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TOWARDS AN OUTCOME BASED POLICY EVALUATION FRAMEWORK

Since 1994, South Africa has experienced the policy rhythm in a fast-forward manner due to the passage stage from the apartheid epoch. As a consequence, policy design, statute law and policy execution have proceeded quickly in all sectors. This passage meant that many of the policies that were inherited from the apartheid epoch were inappropriate for the democratic dispensation. To this consequence Roux ( 2002:420 ) notes that constitutional reform has led to alter and transmutation in about all domains of authorities and disposal. Such alterations affected virtually all the functional Fieldss of authorities, and accordingly redefined the function of policy- and decision-makers. Repeating this sentiment Brynard ( 2005:3 ) provinces that an extraordinary grade of rational and political energy was harnessed to bring forth public policies that would accommodate the current demands of the State. South Africa, in a policy context, went through a major reappraisal of policies particularly between 1995 and 1996 ; Brynard ( 2005:3 ) footings this period the ‘White Paper Era ‘ .

Brynard ( 2000:164-165 ) further provinces that after 1994, the democratic authorities embarked on an aggressive procedure of policy preparation with a position to take favoritism in the authorities ‘s public policy and legislative act. This continued until the terminal of 1990s. The 2nd democratic authorities ( 1999 to 2004 ) shifted focal point more towards execution of policies of a democratically elective authorities, which still continues.

The focal point of this paper is on the public presentation of such policies. Goldfrank ( 1998:1 ) high spots the importance of looking beyond the euphory that comes with the installing of new authoritiess when measuring such authorities ‘s public presentation. He contends that, in analyzing the comparatively late democratised states, bookmans have mostly moved beyond the subject of passages to democratically-elected authoritiess and have begun to inquire inquiries sing the sort of democracies that have arisen and how to prolong democratic patterns. Almost uniformly, political analysts and histrions deplore the quality of the new democracies, indicating to one or another lack, including uneffective legislative assemblies, inefficient public bureaucratisms, corrupt benchs, and, possibly most strikingly authoritiess ‘ inability to present their authorizations.

Sanderson ( 2002:2 ) support this position when he points out that with increasing oppugning and examination of public intercession in economic and societal domains, authoritiess are turning to grounds of public presentation for legitimacy since it is no longer guaranteed entirely by democratic political procedures.

This paper argues that for the authorities to be able to supply grounds of public presentation of its policies, it must commit an outcomes-based rating system. An Outcomes-based Policy Evaluation system is presented in this paper as a tool through which the authorities can objectively show accomplishments of its policies while at the same clip accounting about the public presentation of its policies. However, for such a model to be successful it must be embedded on a well crafted grounds based system. Therefore, the research worker will reason that Evidence-based pattern is a basis for an outcomes-based policy public presentation system. Hence a stating that the system will merely be every bit good as the information that it is based on holds true for this paper.

In support of this expounding, Rosanbalm, Owen, Rosch and Harrison ( 2009:6 ) contend that evidence-based policy provides an effectual mechanism to set up, in a scientifically valid manner, what works or does non work, and for whom it works or does non work. With this structured attack to rating, cognition can be used to better pattern, leting successful plans to develop iteratively over clip. Without this attack, intercessions go in and out of pattern, small is learned about what works, and the effectivity of societal plans does non progress significantly over clip. Rigorous rating can stop the spinning of wheels and convey rapid advancement to societal policy as it has to the field of medical specialty.

This paper, though critical of the emerging policy rating model in SA, it acknowledges the attempts made in the policy sphere since 1994. Further, in placing challenges, this paper seeks to take a advanced attack that would sketch the issues which authorities must cope with in order to develop an results based policy rating model.

Research Problem

After 15 old ages of policy execution, inquiries on whether or non such policies are presenting the intended results are continuously being raised by different stakeholders including the authorities and the governing party, African National Congress ( ANC ) . For case, since its landmark triumph in 1994, the ANC authorities has introduced several policies with the purpose of bettering the life conditions of the South Africans. Now the quandary that is confronting the governing party is its inability to objectively find the extent to which the enforced policies are adding value to the lives of the antecedently disadvantaged communities. The ANC has reiterated this concern in its Strategy and Tactics papers of 2002 where it argues that, ‘aˆ¦policy leading duty is compromised by the general absence of dependable and appropriate information that will measure policy public presentation and the impact of authorities policy determinations. Where there is information available it is compiled and communicated by those responsible for execution, which raises the inquiry as to the dependability and cogency of the grounds that is being presented to the Executive, Parliament and the governing party.

This suggests that public presentation measuring systems in authorities require serious rethinking. The biggest challenge is that most public presentation measuring systems in authorities are still input-based and, at the most, study on end products without warranting input-output ratio ( Sangweni 2006:6 ) .

Schacter ( 1993:1 ) is really accurate in his diagnosing of the job when he contends that public sector public presentation has frequently been measured in footings of what the authorities has done, intending an sum of support provided, figure of kilometres of route tarred, figure of new infirmary beds and so forth. Such steps focus on how “ busy ” the authorities has been instead than on what it has achieved. They highlight agencies instead than terminals.

Schacter ( 1993:2 ) farther argues that this is non to state that maintaining path of agencies, as opposed to terminals is n’t of import. Governments need to mensurate how much they spend and “ make ” . But when public presentation measuring focuses excessively to a great extent or entirely on how much is spent – ” inputs ” – or done – “ outputs ” — as opposed to impact on society — “ results ” — the consequence is frequently that public sector administrations lose sight of why they were created in the first topographic point. Public administrations may be really “ busy ” but be carry throughing small from society ‘s position. For illustration, it would be ineffectual for the Department of Transport to construct 1000s of kilometres of roads to topographic points where no 1 travels. The danger of this attack, as noted by Radebe and Pierre ( 2007:110 ) is that administrations take their ain execution determinations which may non be in line with national precedences. One of the effects of the evident absence of strategic leading was pointed out as inappropriate substructure developments such as constructing new parking installations at Durban International Airport while the airdrome would be decommissioned in 2009.

The intent of the Study and Research Questions

The intent of this survey is to research the extent to which Evidence based and Results based direction attacks are being applied in SA in the country of public policy with an purpose of bettering policy public presentation feedback ( public presentation information or grounds of whether policies are successful or non ) . In order to accomplish this intent the research worker will be guided by two chief research inquiries. The first inquiry to be addressed is: Why does the increased attending to results and answerability intersect with the turning demand for evidence-based policies and plans? In other words, how does the promotion of connexions between scientific discipline ( evidence-based policy doing attack ) and policy doing improve policy rating? The research worker will postulate that a authorities that footing its policy determinations on scientific grounds enhances its opportunities non merely of implementing sound policies but besides of put to deathing effectual public presentation rating of its policies. Harmonizing to Lasswell ( quoted by Hoppe 1999:1 ) , policy scientific discipline is about the production and application of cognition of and in policy. Policymakers, who desire to successfully undertake jobs on the political docket, should be able to call up the best available cognition. This requires high quality cognition in policy. Policymakers and, in a democracy, citizens, besides need to cognize how policy processes truly germinate. This demands precise cognition of policy. There is an obvious nexus between the two: the more and better cognition of policy, the easier it is to call up cognition in policy.

Hartig, DePinto, Stone and McIntyre ( 2003:1 ) observed that informing public policy with sound scientific discipline has long been recognized as a critical demand for effectual policy direction… However, presenting scientific findings to policy-makers in a utile mode has been debatable. Policy-makers have frequently lacked timely entree to scientific information. And when they do hold entree, this information is frequently excessively proficient and needs reading to be genuinely utile for decision-making. Clearly, there is a demand to beef up science-policy linkages in order to better policy public presentation.

The 2nd inquiry to be addressed is: what paces have been made by SA towards an outcomes-based policy public presentation rating model – “ Where are we ” and what are the spreads? To this terminal, Scott ( 2006:87 ) argues that South African authorities demand to be able to find whether authorities policies, interpreted into authorities programmes and undertakings, are causally linked to policy results. We need to be able to find whether advancement, or deficiency of it, is due to ( or go oning despite ) authorities policies and activities. Therefore this paper will carefully analyze the extent to which the South African authorities is able to objectively describe on the public presentation of its policy intercessions and besides whether policy rating informations is utilized to better hereafter policy intercessions.

Aims of the Study

This paper has three chief aims:

First, the survey aims to analyze the extent to which sections use the Government-wide Policy Framework on Monitoring and Evaluation which was published by authorities in 2007 ; this is an overarching policy model that ushers a new civilization on monitoring and rating and is predicated on a RBM attack ( The Presidency 2007:1 ) . Second, the survey aims to measure the mode in which authorities sections generate and usage grounds throughout the policy lifecycle ( policy preparation, policy execution and policy closing or redesign ) . Third, the survey aims to measure the impact of the bing answerability mechanisms on the use of scientifically generated grounds in authorities.

Theoretical Model

This paper employs a dynamic analysis attack of the systems theory as a footing for understanding the interrelatedness between policy devising and policy rating. Dynamic analysis examines mutualist effects among variables over clip, with clip slowdowns on effects and feedback cringles as portion of the analysis. Dynamic analysis differs significantly from inactive analysis which assumes unidirectional relationships between the independent and dependent variables in the analysis. While inactive analysis assumes that a alteration in some independent variables will ensue in alteration in one or more dependent variables, dynamic analysis introduces two-way relationship or feedback cringles into the system of relationships being investigated ( that is, in the bipartisan relationship, a alteration in one variable affects the second, which in bend affects the first – alterations in both variables continue until equilibrium or system prostration occurs ( Melcher A and Melcher B, 1980:235-239 ) .

Therefore this paper moves from the premiss that if policies are based on tried theories ( theories that have been subjected to vigorous scientific processs ) ; scrutiny of their public presentation during and after execution is made easy. Subsequently, grounds of whether policies work or non will be feedback to the initial stage of policy preparation for policy redesign where necessary. This is premised on the fact that public policies are non ageless truths but instead hypotheses subject to change and to inventing of new and better 1s until these in bend are proved unsatisfactory ( Wildavsky 1979:16 ) . To this terminal, this paper ventures into measuring which processs are in topographic point in SA and which processes, harmonizing to literature, ought to be in topographic point in order for authorities to be able to account to its citizens on the execution of public policies.

Literature is really rich on how authorities ‘s ability to account on the execution of public policies can be improved. The focal point of survey is limited to two intercessions. They are Evidence-Based Policy Making and Results-Based Management attacks. Evidence-Based Policy Making attack finds its look through policy scientific discipline which can be summarised as the intersection between scientific research and public policy.

Davies as cited by Segone ( 2004:27 ) defines evidence-based policy as an attack which helps people make good informed determinations about policies, programmes and undertakings by seting the best available grounds at the bosom of policy development and execution. Segone ( 2004:27 ) points out that this definition matches that of the UN in the MDG usher where it is stated that “ Evidence-based policy doing refers to a policy procedure that helps contrivers make better-informed determinations by seting the best available grounds at the Centre of the policy procedure ” . Evidence may include information produced by incorporate monitoring and rating systems, academic research, historical experience and “ good pattern ” information. This attack stands in contrast to opinion-based policy, which relies to a great extent on either the selective usage of grounds ( e.g. on individual surveies irrespective of quality ) or on the unseasoned positions of persons or groups, frequently inspired by ideological point of views, biass, or bad speculation.

Advocates of evidence-based policy and pattern acknowledge that non all beginnings of grounds are sufficiently sound to organize the footing of policy devising. Much research and rating is flawed by ill-defined aims ; hapless design ; methodological failings ; inadequate statistical coverage and analysis ; selective usage of informations ; and, decisions which are non supported by the informations provided ( Davies 2003:54 ) .

On the other manus, Results-Based Management ( RBM ) is defined as a direction scheme aimed at accomplishing of import alterations in the manner administrations operate, with bettering public presentation in footings of consequences as the cardinal orientation. RBM provides the direction model and tools for strategic planning, hazard direction, public presentation monitoring and rating. Its primary intent is to better efficiency and effectivity through organizational acquisition, and secondly to carry through answerability duties through public presentation coverage. Key to its success is the engagement of stakeholders throughout the direction lifecycle in specifying realistic expected consequences, measuring hazard, supervising advancement, describing on public presentation and integrating lessons learned into direction determinations ( Meier 2003:6 )

Scott, Joubert and Anyogu ( 2006:11 ) concur with Meier when they contend that RBM is a direction scheme or attack by which an organisation ensures that its procedures, merchandises and services contribute to the accomplishment of clearly stated consequences. RBM provides a coherent model for strategic planning and direction by bettering acquisition and answerability. It is besides a wide direction scheme aimed at accomplishing of import alterations in the manner bureaus operate, with bettering public presentation and accomplishing consequences as the cardinal orientation, by specifying realistic expected consequences, supervising advancement towards the accomplishment of expected consequences, incorporating lessons learned into direction determinations and describing on public presentation.

Key RBM concepts cardinal to this paper include ; theory of alteration, causal concatenation, programme theory and logic theoretical account. Harmonizing to Bickman ( 1987:2 ) plan theory can be defined as “ a plausible and reasonable theoretical account of how a plan [ policy ] is supposed to work. ” A good plan theory logically and moderately links plan activities to one or more results for participants. Program theories can frequently be captured in a series of “ if-then ” statements – IF something is done to, with, or for plan participants, THEN theoretically something will alter. Figure 1 below illustrates how a plan theory can be captured in a logframe.

Figure 1: Logframe

On the other manus logic theoretical account is a tool for exemplifying an implicit in plan theory. A logic theoretical account illustrates the linkages between plan constituents and results ( Wilder Research Center1987:2-4 ) . It is this theory that must be backed-up by sound grounds as discussed in chapter 2. Figure 2 below illustrates how a logic theoretical account can be captured.

Figure 2: Example of a RBM Logic Model

ACTIVITIES OUTPUTS RESULTS IMPACT

Research, monitoring, analysis of information

Dissemination of information to wellness workers and population

Informed Stakeholders

Population assumes duty to protect, maintain, better its wellness

Improved general wellness. Reduced discrepancies between sections of the population.

Research Design

This is a qualitative research which is located within the rating field of survey. A qualitative research methodological analysis has been chosen because of its attack towards happening the truth which bodes really good with the demands of this survey. Qualitative methods draw up an interpretative paradigm where there are multiple truths sing the societal universe. In qualitative methods cognition assemblage is ever partial, and the research worker is encouraged to be on the same plane as the researched in an attempt to advance a co-construction of intending Try to associate this statement to your survey to do what you are stating clearer to the reader. ( Hesse-Biber and Leavey 2006:320 ) .

The research worker will utilize literature reappraisal to accomplish three aims. First, this paper will analyze literature on the application of evidence-based and RBM attacks throughout the policy lifecycle in order to build a model of analysis for the survey. Second, the paper will place critical variables that may assist authorities to commit an outcomes-based policy rating model. Third, the paper will analyze paces that have been made by the SA authorities towards an results based policy rating model. Comparative positions on the accomplishment of other developing and developed states will be included in this survey in order to augment theoretical expounding of this survey with empirical grounds.

The literature reappraisal will farther be augmented with empirical findings originating from the semi-structured interviews. The interviews will be carried out with a sample of respondents from authorities whose occupations ‘ maps entail research, policy analysis and rating. The nature of the survey requires ( experts focused input ) that the sample be stratified ; as a consequence the paper will utilize a non-probability sampling technique ( judgmental sample ) .

With respect to data analysis, the research worker will utilize content analysis method which has been credited for its versatility to both quantitative and qualitative research questions. For case, Creswell ( 2003:289 ) contends that content analysis has historically been conducted quantitatively ; nevertheless, now there is a rich tradition of qualitative content analysis. The primary difference in these two wide applications is in research design. Quantitative attacks to content analysis are mostly deductive and follow a additive theoretical account of research design. Qualitative attacks are chiefly inductive and follow what is termed a coiling theoretical account of research design. When utilizing a additive design the research worker has a preconceived set of stairss to follow in a additive ( perpendicular ) way through each stage of the research procedure. A coiling design, employed by qualitative research workers, allows the research worker to, metaphorically, thrust in and out of the information. In this theoretical account a research worker generates new apprehensions, with varied degrees of specificity ( Hesse, et al 2003:289 ) .

This paper will use the coiling theoretical account together with the memo composing attack in analyzing the findings. By composing memos one can raise a codification to the degree of a class. The thought of a grounded theory attack is to read carefully through the informations and to bring out the major classs and constructs and finally the belongingss of these classs and their interrelatednesss. Memo authorship is an built-in portion of the grounded theory procedure and assists the research worker in lucubrating on their thoughts sing their informations and codification classs. Reading through and screening memos can besides help the research worker in incorporating his or her thoughts and may even function to convey up new thoughts and relationships within the informations. ( Hess, et al 2003:349 )

As the procedure of analysis continues the research worker may get down to see more developed codifications – focused codifications particularly through the procedure of composing memos. Coding is a cardinal portion of a grounded theory attack and involves pull outing intending from non-numerical informations such as text and multimedia such as audio and picture. Coding is the analysis scheme many qualitative research workers employ in order to assist them turn up cardinal subjects, forms, thoughts, and constructs that may be within their informations ( Hesse, et Al: 2003, 349 ) .

To reason, Karp ( 2003:356 ) notes that after chew overing the thoughts in the memos and coding interviews – when you think you have been able to “ catch onto a subject ” – it is clip to get down what he term “ informations memo ” . By this he means a memo that integrates the subject with informations and any available literature that fits ; something that begins to look like a paper.

Importance of the Study

Even though the focal point of this paper is on public presentation rating, it finally addresses a really critical issue of an accountable authorities. Thus the research worker will besides reason that a public presentation rating system should enable the authorities to account to its citizens about the effectual and efficient usage of their resources. This paper will therefore lend to the turning organic structure of cognition of policy devising and public presentation rating in the South African literature, which aims at beef uping the answerability mechanisms of authorities.

Summary of Literature Review

The 2nd chapter of this survey focuses on the development of the policy analysis with specific focal point on policy devising and rating every bit good as on the advancement made by SA towards an outcomes-based policy rating model. A brief lineation of some of the subdivisions covered in the literature is provided below:

Role of theories in policy devising

While policy could be defined in several ways, the point of going for this paper is that policy is viewed as a theory. The proposition of this paper is that theories that underlie policies must be backed up by scientific grounds so that steps of success for policy public presentation will be effectual. This proposition is backed up by bookmans such as Pressman and Wildavsky ( 1973, 1979 ) , Bardach ( 1977 ) and more late by Pawson ( 2002 ) . For case, Pressman and Wildavsky ( 1973 ) described any policy as a ‘hypothesis ‘ incorporating initial conditions and predicted effects. That is, the typical logical thinking of the policy-maker is along the lines of ‘if x is done at clip T ( 1 ) so y will ensue at clip T ( 2 ) ‘ . Hill ( 1998 ) concludes that therefore every policy incorporates a theory of cause and consequence ( usually unstated in pattern ) and, if the policy fails, it may be the underlying theory that is at mistake instead than the executing of the policy.

Role of Evidence in Policy Making – Evidence Based Policy Making ( EBPM ) Approach

As stated above, the proposition of this paper is that theories that underlie policies must be backed up by scientific grounds so that steps of success for policy public presentation will be effectual. This position is supported by bookmans such as Gray ( 1997 ) , Davies ( 1999, 2003 ) , Nutley ( 2003 ) and Segone ( 2004 ) . Arguments presented by these bookmans are discussed in item in chapter two, which is the literature reappraisal chapter. These bookmans concur that evidence-based determination doing draws to a great extent upon the findings of scientific research, including societal scientific research that has been gathered and critically appraised harmonizing to explicit and sound rules of scientific enquiry.

Model for an accountable and learning Government

Recently, we have observed a turning involvement in public presentation measuring or rating in the populace sector. The inquiry is, what drives this involvement in public presentation measuring and rating, in the populace sector? In replying this inquiry Schacter ( 2002:5 ) argues that the cardinal ground why public presentation measuring affairs to us is that it makes answerability possible, and answerability goes to the bosom of our system of political administration. Schacter farther contends that citizens grant their authoritiess a high grade of control over their lives. Citizens allow authoritiess to take portion of their income through revenue enhancements for case, and to restrict their freedom through enforcement of Torahs and ordinances. In return citizens expect their authoritiess to be accountable to them for the ways in which they exercise power.

Performance rating is non merely good to citizens but to authorities every bit good. A authorities that utilises findings on the public presentation of its policies is able to better on new policies every bit good as on the execution of such policies. Wildavsky ( 1984:255 ) echoes this point when he contends that larning rating strives to unearth defective premises, reshape misshapen policy designs, and continuously refine ends in visible radiation of new information derived during execution.

Previous research on Policy Making and Evaluation in South Africa

Literature reviewed indicates that a important sum of work has been done on policy devising and rating in SA. Key subjects covered in the reviewed literature include passage from apartheid to democratic epoch, Public policy devising in a post-apartheid South Africa, policy rating, Electoral system and political answerability. These subjects are addressed in chapter 2 where I discuss the work of bookmans like Van Niekerk, Van Der Waldt and Jonker ( 2001 ) Roux ( 2002 ) , Cloete and Wissink ( 2004 ) , Scott ( 2006 and 2007 ) , Radebe and Pierre ( 2007 ) , Christo de Coning ( 2008 ) , Gumede ( 2008 ) , Carter ( 2008 ) . Government studies, covering model and public presentation paperss, are besides used in this survey to show the side of authorities.

Notwithstanding the being of literature on policy devising and rating, more work is still needed on how evidence-based attack improves policy public presentation every bit good as quality of public presentation informations ; this is the country this survey seeks to turn to.

Restrictions of the Study

This paper will non venture to quantifiably measure the extent to which the debut of Evidence-Based Policy Making and Results-Based Management attacks have improved policy public presentation feedback in SA. Such an question will necessitate more clip and a different scheme ; this will be a topic for farther research. However, this paper will research scholarly literature so as to place chief statements on how policy rating could be improved. Subjects emanating from the literature will so be tested through an interview with a sample of policy and rating practicians.

The other restriction of this paper is that, no affair how relevant it may be, it does non stand for the official place of authorities. Hence there is no warrant for the execution of the recommendations of this paper. Finally, the timeframe every bit good as the fiscal resources will restrict the research worker from making an in-depth analysis of cardinal variable of the survey, i.e. the relationship between policy devising and policy public presentation measuring attacks.

Chapter Outline

Abstraction: nowadayss an overview of the paper and introduces contents of each chapter.

Introduction: nowadayss a background to the survey, the motives for shiping on the proposed survey every bit good as the intent of the survey are besides presented.

Chapter one: This chapter provides a reader with a methodological analysis to be employed in hunt for the replies to the research inquiries. It besides presents a brief sum-up of the theoretical model which includes constructs and theories.

Chapter two: expressions into the literature that is already available on the development of the policy analysis with specific focal point on policy devising and rating. Key variables for an effectual policy public presentation appraisal model will besides be identified in this chapter

Chapter three: examines paces that have been made by the authorities towards an ideal ( evidence-outcomes based model as espoused in chapter two ) policy public presentation rating model

Chapter four: provides analysis and reading of the research findings based on the reviewed literature and interview results. The intent of this chapter is to show solid descriptive informations and to take the reader to understand the significance of the phenomenon that is being studied. Contented analysis attack and memo authorship attack are utilised to analyze and construe the findings of the survey.

Chapter five: nowadayss decisions and recommendations that have been drawn from the reviewed literature, constructed theoretical model, every bit good as the interview consequences. The chapter besides proposes research countries necessitating farther research in the field of policy appraisal.

Decision

In this paper the research worker intends to measure critical paces made by SA towards an outcome-based policy rating model. The research worker will utilize grounds emanating from literature and interviews to foreground failings in the SA public sector public presentation rating system.

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