted to a management position, such an employee must possess an appropriate postgraduate academic qualification and have at least five years of practical experience in a related area. This is to ensure that people hired as managers in public service have a theoretical, conceptual and practical understanding of their role and can navigate service delivery challenges that may arise during their employment. Public services reputed for excellence and impeccable service delivery records, such as in China and Korea, are reputed to have highly qualified managers (both in terms of academic achievement and work experience) and a bureaucracy anchored on the ideals of meritocracy. If the South African government adopts the model proposed in this study, it will be able to improve its capacity to successfully roll out service delivery programmes, thus making an impact in addressing the triple challenges of unemployment, inequality and poverty. 139 6.2.1 The nature of the model Another component of the service delivery model proposed in the study is the performance element. While having the proper academic qualification(s) and work experience are essential for effective public service, an instrument that will outline the outcomes and expectations that managers must meet is necessary. This is where performance contracting enters the equation; the committing of senior and middle level managers to certain performance targets. As argued in Chapter 2, performance contracting in the public sector first emerged with the rise of the new public management (NPM) theory (Cheche & Muathe, 2014:65). For centuries, human beings have always strived to improve their systems of governance, and the NPM in general and performance contracting, in particular, are the results of this desire to solve problems. In this regard, the objective was to improve the performance of public sector officials insofar as the delivery of public services and goods is concerned. McKenna (2009) reviews the high-performance environment (HPE) model, arguing that the model can be applied to an array of organisations, i.e., government, business and sports, to enhance performance. The HPE model is anchored on three pillars: leadership, performance enablers and people (McKenna, 2009:141). Expectedly, leadership would be the remit of senior managers in the organisation, while performance enablers relate to resources and organisational culture conducive to success and people constituting the human capital that drives policy. Moreover, the HPE model views the organisational environment as the key determinant of performance and “achievement, wellbeing, innovation, and internal processes” (McKenna, 2009:140). A thorough examination of the HPE model would reveal that it shares a number of traits with the CSD model developed in this study, including the emphasis on capable leadership in the organisation. As espoused in the NDP, one of the goals of the South African government is to build capacity in the state (public service). The CSD model puts senior managers (leaders) at the centre of the drive to improve public service performance and insists on appropriate educational, experiential and skill profiles as prerequisites for hiring or promotion. This will ensure that people with the suitable capacity are employed to spearhead public service policy implementation. While the South African government has developed a multitude of policies, strategies and programmes to build capacity in the state, the implementation 140 of and adherence to these have been questionable. Therefore, the CSD model would only make a difference if the DPSA uses it as a guideline for enhancing policy and programme implementation capacity in public service. Considering the importance of senior managers in public service policy formulation and implementation, the South African government adopted the idea of evaluating heads of departments (HODs) in 2000 (DPSA, 2017). The performance management and development system (PMDS) for HODs, a contractual framework for government and public service, was formally introduced in 2002. However, it initially failed to take off, and government officials did not consider it seriously. The introduction of an outcomes-based approach in public service in 2010 and the creation of the DPME refocused attention on the need to build capacity in the state; thus, in 2018, the PMDS came into force. As per the PMDS, HODs must enter performance agreements between themselves and their seniors. Based on the performance agreements, performance assessments would be undertaken during mid-term reviews, with annual performance plan assessments. Instruments should be used to assess the achievement of outcomes. Notwithstanding the enactment of the PMDS, the implementation or adherence to its guidelines remains weak, meaning that a new, different model is necessary. 141 Source: DPSA Figure 6.1: HODs and Organisational Performance Assessment Guide As can be discerned in the figure above, the DPSA’s PMDS is an instrument designed to guide the evaluation of HODs’ performance assessments. Performance, in this sense, is two-pronged; individual and organisational performance. However, the two are mutually inclusive and reinforce each other in that individual performance ultimately affects organisational performance. In line with the PMDS model, HODs are assessed in terms of employee performance (40% of overall assessment); annual performance plan (20%), Auditor-General reports (20%) and government focus areas (20%). As per the Intergovernmental Relations Framework Act of 2005, the PMDS is limited to national departments and applies to those located in the provincial and local spheres. While the PMDS model has existed since 2018, its implementation has been poor, with some departments and HODs failing to undertake performance assessments as required or within the stipulated timeframes (DPSA, 2017). This 142 challenge has rendered the model unhelpful in building service delivery capacity in South African public service. The proposed CSD model has a strict insistence on the procedurally correct implementation of performance management practices and, as such, has the potential for success. Reflecting on the crucial variables of performance contracting, Cheche and Muathe (2014) argue that they include performance management, performance measurement, commitment, and targets. Performance management essentially entails understanding the duties to be executed and how achieving the objectives will be measured (Armstrong, 2006). Therefore, the fundamental question is, what constitutes good performance management? Buytendijk (2009) contends that good performance management focuses on outcomes rather than outputs. The emphasis on outcomes rather than outputs is influenced by or aligns with the outcomes approach that has become prominent in public administration and management scholarship and is something towards which South African public service has moved. However, just like outcomes, outputs are a consequence or by-product of inputs, and the implementation of any programme is bound to lead to both outputs and outcomes. In an ideal world, implementing government policies and programmes would yield the desirable outcomes, but this is not the case in the complex real world. Accordingly, good performance management would be distinguishable by the successful implementation of policies and programmes, resulting in impactful outcomes, not necessarily the absence of undesirable outputs. Considering that it is equally logical to have a sense of the level of performance in relation to the implementation of service delivery initiatives, performance measurement is also built into performance contracting. Performance measurement can be defined as the process of determining achievements and shortcomings to provide feedback. Within the public sector, performance measures should be the collection of information or data that eventually feed into policymaking (Dooren, 2006). This is insightful and potentially helpful because policymaking tends to be based on the summation of national needs instead of considering the available capacity to implement the policies successfully. The proposed service delivery model also regards performance measurement as an important aspect of the actual policymaking, thus 143 creating the possibility that any public service that adopts it could tailor policies according to their strengths or even make interventions to improve the existing capacity. Another dimension of performance contracting as part of the proposed service delivery model is commitment. While commitment can be assumed as a precondition to realising anything in life, in reality, failure to implement policy programmes successfully may signal a lack of commitment on the part of the bureaucrats. Commitment is required from high-level or senior managers to ordinary staff for success in any organisation. It is identifiable by the existence of a “willingness to give energy and loyalty to the implementation process” (Cheche & Muathe, 2014). In order to ensure commitment, the performance contracting will also be imparted with rewards, which become effective the moment an employee or employees achieve the expected outcomes. This is intended to incentivise excellent performance that is outcomes oriented. The final dimension of performance contracting is the target, which will also be measured. Organisations pursue specific targets, and in the case of public sector organisations, allowing citizens to participate in setting targets will enable them to hold civil servants accountable for failure to achieve the stated targets. This is expected to compel public sector employees to improve their performance (Dooren, 2006). The figure below illustrates the core components of performance contracting, an element of the proposed service delivery model. Source: Author 144 Figure 6.2: Comprehensive Service Delivery (CSD) Model In the South African context, and specifically the country’s public service, the performance of senior public sector managers is managed through the annual performance plan (APP) framework. Through the APP, the government is supposed to be able to measure how employees have performed in fulfilling their work targets for a given year. However, implementing the service delivery model developed in this research study will put the DPSA in a position where it will be able to evaluate the performance of senior managers in the public service and how the performance has influenced the total organisational performance. This is crucial because the systems theory, which is the theoretical basis of this study, assumes a systems approach to institutional performance – the idea that the performance of all the branches and units or employees must be considered collectively, not in isolation. The performance measurement will require collecting performance information. This happens in the performance evaluation phase; the corporate strategy division of each department, agency or public enterprise collects and collates performance information which is eventually translated into quarterly performance reports. This is part of the performance evaluation at the institutional or organisational level. Related to but slightly different from performance information is financial performance. Every branch and unit or directorate has a budget tied to the execution of actions that are necessary for the realisation of the organisational goals and objectives. Senior managers provide quarterly reports on the financial performance of their divisions, and deviations in expenditure, whether in the form of over-expenditure or under-expenditure, constitute undesirable performance and will reflect in the financial performance report. The 1996 Constitution of South Africa empowers the Auditor General of South Africa (AGSA) to collect data and analyse and publish annual reports on the performance of national, provincial and local governments and public sector entities. Interestingly, the AGSA not only focuses on financial performance as contained in the financial reports of the entities but also on the attainment of strategic organisational targets set at the beginning of the financial year. Accordingly, a public sector organisation that spends within the limits of the provided budget but fails to achieve its 145 goals and objectives, translated into targets, would be considered to have failed. Considered collectively, the aforesaid lays the basis for the successful implementation of service delivery programmes. In addition, the employees in these organisations are the most pivotal resource as their performance influences institutional performance and, ultimately, the achievement of the goals. It is mainly for this reason that the proposed service delivery implementation model regards the capability and competence of employees as having a bearing on overall institutional functioning. 6.2.2 Service delivery improvement plans (SDIPs) In a drive to improve the provision of services to South African citizens, the DPSA has developed service delivery improvement plans (SDIPs) (DPSA, 2016). The key components of SDIPs, according to the DPSA, are service standards that each service delivery department must meet. These service standards must meet certain conditions, including that they must be (a) specific; (b) measurable; (c) achievable; (d) realistic; and € time-bound (DPSA, 2015). The vagueness of service standards may result in failure to meet or maintain the standards; as such, specificity in the standards pursued is crucial. For example, one of the standards for the Office of the Chief Justice (OCJ) is that the trial courts should strive to sit for a minimum of 4.5 hours per day, and all judicial officers should strictly comply with court hours, save where, for a good reason, this cannot be done. This standard is specific, and all judicial officers are correspondingly expected to uphold this standard to ensure the effective, efficient and expeditious adjudication and resolution of all disputes through the courts (OCJ, 2014). The same logic will apply to other government agencies and departments as they discharge the various services that underpin the reason for their existence. The standards must be measurable. The 1997 White Paper on Transforming the Public Service introduced the Batho Pele principles to guide public sector employees in executing their service delivery role and community interactions (DPSA, White Paper, 1997). As previously discussed (see Chapter 3, Section 3.2.1), the public service principles embodied in Batho Pele incorporate consultation, service standards, access, courtesy, information, openness and transparency, redress, and value for money (DPSA, White Paper, 1997). So, in terms of the SDIPs and, specifically, in relation to measuring service standards, the DPSA should develop systems to 146 measure adherence to the Batho Pele principles. The proposed service delivery model will encompass measurement instruments and bind public sector employees to meet the Batho Pele principles and the service standards embedded in each government priority focus or deliverable. While it is crucial to assist employees to realise their full potential in relation to workplace productivity, the model will be confined to achievable performance and outcomes standards, thus avoiding creating work-related stress and anxiety. Indeed, Boddy (2014:118) argues that organisations that overwork their employees beyond reasonable levels in pursuit of productivity may end up being less productive. Related to the aforesaid that standards should be achievable, is that they should also be realistic – if a department says that its employees must process 5000 applications a day, is such a standard realistic? The NDP outlines that by 2030 South Africa should have achieved a myriad of developmental objectives, including an annualised GDP rate above 5% and that 61% of the work-age population should be employed (NPC, 2012). However, it is now common knowledge that these targets are unrealistic due to various factors, chief among which is the lack of foreign and domestic investment in the South African economy. Accordingly, public service was set for failure in realising these development objectives for the simple reason that they were unachievable within the stated timeframe. The South African government is increasingly known for its inability to deliver infrastructure projects on time (Hofstetter, Bolding & Van Koppen, 2020). In particular, delivering bulk services – infrastructure necessary for water supply, waste management and municipal roads, among others – has proven difficult in recent years (Beyers, 2015:124). Therefore, the service delivery model imparts time boundedness as part of the service standards. This will contribute to the seemingly intransigent problem of failure to deliver bulk services infrastructure that afflicts the government. 147 Source: Developed by the author Figure 6.3: Service Delivery Improvement Plan (SDIP) for the Service Delivery Model Considering the pitfalls of setting service standards as examined above, the proposed CSD was crafted with awareness of these potential problems and to avoid subjecting civil servants to impossible standards for all intents and purposes. As a final point of departure, the approach detailed herein and part of the proposed model will remedy the confusion around performance standards, as one interviewee (see Chapter 5), interviewee C1, lamented overreliance on the APPs, as this was not incisive and undoubtedly insufficient. Figure 6.3 above depicts the constitutive elements of the service delivery model developed in this chapter. 6.3 THE NDP, DEVELOPMENTAL STATE AND INSTITUTIONS South Africa’s development vision is hinged on the NDP, which is centred on the notion of a developmental state as an instrument for positive social transformation. The key variables of the concept of a developmental state include that the state must have capable institutions (i.e., departments, parastatals, etc.), employees recruited and promoted based on meritocracy, and the bureaucracy should be apolitical (Mueller, 2009). The overriding objective is to position the state in a manner that would be able to play a substantively supportive role in shaping and directing the economy (Pepinsky, Pierskalla & Sacks, 2017:251). Accordingly, state institutions should be competent 148 enough to drive government policy to expedite economic growth, which South Africa sorely needs. However, the challenge is that state institutions tend to rely on networks to recruit, which often contradicts the idea of meritocracy-based recruitment (Pepinsky, Pierskalla & Sacks, 2017). Indeed, in South Africa, the governing ANC has been widely criticised for its ‘cadre deployment’ policy, which has generated corruption and incompetence across state institutions (Franks, 2014:52; Sebake & Sebola, 2014:749– 751). The influence of politics in the bureaucracy has compromised service delivery as competent officials were overlooked and not appointed to key and strategic public service positions. The proposed service delivery model views competency as the fulcrum of the recruitment system and as something that will ultimately translate into effective public sector institutions well-suited to execute government policies and programmes. Therefore, its implementation will also require a review of the cadre deployment policy, where an emphasis shifts from the deployment of uncommitted party members in public service to recruitment based on merit and commitment to serve. The National School of Government (NSG) currently fulfils the role of providing training to public service employees. It is an important ancillary institution, and its role dovetails neatly with the idea of capacitating public sector organisations through continuous staff training. As explained in Chapter 3, the NDP flows from the governing ANC’s manifestos, and the MTSF – a government five-year plan – is seized with the implementation (of the NDP). The MTSF is also narrowed down into seven priorities, which speak to all the possible sectors; from the achievement of a capable state, economic transformation and job creation, education and health, provision of quality basic services, addressing human settlement problems and improving local government, social cohesion and community safety, through to striving for a better African continent and the world (DPME, 2020a:12). Government departments, agencies and public enterprises are the implementing institutions for these mutually inclusive and linked policies and strategic plans. These institutions translate the MTSF into organisational goals and objectives. Of course, these also inform the vision and mission of each department, agency and public enterprise. 149 The preceding is subsequently taken into consideration when organisational performance targets are formulated. Once the organisational performance targets are set, senior managers (at the DGs, DDGs, chief directors and directors level) are then shouldered with the responsibility to achieve the stated targets. In terms of the service delivery implementation model developed in this study, a systems theory perspective should shape how the correlation between the various components is understood. As such, and at a narrower level, the targets of the different branches and units/directorates in every institution relate to one another. Therefore, coordination across the various branches of the system is necessary to achieve the goals and objectives of the institutions. Equally, and at a broader level, the model dictates that the different departments, agencies and public enterprises form a ‘macro system’ composed of interrelated components hinged on the NDP and the MTSF. These various components form the government, and the extent to which it can realise the aspirations espoused in its overall development plan/policy will largely depend on how these parts of the government system operate collaboratively. Source: Developed by the author Figure 6.4: Illustration of the relationship between components of the system Figure 6.4 (above) illustrates the relationship between the system components. As can be gleaned from the illustration, all the NDP implementing departments (Departments A, B, C and D) work together towards the achievement of the NDP goals. In the scenario conveyed by the illustration, the ministers of each department provide political 150 leadership as each department executes its share of responsibilities in pursuit of the NDP. Senior managers are located at the strategic level within the bureaucracy, providing leadership in the actual implementation of the departmental strategic plans that connect to the NDP and the MTSF in no uncertain terms. Accordingly, and as per the model, none of these work separately from the others, and their work feeds into each other and is coordinated meticulously, as the illustration emphasises. 6.4 INTERGOVERNMENTAL RELATIONS, COLLABORATION AND LEADERSHIP IN THE G&A/GSCID CLUSTER One of the recurrent issues in the interviews conducted was the ‘silo' mentality that supposedly permeates within the Governance and Administration (G&A) cluster, now referred to as Governance, State Capacity and Institutional Development (GSCID) cluster departments. A number of the interviewees lamented what they considered to be the absence of coordination among departments that, while separate, pursued overlapping goals. To address this problem, the model also proposes that collaboration is key for successfully implementing government service delivery programmes. Prefontaine et al. (2000:6) define collaboration for service delivery as denoting “the reciprocal and voluntary support that two or more distinct public sector agencies, or public and private administrations … provide each other in order to deliver a public a service, i.e., one that is part of the government mission.” Drawing from collaboration models, this model proposes that all the G&A/GSCID cluster departments with overlapping functions should collaborate based on an official written agreement for the duration of the implementation of the MTSF. In this context, the collaboration would be driven by the pursuit of improving service delivery in South Africa, which will eventually contribute to increasing the welfare of the country's citizens. Experts develop systems and models to solve certain social problems, challenges often stipulated in policy documents. People, not machines, are the ones that must use the systems and models to implement programmes to attain desired goals. This requires the people responsible for managing and implementing government service delivery mechanisms to possess specific fundamental leadership competencies. This is more so at the level of the G&A/GSCID cluster, where leadership in implementing government policies is expected and required. 151 The four proposed foundational competencies discussed in this section constitute a base or minimum requirement for inter-organisational leadership competencies because they include competency clusters that could be regarded as a standard frame of reference for the G&A/GSCID cluster regarding ‘values orientation’ and the differentiating value-add that each member should contribute in terms of expansive intra-organisational knowledge and skills. All four competency clusters are interdependent, and all have significance. As such, the order in which they are presented in the study does not (knowingly) imply variance in their usefulness. 6.4.1 Values orientation Values orientation as a competency emphasises a range of values considered essential for intergovernmental relations and collaborations in the NPM era and its emphasis on public values and democratic accountability (Van Wart, 2013:521). The values emphasised in the study encompass trust, accountability, ethics, integrity, respect, honesty, openness, empathy, commitment, ethics and respect for prescripts. Though not exhaustive, the values are aligned with the principles for a cooperative government, as stipulated in Section 41(1) of the Constitution (1996), and the values and principles that govern public administration across all spheres of government, as outlined in Section 195 of the Constitution, 1996 (South Africa, 1996). The values are pertinent at the intra-personal, intra- and inter-organisational layers and the broader public service system in general. This is highlighted by their articulation in the Constitution, 1996 (South Africa, 1996) and centrality in collaborations (Cristofoli et al., 2017), as well as relational conceptions of leadership (Van Wart, 2013; Broussine & Callahan, 2016; Crosby & Bryson, 2018). Since the research study emphasises the role of senior managers in leading the implementation of government policies and programmes, leadership as a phenomenon deserves mention. The study argues that the mentioned values are necessary to support the three leadership functions of complexity leadership theory because, in the public service context, it is essential to maintain stability and transform the system simultaneously. Administrative leadership, which supports formal operations and maintains organisational stability (Uhl-Bien & Marion, 2009), justifies the importance of “respect for and compliance with prescripts.” Equally, the role of 152 enabling leadership in creating, engaging and protecting an adaptive space (Uhl-Bien & Arena, 2018), such as the G&A/GSCID cluster, can be enhanced through the application of the values because high ethical standards, honesty, empathy, trustworthiness and integrity, are important when dealing with colleagues, stakeholders and topical issues such as corruption. In addition, several cited authors (Blandin, 2007; Connelly, 2007; Müller-Seitz, 2012; Williams, 2013; Endres & Weibler, 2019) attest that values such as trust, honesty, respect and humility are essential for inter-organisational collaboration and leadership. Likewise, multifaceted forms of accountability are integral to public administration leadership in democratic governance systems (Stoker, 2006; Denhardt & Denhardt, 2011; Getha-Taylor, 2012; Bryson et al., 2014). From the above analysis, the study argues that the values orientation competency cluster provides insights into the underlying content and operating conditions that support enabling leadership practice, which, according to Uhl-Bien and Arena (2018:89), is the most intangible and difficult to explain by those who practice it from the top, bottom or margins based on tacit knowledge (Uhl-Bien & Arena, 2017:17; Uhl-Bien & Arena, 2018:101). 6.4.2 Disciplined-agile behaviour The concerns and problems referred to regarding power relations and institutional domination indicate that inter-organisational structures such as the G&A/GSCID cluster are not naturally flexible as they constitute agents with a hierarchical and bureaucratic grounding, which highlights the significance of discipline and dynamism. In light of that, this competency cluster comprises the following inter-connected characteristics: flexibility and adaptability, diligence and compliance with prescripts, tolerance for ambiguity, and courage and persistence. In addition to the aforesaid competency characteristics, a number of scholars (Rodriguez et al., 2002; Beechler et al., 2004; Op de Beeck & Hondeghem, 2010) have equally referred to the values of tenacity, agility and courage when confronting complexity and inter-organisational leadership in the 21st century. The phenomena of discipline and agility may be construed as oppositional. However, they are complementary in network governance arrangements because 153 interorganisational networks such as the G&A/GSCID cluster do not supplant but rather coexist with other more conventional management and governance systems (Stoker, 2006; Christensen & Laegreid, 2010; Rhodes, 1996; Agranoff, 2017). The collective G&A/GSCID cluster leadership should balance stability, compliance and consistency with flexibility, adaptability and agility to ensure a seamless and effective implementation of service delivery programmes. These capabilities can be associated with critical leadership theory’s adaptive and enabling leadership functions and with critical leadership theory’s administrative leadership function. As noted by Probst et al. (2011:329) and Uhl-Bien and Arena (2018:92), ambidexterity in balancing efficiency and innovation, as well as stability and adaptability, depends on the development of individual and collective leadership ambidexterity across the organisation’s hierarchy and networks. This links to the idea of building capability in the state, the South African state, as espoused in the NDP (NPC, 2012). While leadership ambidexterity can be developed at the individual level, the study concurs that at the inter-organisational level, it is a shared capability (Probst et al., 2011:329) because it is unrealistic to expect a single person to master all areas of leadership in all contexts (Friedrich et al., 2011:39). The required skills and attributes illustrate the interdependency between this competency cluster with the values orientation competency cluster and cognitive and social skills. Furthermore, it illustrates the need for and role of critical leadership theory’s integrative leadership functions because, in the G&A/GSCID cluster, administrative leaders are also required to be adaptive. Thus, G&A/GSCID cluster members are responsible for managing the entanglement between their responsibility to maintain stability and the responsibility to pursue and support adaptation; hence, there is a need to develop diverse sets of leadership capabilities and the ability to use them appropriately in specific contexts. 6.4.3 Dynamic interactions and communication The dynamic interactions and communication competency cluster comprises the following qualities: self-awareness, self-management and maturity; inter-personal skills and values (listening, humility, empathy, compassion); communication (verbal and non-verbal, feedback); negotiation, mediation and conflict resolution; diplomacy; 154 stakeholder management; effective political-administrative interface; and multidisciplinary team leadership. The identified characteristics and interdependency analysis highlight the social skills, cognitive skills, values and technical knowledge dimensions of dynamic interactions and communication. Therefore, the study argues that the competency cluster is central to the conception of leadership as a social and relational process (Lichtenstein et al., 2006) and achieving intergovernmental relations (IGR) objectives. As stated by the study’s participants, communication is a means to share information and experiences, engage with internal and external stakeholders, and provide guidance and feedback. In the context of intergovernmental relations, the frequency and intensity of interactions between officials and spheres of government (Wright, 1978:8–9) influence the objectives of IGR (Wright, 1978; Watts, 2006). This is because networks require more than “signatory” participation; they require robust deliberations on the technical issues that are core to the underlying challenges (Agranoff, 2017:203). Accordingly, Mandell and Keast (2009) contend that interactions enable members within collaborative arrangements to leverage each other’s strengths. Authors such as Perry (1989:7) and Stoker (2006:41) emphasise the importance of relational competencies in intergovernmental relations and intergovernmental management (IGM). Contrary to the assertions made by the cited authors, the empirical results have shown that not all inter-organisational participation and interactions contribute to achieving intergovernmental relations objectives due to multiple factors. 6.4.4 Expansive intra-organisational knowledge and skills This competency cluster consists of a combination of knowledge, perspectives, skills and experience at multiple levels. At the personal level, it concerns a leader’s knowledge, experience and skills in a specific area or areas. The organisational level of this competency cluster includes a shared understanding, translation and implementation of the organisation’s mandate in relation to the constitutional, legislative and regulatory imperatives. At the system level, the competency deals with an understanding of the public administration governance system, as well as the utilisation of that knowledge for the effective management and leadership of the political-administrative interface at the intra- and inter-organisational level. This lends itself to and dovetails neatly with systems theory which advocates for an organisation 155 to be approached as a ‘living organism’, with each part and level of the organisation crucial to its functioning and achieving the stated goals and objectives. Due to the diversity of the agents within the G&A/GSCID cluster, the knowledge, experience and skills will be diverse because agents contribute unique knowledge, perspectives and capabilities (Sanders, 2014:141) but are also connected through the constitutional imperatives and cross-cutting legislation. This justifies the need for interorganisational leadership and dynamic interactions to develop collective leadership competence. At the intra-organisational level, the competency cluster is more aligned with the administrative leadership function, wherein the administrative head is responsible for creating an adaptive space that encourages distributed and bottom-up leadership, whereas, at the inter-organisational level, all three functions of critical leadership theory would be randomly distributed amongst agents with equal influence. The inclusion of a competency cluster, such as the G&A/GSCID cluster, confirms the assertion by Brookes (2007) and Koliba and Koppenjan (2016) that intraorganisational technical expertise is an essential determinant for effective interorganisational leadership. Furthermore, it contributes towards conceptualising leadership development for organisational adaptability by addressing the content dimension of leadership, which is not emphasised in critical leadership theory. Since the model is meant for application in bureaucratic organisations with formally defined mandates, processes and procedures, it should also be explicit about the perceived or actual role of technical knowledge and skills in relation to the administrative and adaptive leadership functions. Therefore, this competency cluster contributes towards understanding the prerequisite content of enabling leadership, which is derived from administrative and adaptive leadership. 6.5 BUREAUCRATIC POLITICS AND GOVERNMENT ORGANISATIONS As previously argued, the policymaking process unfolds within the institutional or organisational context where politicians interface with bureaucrats. Carpenter and Krause (2014:9–110) distinguish between principal and transactional authority in the context of the politician-bureaucrat relationship. Principal authority pertains to 156 unilateral control by political principals in the policymaking matrix. In this regard, politicians have the discretion to determine the amount of authority they can transfer to officials based on the level of “principal-agent policy congruence” within the organisation (Carpenter & Krause, 2014:9–10). Conversely, in a transactional authority scenario, both the political principal and the agent (official or officials) collectively deliberate and decide on the authority to be delegated to the agent. As such, substantive power in the policymaking process resides at the principal authority level more than in transactional authority. Necessarily, this has implications for the senior public service manager’s ability to influence policy implementation and outcomes; the amount of authority delegated to them by political principals will likely determine their success in driving policy implementation. Tensions between principals and agents may sometimes arise in relation to the use of the authority delegated to the agents by the principals. The present electricity crisis in South Africa, underscored by the power utility’s (Eskom) implementation of ‘rolling’ power cuts, is an apt example. The Minister of Energy, Gwede Mantashe, has criticised Eskom’s management for implementing severe electricity rationing, arguing that one of the management’s mandates is to prevent power cuts. The above is a clear case of an attempt by the principal authority to direct the behaviour of agents. However, ‘bureaucratic drift’ occurs some of the time, with public agencies exploiting their information advantage to deviate from the course of action expected from them by the political principals (Carpenter & Krause, 2014:11). In the Eskom example, politicians who lead the government prefer the elimination of power cuts, but agents within the utility have been able to use their access to information about the problems confronting Eskom to argue that power cuts are unavoidable, thus ramming them down the throats of the principals. Welch (1992:116–117) focuses on the organisation of government, arguing that it consists of a conglomerate of organisations, with political leaders at its apex. The organisation's functioning relies on individuals who are part of it, and coordination of the behaviour of these individuals is necessary for the organisations to perform complex operations or tasks. Leaders at the top of government organisations bargain with other individuals in a competitive political game scenario, which is how 157 governmental decisions are made. The political gamesmanship may extend beyond the initial decision-making stage and encompass the implementation phase. Therefore, bureaucratic politics permeate through government organisations; policymaking and trade-offs are constantly made by political principals and organisational agents. Clearly, political principals have the upper hand over agents concerning the distribution of power in the institutional milieu. This may appear problematic because it is the public service officials (agents) who actually execute policy; therefore, why not confer more substantive power upon them compared to the politicians? Unfortunately, as Moe (1995:120) contends, public authority flows from constitutions and statutory prescripts that place politicians at the top of the hierarchy of governmental organisations. In democracies, politicians are elected by the public and mandated to form governments to pursue the collective interests of the people. The public authority entrusted to politicians allows them to impose decisions on others; within government bureaucracies, agents are often legally bound to oblige by the preferences of political principals. Using the public authority vested in them, politicians use various methods, including creating governance structures that allow them to exercise control over agencies and appoint senior officials that enable them to control bureaucracies. It is in this environment that senior managers operate and must find ways to negotiate and bargain for the delegation of authority that is necessary for them to carry out their policy implementation work. 6.6 THE DPSA AND ACHIEVING EFFECTIVE PUBLIC SERVICE THROUGH THE MODEL The service delivery model developed in this study attempts to resolve one of the perennial challenges that have afflicted South African public service; lack or poor service delivery. The developmental challenges that South Africa faces are complex and intractable, but the government has the daunting responsibility of addressing and overcoming them, as proclaimed in the 1996 Constitution and the NDP (Constitution of Republic of South Africa, 1996; NPC, 2012). For example, the post-apartheid South African government has the most extensive public housing programme in the world. It has delivered over four million housing units to people experiencing poverty and the 158 working class since 1994. Nonetheless, despite this extraordinary achievement, housing shortages remain one of the many prominent problems that encroach on the Bill of Rights and the right of citizens to a decent shelter, as espoused in the 1996 Constitution. The post-apartheid era has seen government formulate and adopt a succession of development policies. From the Reconstruction and Development Programme (RDP) of 1994, the Growth, Employment and Redistribution (GEAR) strategy in 1996, the Accelerated and Shared Growth Initiative for South Africa (ASGISA) in 2004, through to the New Growth Path (NGP) in 2010, indeed democratic South Africa’s quest for a development plan has been a convoluted and difficult one. The RDP policy was mainly concerned with the redistribution of resources to redress the apartheid legacy of discrimination, while GEAR concerned itself with “macroeconomic stabilization and economic growth by lowering the country’s budget deficit and reducing inflation and redistributing economic resources by creating employment opportunities” (Burke & Kock, 2008:2). The ASGISA called for significant government investment in infrastructure and education and skills, and for addressing the problem of the ‘second economy’ (economic marginalisation, poverty and social alienation) amongst others, while the NGP was primarily concerned with improving the performance of the economy through eliminating regulatory obstacles and skilling South Africans (Republic of South Africa, 2008; Republic of South Africa, 2010). In hindsight, all these plans have failed to achieve their stated objectives. In 2010 the South African government, under then President Jacob Zuma, established the National Planning Commission (NPC) to map out a comprehensive, long-term national plan for South Africa. The NPC was mainly comprised of senior government figures, businesses, and academia; former president Zuma appointed the then Minister of Finance, Trevor Manuel, as the first chairperson of the NPC. Amongst the NPC’s responsibilities were to conduct frequent consultation engagements with different societal stakeholders on issues relating to the development of South Africa, undertake development planning, and advance the implementation of the NDP (NPC, 2012; Hoskins & Karriem, 2016:15–16). The national plan resulting from the aforesaid policy formulation initiative is the NDP, a blueprint of the steps the South African government 159 and society, in general, must take to ensure that the country reaches certain levels of development (NPC, 2012). The NDP is a broad and overarching plan informed by a vision of what South Africa should look like by 2030, and it also puts a capable public service at the centre of achieving a developmental state. Relating to their viewpoint on a capable and developmental state, the NPC commissioners observed in the plan that "there is a real risk that South Africa’s developmental agenda could fail because the state is incapable of implementing it. The Commission makes far-reaching institutional reform proposals to remedy the uneven and often poor performance of the public service and local government” (NDP-2030, 2012:44). Therefore, the NDP took the position that a sufficiently capacitated and capable public service was central to implementing the plan and, ultimately, the realisation of the imagined future concerned. The model created in this chapter, it is hoped, will eventually ensure that the requisite policy programme implementation capacity is realised, translating into the successful execution of development and infrastructure projects and service delivery generally for the betterment of South Africa. The role of the DPSA is to achieve public service and administration that is professional, productive and responsive to the needs of South Africans (DPSA, 2022). It states its mission as incorporating the creation of norms and standards to foster an effective public service; enforce those norms and standards; and make interventions to sustain a compliant and functioning public, among others (DPSA, 2022). As such, its role is to exercise the overall management of public service, ascertaining that it pursues government policies and programmes in a manner consistent with the spirit and letter of the 1996 Constitution of the Republic of South Africa. In light of the fact that the South African government has performed poorly in pursuing or achieving its development goals and objectives espoused by policies such as the RDP, GEAR, ASGISA, NGP and NDPA, the implementation model for service delivery crafted in this study is advanced as a possible intervention that government can make to address the persistent policy and programme implementation failures. 6.7 CHAPTER SUMMARY This chapter sought to formulate a service delivery model for South African public service. The creation of the model was informed by the assessment that revealed that public service has repeatedly fallen short insofar as the implementation of service delivery programmes is concerned, thereby affecting South Africa’s development 160 agenda. At the core of the proposed model are public sector employees and the capabilities they must possess to execute their service delivery role effectively. The model is centred around performance contracting, comprising performance management, measurement, commitment, and targets. The ultimate goal is an outcomes-focused work ethic, as opposed to mere output. By subjecting well-trained (academically qualified) and experienced employees, especially at the level of managers, to performance contracting that is grounded on the four above-stated elements, South African public service would be able to reduce non-achievement in relation to the implementation of public sector programmes and significantly improve service delivery, thus truly putting South Africa on a developmental trajectory, as envisioned in the NDP. The ensuing chapter evaluates what was discussed and the arguments made in the thesis and assesses how the research question was answered. Moreover, it provides a conclusion for the research study as a whole and outlines recommendations that have theoretical and practical relevance. 161 CHAPTER 7 DISCUSSION OF FINDINGS, RECOMMENDATIONS AND CONCLUSIONS 7.1 INTRODUCTION The primary objective of the research study was to determine a suitable model for delivery agreements in the DPSA and other departments in the G&A/GSCID cluster. Indeed, the study developed the CSD model as a tool that could assist with implementing a delivery agreement that commits the abovementioned departments to build an effective and efficient public service. Chapter 5, which presented the findings of the interviews, contained perspectives from senior public service managers that overwhelmingly underscored the need for an alternative service delivery model, which the CSD model is. The model presented in Chapter 6 strives to create a meritocratic, effective and efficient South African public service. The study examined the government’s various interventions to build capacity in the state and focused on public service performance in implementing various policies since 1994. The foregoing was an interlude to developing a model to improve public service. As the final chapter of the research study, this chapter revisits the key themes of the study. It looks at the systems theory adopted as the theoretical lens for the study. It re-emphasises that the systems theory was appropriate for examining and understanding how an organisation or institution should be structured and function. Moreover, the chapter also relooks, one last time, at the model for a service delivery agreement proposed in the study and reasserts that the model will assist the DPSA in building public service capacity, something necessary for South Africa to pursue its developmental agenda. Every study also contributes to the research field within which it falls, and this chapter also explores the ontological and epistemological contributions of the study to the field of public administration and management. This was important considering that academic research demands that every research study must make an impact in terms of enriching the existing literature within the field. Its practical relevance, as anchored on the model, is also explored in this chapter. Furthermore, this chapter determines and lists several recommendations for future research. These recommendations are 162 based on the perception of what the study did not cover or address in detail or on identified gaps that became apparent as the study progressed that may be of interest in the field. 7.2 THE IMPORTANT THEMES THAT DOMINATED IN THE STUDY South Africa will be marking three decades as a democracy in 2024. However, serious socioeconomic challenges persist, like the lack of jobs, lacklustre economic performance and poor service delivery, and in some instances, even becoming worse. The state's role through public service would be central to any reflections on how to respond to and address these problems. Connected to the foregoing is the question of capacity in the state in general and the public service in particular. This research study sought to develop a service delivery model to improve public service capacity to implement government policies and programmes successfully. Therefore, the generic focus that was imperative was how well the DPSA has performed in building capacity within South African public service. Considering that the public service comes from a colonial and apartheid past, where it was designed to serve the needs of a small section of South Africa (the white population), the question of transformation and reform was equally pivotal to the imperative of building capacity. The DPSA is part of the then G&A cluster, now referred to as the GSCID cluster, which includes a number of other departments, such as the DPME, and is seized with matters of public service performance. Accordingly, the primary research question the study sought to answer was what the ideal model for a delivery agreement in the DPSA and other departments in the G&A/GSCID cluster could be. Of course, the research question was itself informed by the recognition and appreciation that an appropriate service delivery implementation model was absent (sector delivery agreement) that would assist with the execution of government policies and programmes, as informed by the MSTF, the NDP and other relevant policy prescripts. For the research question to be answered and to simultaneously address the research problem, the study pursued the stated aim: to examine the DPSA’s implementation of SDA Outcome 12, with the ultimate aim of crafting a model for sector delivery agreements. This necessitated exploring and analysing pertinent concepts such as public administration and management, systems theory models, the new 163 public management, service delivery, sector agreements, performance management, and other related concepts and ideas within the field. This was what Chapter 2 focused on, forming the conceptual basis and anchoring for the study – for without a conceptual or theoretical framework, it is impossible to engage in any productive scholarly grounded analysis of a matter. In addition, the DPSA and public service, in general, were examined, focusing on and tracking the transition from apartheid to post- apartheid, with a more apparent concentration on the latter. Therefore, the successes, failures, challenges and prospects were revealed. As the thesis attests, this formed the study’s contextualisation dimension and was packaged in Chapter 3. Combined, the theoretical and contextualisation chapters of the study set the tone for what followed, the methodology, presentation and analysis, and development of a sector delivery agreement or service delivery model. Chapter 1 of the research study outlined the study’s research question, problem, aim, and objectives. Moreover, it also provided the rationale for the study, informed by the desire or necessity to create a model that would assist in building capacity within South African public service to improve the delivery of services and goods to the country’s citizens. As a chapter that offered a glimpse of the thesis structure, it also provided the research study’s structure regarding the number of chapters contained therein, with a parsimonious outline of each chapter’s focus. Chapter 2 laid out the conceptual basis of the study. Systems theory was described and analysed, examining its nature, particularly its argumentation on organisations or institutions. Systems theory holds that an organisation must be approached holistically, as an organism, for example. An organisation like a government department should be approached and treated as a whole, meaning that in implementing a policy programme, for instance, all units/directorates and employees within the department must perform excellently for the department to implement a policy programme successfully. Organisations embrace societal demands from within the social environment – in the case of government departments, this refers to the demands about service delivery from communities – and this situation is underscored as constituting isomorphism in terms of systems theory. The systems theory treatise on organisations was adopted to facilitate analysis and, crucially, develop the model that 164 the research study advances. Public policymaking is an activity that essentially forms a government’s response to social problems; it is an attempt to address the social needs of society. It is the fulcrum of what public administration and management as a field and practice is concerned with, and the existence of modern governments hinges on it. Performance management, especially performance contracting, has emerged as one of the preponderant ways through which governments have attempted to build and inculcate efficacy insofar as policy programme implementation is concerned. It is an accepted wisdom within the public administration and management field that service delivery execution relies on the capability of the institutions tasked with such responsibility. South Africa has been a democracy for 28 years, having dismantled the apartheid regime in 1994, ushering in a multiracial democracy. The previous apartheid government was anchored on racist policies, and public service was correspondingly discriminatory in its service delivery role; only whites were recognised as the legitimate and rightful claimants of services from the state. Therefore, the post-apartheid civil service had to discard this discriminatory practice and extend services to all South Africans, regardless of race, as provided in the 1996 Constitution of the Republic of South Africa. Expectedly, this change in orientation and role of the state pertaining to the provision of welfare to citizens heralded several implications, as discussed in Chapter 3. These included that public service had to be reformed in terms of the staff composition – employing or promoting individuals from previously disadvantaged groups – and in terms of its mandate – to extend services to groups excluded during the apartheid dispensation. The chapter tracked and examined this journey that the South African public service went through, pointing out that in certain instances, the reform initiative resulted in the exodus of experienced and skilled practitioners, particularly white employees, affecting the state’s ability to execute its expanded role. From the RDP, GEAR, ASGISA, and NGP through to the NDP, the ANC-led government has developed a multiplicity of policies to move South Africa forward. However, the institution that had a natural responsibility to implement all these public service policies proved limited. Since the G&A/GSCID cluster, chaired by the DPSA, was and continues to be the government structure tasked with ensuring public service 165 optimisation, the study investigated the possibility of developing a model to improve the provision of timely and quality public services. Methodology concerns itself with ‘how’ to undertake research, and this research study’s methodology was discussed in Chapter 4. It was established that a qualitative approach was the appropriate research design for the study, given its hermeneutic utility – allowing for rich analysis and interpretation of phenomena. Accordingly, both secondary and primary data were used. The secondary data was mainly composed of scholarly literature ranging from theoretical and conceptual discussions of relevant ideas like models, systems theory, and public service, among others, while primary data was sourced from related documentary evidence mainly emanating from government institutions and the governing ANC, and more centrally, from interviews that were conducted with senior government officials, or public service employees. This constituted how the research study was undertaken. Chapter 5 presented and analysed the study findings, emphasising the interview findings and the analysis of the implication of these on the research problem, research question and aim of the study. An overwhelming number of the interview respondents expressed that the G&A/GSCID cluster needed a model or a system that would enable it to effectively build capacity in public service and improve coordination concerning the implementation of government programmes across the board. Necessarily, the formulated model responded to this challenge and developed a delivery agreement matrix focused on enhancing institutional and individual performance, an intervention considered significant for building service delivery capacity within the state. This model was presented and discussed in Chapter 6. Chapter 7 presented the study’s overall evaluation, recommendations and conclusion. It evaluated the study findings, its significance in terms of epistemological and ontological contributions to the field of public administration and management and practical relevance in terms of improving public service. 7.2.1 The main objectives and sub-objectives of the study The study was guided by the main objective and the sub-objectives. 166 7.2.1.1 The main objective The study's main objective was to ascertain the best model for the delivery agreement in the DPSA and the government departments within the G&A/GSCID cluster. Therefore, the reader can deduce from the main objective that the research study’s primary aim was to establish whether an appropriate model for a delivery agreement for the DPSA and the G&A cluster could be uncovered. The post-apartheid government under the ANC has sought to build a developmental state suitable for undertaking social transformation. Necessarily, public service becomes very central to this mission. 7.2.1.2 The sub-objectives of the study i. To analyse the historical role of the DPSA and how it has been implementing its policy mandate; ii. To explore the types of variables influencing performance contracting in the relationship between the DPSA and the government departments in the G&A/GSCID cluster; iii. To present a recommended model that could enhance the implementation of the sector delivery agreement in the G&A/GSCID cluster. Supplementary and related objectives of the study were also set out as indicated above. One of the stated supplementary objectives was that the study would examine the historical role of the DPSA in implementing its policy mandate. It was uncovered that while the ANC government has adopted a succession of progressive policies, public service failed to implement them as envisioned. This resulted from capacity and effectiveness limitations in public service, which meant the DPSA had fallen short in developing and evolving an effective public service. Another objective was to investigate the variables influencing performance contracting between the DPSA and G&A/GSCID cluster departments. As many of the interviews indicated (see Chapter 5), the G&A/GSCID cluster had degenerated over the years into a type of meaningless ‘talk shop’, affecting its ability to devise, assess and evaluate the implementation of measures necessary for building capacity in the public service. Another problem was that performance contracts were not signed on time or assessed as they should have been by people tasked with that responsibility. The CSD model requires clinical implementation in all its dimensions to succeed. Chapter 6 created and presented the 167 CSD model as a service delivery tool that the DPSA could use to build a capable public service, as the final sub-objective sought. The discussion of findings of the study below is based on the above presuppositions. 7.3 DISCUSSION OF THE RESEARCH FINDINGS As it would be discoverable in the perusal of Chapter 6 of the research study, the study’s overall findings were presented and analysed in this chapter. However, as a definitive summative chapter (Chapter 7) for the study and as a section on primary findings, this section revisits the findings of each chapter, as opposed to the general discussion in each chapter, and packages them in a condensed, brief and conclusive way. Nonetheless, instead of constructing a chapter-by-chapter summary of findings, the focus will be limited to the key variables of the study, as informed by the research question and aim of the study. 7.3.1 Theme 1: The best model for a delivery agreement Human beings are crucial variables in an organisation or institution. South African public service, or any public service for that matter, is anchored by individuals in the form of employees. Therefore, the ability of public service to execute policy programmes in pursuit of service delivery goals is hinged on the performance of the employees, especially senior employees, who lead and manage various departments, agencies, directorates and units tasked with the implementation of policy programmes. As emphasised in the research study, South Africa’s public service has fallen short of meeting policy expectations. This connects to the question of public service capacity, which speaks to both institutional and individual performance. The proposed delivery agreement model necessary for improving public service capacity arrived at several findings. Firstly, senior managers within public service shouldered with the responsibility of implementing government policy programmes must be appropriately qualified, experienced and committed. This has implications for recruitment practices; the ANC government has gained infamy for its cadre deployment policy, which has been viewed as problematic as it sometimes deploys party members in senior government positions who lack commitment, academic qualifications and work experience. So, the model developed in this study requires that the aforesaid practice 168 be ceased if South African public service capacity is to be enhanced to efficaciously execute its service delivery role in the pursuit of the country’s development goals and objectives. Secondly, concrete steps should be taken to reward good performance and punish poor performance, both at the institutional and employee levels. At the institutional level, the AGSA office releases annual audit reports of the financial and policy execution performances of departments and state agencies. These reports are publicised, which may pressure institutions that did not perform well to improve their performance. However, beyond the symbolism, no concrete steps can be taken to punish institutions for poor performance. The model proposes political accountability on the part of the political principals (ministers) who head failing departments, i.e., removal from office, and the senior managers whose divisions have failed to deliver. At the individual level, performance agreements bind managers to attain specific organisational goals and targets – failure to achieve these must trigger a review of their employment contracts. Successes in the implementation work must be rewarded through promotions and financial incentives, among others, to inculcate a culture of excellence and performance in South African public service. The preceding findings are related to measures that must be implemented to improve individual performance in public service. However, because the individuals and their preparedness and performances are not the sum total of what is required for service delivery, there is also the medium within which the work unfolds, the institution, which the study also looked at and had findings on institutions and organisations. This was primarily extrapolated from systems theory. The finding on this was that organisations are like living, functional organisms whose composite parts must function optimally in order for the organism to be considered healthy and fit for purpose. Therefore, and as an example, an organisation must ensure that all the institutions and units that make up the whole perform in accordance with the set standards for it to meet the expectations that gave rise to and justifies its existence. In the context of South Africa, the phrase ‘public service’ refers to all the organisations and institutions that make up the bureaucratic apparatus of the state – the departments, the agencies, the public enterprises, and the justice administration organisations. Accordingly, and as per the 169 proposition of systems theory, all these institutions must function effectively for South Africa to possess a capable public service suitable for the pursuit and execution of government policies and programmes. 7.3.2 Theme 2: The Governance and Administration cluster/Governance, State Capacity and Institutional Development cluster The G&A/GSCID cluster is a crucial fulcrum of the public service, being the platform through which service delivery departments interface and coordinate policy implementation. As previously highlighted, the DPSA is the chair of the G&A/GSCID cluster as the department responsible for public service administration. Therefore, implementing SDA Outcome 12 fell on the shoulders of the DPSA. SDA Outcome 12 was intended to assist with building state capacity by empowering public service with the skills it needs to implement public policies. In light of this, the research study examined the implementation of delivery agreements by the DPSA and other departments like the Department of Justice and Constitutional Development and the Office of the Chief Justice. However, this undertaking was intended mainly as a background, as the ultimate focus of the study was to formulate an alternative service delivery model with the goal of capacitating public service. As a recap, SDA Outcomes 5 and 12 were identified as government interventions that focused on building public service capacity and a capable state. In terms of their goals, SDA Outcome 5 sought to develop skilled public service personnel to pursue the ideal of a developmental state, leading to inclusive socioeconomic development. Regarding SDA Outcome 12, it obligated the DPSA to lead government efforts in establishing an efficacious, developmental public service that would, as in the case of SDA Outcome 5, position the state to play a positive transformative role in society. Accordingly, the CSD model formulated in this study was a response to these outcomes, especially Outcome 12 and is the researcher’s contribution to the efforts to capacitate South African public service in pursuit of the NDP. Interestingly, SDA Outcome 12 problematised the centralisation of decision-making powers in the hands of one individual, pointing out that this blunts public service. This is interesting because the case of the minister and the DG of the Department of Human Settlements referenced in this chapter indicates that the minister's power as the 170 department's political principal was abused to ostracise the DG, something that affected the functioning of the department. The DG is the most senior bureaucrat and the accounting officer in the ministry. He is responsible for organisational performance; hence his undermining by the minister does not auger well for the Department of Human Settlements. As was the case with the poorly implemented PMDS model of the DPSA, the CSD model equally expects HODs, deputy directors-generals and chief directors to be involved in the recruitment processes of staff, especially in terms of structuring performance agreements and undertaking periodic performance assessments. As the coalface of public service, the G&A/GSCID is a pivotal layer for creating and cementing public service effectiveness and efficiency. The DPSA determines performance systems and models, and the DPME focuses on performance, monitoring and evaluation. The work of the G&A/GSCID is grounded on and informed by the pursuit of Outcome 12, and the CSD model contributes to the achievement of Outcome 12. However, national departments primarily proffer strategic guidance, with the actual service delivery implementation being executed by provincial and local spheres of government. In cases where national departments take the lead, there is significant collaboration and coordination that involves provincial and local governments. Hence, the COGTA’s DDM was conceived to enhance the intergovernmental interface between all three spheres of government. From time to time, the G&A/GSCID cluster coordinates and monitors the implementation of the DDM. The addition of the CSD model would only increase the chances of the DDM’s success. 7.4 CONTRIBUTIONS OF THE RESEARCH STUDY Among the research study’s epistemological contributions are elucidating and reaffirming the reasons public policies are formulated. Indeed, public policies are a response to social problems or issues; however, the extent to which they resolve the challenges depends on implementation or execution. This study established that systems and models have become prominent in public administration and management as governments and societies strive to perfect governance. The post- apartheid South Africa is a relatively new society, having emerged in 1994, and the study makes understanding the nature and extent of the gradual metamorphosis of the 171 country’s public service easier. It uncovered that as the ANC-led government realised the disjuncture between its policy vision and practical implementation, it began to open up to the idea of public service as a ‘science’. The government restructuring after the 2009 general elections marked a turning point, as the focus shifted from preoccupation with policy outputs to outcomes. Conversations about the best public service system or model became commonplace. The CSD model formulated in this study contributes to this discourse about finding a suitable model of organisational performance in public service. The search for the most effective ways to manage public administration was not only limited to practice, that is, confined to the realm of government, but also extended to academia or scholarly research. The world of epistemology in South Africa also embraced the new public management (NPM) wave that emerged in the 1970s in the Global North. Scholars like Thornhill and Van Dijk (2010) and Cloete (2001) had influences of NPM in their writings but with a particular emphasis on the South African context. This study also contributes to the NPM discourse unfolding in the South African scholarly environment. Moreover, the broadness of policy was affirmed in the study, particularly its shift from a focus on development to sustainable development, underscored by the simultaneous focus on environmental, social and economic factors. In this sense, governments pursue policies aimed at addressing social and economic problems in a way that does not harm the natural environment. Indeed, environmental sustainability considerations have become important in South African public service and its work. By its nature, public management as a practice is complex and multifaceted, and expectedly, this sophistication poses challenges to senior managers (i.e., HODs, deputy directors-general, chief directors and directors) and ordinary public service employees. It is complex in that the implementation of planned programmes might not produce what was intended in the policy objectives and aims, and by implication, the problems the programmes sought to address, remain unresolved. For example, COGTA has developed the DDM to improve municipalities’ service delivery performance; however, many municipalities continue to fail to provide water 172 to their residents, fix potholes and undertake refuse collection. This points to a scenario where the DDM has not been practically implemented as envisioned on paper, the conceptualisation-implementation gap. The CSD model responds to this poor implementation problem by outlining guidelines to identify and remedy poor performance. Programme management is a crucial and natural dimension of programme implementation as part of the broader policy implementation. At its core and as manifested in practical terms, programme management entails the ordering of an array of interrelated projects, tasks and actions to achieve policy objectives and goals. Furthermore, coordinating the projects, tasks and actions to realise policy goals is another indispensable aspect of programme management. Coordination is crucial because it ensures the synergy of unfolding activities. Indeed, many of the interviewed research study participants bemoaned the absence of coordination or its inadequacy in implementing government policy programmes, stating that the G&A/GSCID cluster has degenerated into a meaningless ‘talk shop’. Programme management is undertaken by people, and in the case of government departments, by senior staff like HODs, deputy directors-general, chief directors and directors. For this reason, among others, the CSD model emphasises the skills and experience of people employed at this level as necessary to policy implementation and, ultimately, organisational performance. Public policy is a form of law, and the CSD model will have quasi-legal enforcement if the DPSA adopts it, as it will define employment contracts for senior public sector managers. The mid-term performance review and the annual performance assessment would allow senior managers to make informed decisions on whether the performances of staff are aligned with the expectations imposed by the CSD model and take necessary steps to safeguard or improve organisational performance. In this sense, HODs, deputy directors-general, chief directors and directors of government departments would become the leading implementers and drivers of policy programmes and be responsible for the performance of their divisions or branches and, ultimately, the overall performance of their departments. 173 The study explored and examined systems theory and its treatise on organisations and how they should operate. While systems theory is an established theory, the study applies it to the field of public administration and management, thereby contributing to literature concerned with how the theory can be wielded in relation to theorisation about public service. Moreover, the study investigated the relationship between systems and institutions and established that institutions are platforms within which systems of governance, in the context of public service, are formulated and actioned. In South Africa, the institutions in question would be departments, state agencies and public enterprises, and the G&A/GSCID cluster would be one of the governance systems to implement the NDP in the case of the present administration. Institutional structures exist to provide codified rules that determine and condition the conduct of actors that operate within them. Accordingly, performance obligations and expectations, both at the organisational and individual levels, in terms of South African public service delivery goals, would be dictated by the prescripts of the model for service delivery agreement as proposed in the study. Of course, policymaking as a continuum is central to what state institutions do. The study also contributes by asserting that the activity of policymaking is not necessarily the exclusive reserve of government but also other state institutions, like the judiciary and legislature, and that the type of political system has implications for the policymaking process. This expands and enriches the existing literature focused on theorisation about policymaking. The systems theory’s explanation of organisations was particularly insightful and helpful in the research study. Regarding the theory’s perspective on organisations, South African public service and its institutions are entities viewed as open to the milieu within which they are positioned. This has several implications, including that the organisations’ boundaries would be pregnable and not sealed off from the surrounding environment. This would logically permit resources and information to shift in and out of the organisation. As such, the immediate environment that encircles the organisation would be critical to the organisational system, to its life and vibrancy. As with most public services in the world, South African public service is extensive, composed of national, provincial and local departments, but the DPSA is tasked with 174 managing and overseeing its operations. These departments are considered collectively and viewed as forming a single public service system. The foregoing alludes to a two-tier environment-organisation scenario – on the one hand, there is the social and political environment within which the organisation is located. On the other hand, there is the institutional environment, the public service environment where the organisation exists with other organisations and establishes crucial relations. In this context, the departments would have interdependence within the public service environment and would be defined by the existence of interconnected relationships that influence the departments, their work and their ability to achieve their objectives and goals. Since environments can be unpredictable at times, leaders of organisations develop systems and governance models, which essentially constitute guidelines for what to do to achieve certain outcomes. The CSD model will serve this purpose; addressing capacity problems with the expected result of enhanced service delivery to South Africans. The idea of ‘holism’ propounds that organisational systems should be approached as a whole and is particularly relevant to the DPSA. Of course, this understanding flows from systems theory, as discussed in Chapter 2 and Chapter 6. As pointed out throughout the study, the DPSA is responsible for ensuring that public service has the capacity to execute government policies. Indeed, it was for this reason that the G&A/GSCID cluster was established and that the DPSA acts as its chair – to approach government as one coherent system. So, the underperformance of one or more departments negatively impacts public service’s ability to achieve policy objectives and goals. This results in ‘negative feedback’ interference in the system, meaning organisational processes are disrupted and envisioned outcomes are uncertain. While the CSD model is not presented as the complete panacea for plugging public service capacity gaps, its meticulous implementation – based on the holism thesis – can enhance government organisational processes and, consequently, provide better organisational performance. Systems theory is rich and complex, as the ideas of negative and positive feedback allude. In the context of organisations, negative feedback indicates a scenario whereby the system transfers feedback intended to remedy a deviation or an aberration in the 175 system’s processes to re-establish the original system process as the organisation pursues its goals. Pertaining to positive feedback, it alludes to the changes that occur in the system, which are geared toward improving existing system processes to sharpen the organisation’s ability to pursue its aims. Since 1994 the South African government, in general, and the DPSA, in particular, have made many interventions to improve the system of governance and public service, like the introduction of the DPME in 2010 and the PMDS in 2018, to improve public service performance. Accordingly, the CSD model proposed in this research study needs to be understood as a form of positive feedback, as an intervention intended to build capacity in the system of government for South Africa to achieve its NDP goals. The research study examined models at a generic level, eventually formulating the CSD model, which can be used as the basis for a service delivery agreement in South African public service. The DPSA must strongly consider adopting the CSD model developed in this research study as its blueprint for building capacity in public service. The model is multi-faceted in that it focuses on the building of both the capacity of government employees, especially senior managers and that of state institutions. It is expected that implementing the CSD model will result in significant improvement in organisational performance across the public service sector; the human capacity that the model fosters will contribute to organisational performance. However, as the case of PMDS highlights, a service delivery model adopted by the DPSA in 2018 attests that for the CSD model to succeed, the DPSA must ensure strict implementation. Unlike economic models that emphasise the cost-benefit rationale in terms of finances, the cost-benefit rationale of political models is not only viewed through the prism of finance but also through that of broader issues in society like unemployment, crime, health and other similar matters. Indeed, the motivation to develop the CSD model emanates from recognising the inadequacy of the existing models, particularly their failure to assist the DPSA in building strong capacity in South African public service. The political system model developed by Easton and discussed in Chapter 2 is one of the models that are often used to untangle the policymaking process. The abovementioned model proceeds from the widely shared conception of a political system, that is, a system made-up of tangible organisations, institutions and activities 176 that are interrelated and which make consequential decisions with the force of law behind them. As the systems theory charges, people in society feed demands into the organisations that are part of the political system, and in response, the organisations convert these demands into policies and programmes aimed at addressing society’s concerns. As the bureaucratic politics and organisational processes theory highlights, tensions sometimes arise between political principals and their senior staff, negatively impacting the functioning and work of departments. South African public service finds itself experiencing these problems from time to time, with the ongoing standoff between the minister and the ministry’s director-general (DG). As a result, the DGs is suspended or side-lined in the department's work, with the ministers allocating work that usually falls in the purview of the DGs to junior staff within the ministry. This affects the functioning of the departments and creates negative feedback on the implementation of the department’s service delivery programmes. Meanwhile, the departments and many other senior bureaucrats in a similar situation continue to receive employment benefits while not being productively used for public service. Aside from the unproductive use of financial resources emanating from interference between bureaucratic politics and organisational processes described above, public service is robbed of essential skills, as these are usually experienced and skilled bureaucrats. Therefore, cushioning departmental functionaries from excessive political meddling is crucial and would improve public service productivity. 7.5 LIMITATIONS OF THE STUDY The identification of the possible parameters of the study commenced during the initiation of the research question, and the study data was collected from the documents and deliberations about service delivery in South African public service. Thus, the study is limited to the DPSA’s sector delivery agreement and the DPSA’s obligation to support the departments in the G&A/GSCID cluster based on their legislative mandate and the support it provides to the G&A/GSCID in the implementation of the service delivery improvement plans and organisational transformation programmes. The limitation also extended to developing a service delivery model to assist the DPSA in performing the abovementioned functions. 177 The study used the qualitative case study method to conduct an in-depth examination of varied, detailed and extensive information obtained from different sources to present comprehensive explanations that portray a holistic picture concerning the DPSA’s sector delivery agreement. The study was limited to covering the period from the first democratic administration in South Africa to the fifth democratic administration and the introduction of the cluster system and the sector delivery agreements. 7.6 DELIMITATIONS OF THE STUDY The study was geographically delimited to the national head offices of the selected departments in the G&A/GSCID cluster but did not include all the departments that serve in the cluster. Moreover, and in terms of its scope, the study concerned interview responses of senior government officials and secondary data analysed from the selected departments such as the DPSA, the DJCD, OCJ and former senior officials from the COGTA. These responses pertain mainly to the G&A/GSCID cluster’s implementation of the sector delivery agreement, especially SDA Outcome 12. 7.7 RECOMMENDATIONS Based on the themes and findings of the research study, the following recommendations are advanced: • The study developed an appropriate model for sector delivery agreements for the DPSA and public service in general that would assist South Africa in improving its service delivery record. It focused on the performance of departments, agencies, public enterprises and senior managers within civil service. So, public service should always be viewed holistically, as composed of organisations and people, as the system theory propounds. • The research study indicated that the governing ANC views the creation of a developmental state as crucial to achieving the national democratic revolution – that is, transformative development milestones – and has professed its commitment to this. However, an effective bureaucracy and public enterprises 178 are at the centre of a developmental state. The study found that the country’s bureaucracy has severe limitations in terms of effectiveness, and the proposed model would address this in part. • Public policies are given meaning through the actions of individuals who translate them into implemented programmes and projects. As such, the individual is the key variable determining a policy's success or failure. Therefore, the performance of individual employees in departments should be viewed as having a bearing on the overall organisational performance. • The research study established that the South African government is far from realising the development goals that the NDP espouses. This conveys the impression that the policy targets were set in a vacuum and without due regard to the public service capacity and the country’s economy to pursue them successfully. The CSD model can assist in improving public service capacity to execute the NDP; however, the timeframe of the targets should be revised and extended. • The G&A/GSCID cluster is supposed to bring about a linkage between all the various service delivery departments. However, the majority of the interview subjects indicated that the G&A/GSCID cluster has serious coordination challenges, especially in those instances where departments pursue almost identical implementation targets. The model for delivery agreement proposed in this study provides guidelines to remedy this. 7.8 AREAS FOR FURTHER RESEARCH True to the truism that no research can establish a ‘final truth’ about a phenomenon, the study recommends several areas worthy of further research by other scholars. This is based on the fact that the study was not exhaustive and never claimed it was because making such claims is a cardinal sin of scholarship and would have negated the academic principle that research is a collaborative and continuous endeavour. Additional academic research on systems theory and whether the theory explains the reason(s) why an organisation that seemingly has all the attributes of a ‘living 179 organism’ still fails to execute policy programmes is necessary. This will allow for understanding the possible pitfalls of using systems theory to explain how public service should work or even assist in designing effective governance systems. The CSD model formulated in this study was informed by the knowledge and experience of the researcher, having occupied senior positions in government for over 30 years. Others can also contribute to the study and understanding of models. Accordingly, further research that will confine itself to developing models that would help public service to assess the impact of its services on the lives of South Africans is necessary. Underperformance can derail the implementation of government policies. A study on the legal and moral implications of pegging public service officials’ employment contracts to the delivery of departmental targets may assist in elucidating the practicability around the possibility of basing contracts on performance. This may likely revolutionise public service in terms of policy execution. Given that it is currently the year 2023 and the NDP is supposed to be met by 2030, the planning was clearly poor, notwithstanding the absence of adequate progress. As such, a study on the NDP’s policymaking process may help to understand what led the NPC to set the targets and timeframe it did, despite the glaring capacity constraints. This will ensure that future policymaking pays due regard to feasibility in terms of implementation capacity. 7.9 CONCLUSION This chapter evaluated the overall findings of the research study, looking at key variables embedded in the research question, research problem and the aim of the study. It advanced the view that the proposed model for a delivery agreement is appropriate as it will assist the DPSA in building performance capacity and capability in South African public service, focusing on institutions/organisations and individuals/senior managers in the civil service. While the G&A/GSCID cluster remains a vital structure that deals with matters of public service, its functioning has been below par, with some members regarding it as a mere ‘talk shop’ and neglecting the responsibility of coordinating the implementation work of government. 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