— i — TABLE OF CONTENTS Page CHAPTER ONE STAGE SETTING: AN EXPEDITION IN SEARCH OF EQUITY INTRODUCTION 1 PURPOSE AND OBJECTIVES OF THE STUDY 2 PROBLEM STATEMENT AND BACKGROUND TO THE STUDY 3 RATIONALE 8 THE POLICY CONTEXT FOR NNSSF 13 APPROACH TO THE STUDY 18 RESEARCH METHODOLOGY 21 LIMITATIONS OF THE STUDY 23 ORGANIZATION OF THE CHAPTERS 24 1.10 THE CENTRAL REGION IN CONTEXT 28 1.11 ORGANISATION OF THE CHAPTERS 29 1.12 CHAPTER SYNTHESIS 30 ---oOo--- — ii — Page CHAPTER TWO POLICY STUMBLES ON REALITY: A CRITICAL EXAMINATION OF STUDIES ON POLICY IMPLEMENTATION INTRODUCTION 31 THE CONCEPTUALIZATION OF KEY TERMS CENTRAL TO 34 THE INVESTIGATION What, then, is implementation? 35 KEY STRATEGIES EMPLOYED TO PURSUE EQUITY IN 44 DEVELOPED COUNTRIES Taxation 46 Funding formula which promised too much but deliveries little 53 Performance indicators 56 THE FAILURE TO ACHIEVE EQUITY IN DEVELOPED 64 COUNTRIES The elusiveness of policy implementation 67 STRATEGIES TO PURSUE EQUITY: LESSONS LEARNED 69 AN INTERNATIONAL PERSPECTIVE 71 2.6.1 Systemic school change 73 2.6.2 A theoretical perspective on policy implementation 75 2.6.3 Flexible approaches to policy implementation 78 2.6.4 The politics of policy implementation 79 A CRITICAL REVIEW OF THE EFFORTS TO ACHIEVE EQUITY 80 IN SOUTH AFRICA LOCATING SCHOOL FINANCE POLICY IN A MACRO- 81 ECONOMIC FRAMEWORK — iii — Page THE STRATEGIES ADOPTED TO FACILITATE 85 IMPLEMENTATION OF THE NNSSF POLICY IS EQUITY BEING ACHIEVED WHERE IT MATTERS MOST? 86 THE CARRY-THROUGH EFFECTS OF INADEQUATE BUDGET 88 2.12 LACK OF CAPACITY ACROSS THE SYSTEM 95 2.13 EXAMINATION OF “GAPS” IN THE LITERATURE ON POLICY 95 EFFECTS 2.14 CHAPTER SYNTHESIS 96 ---oOo--- — iv — Page CHAPTER THREE THE CONCEPTUAL FRAMEWORK INTRODUCTION 98 DEVELOPMENT OF A CONCEPTUAL FRAMEWORK 100 CHAPTER SYNTHESIS 107 ---oOo--- — v — Page CHAPTER FOUR RESEARCH DESIGN: HOW POLICY TRAVELS FROM THE CENTRE TO THE PERIPHERY INTRODUCTION 108 NATIONAL EDUCATION DEPARTMENT LEVEL 109 Provincial education department level 110 Regional education level 111 The school levels 114 Stakeholders and experts 121 BASIC APPROACH TO DATA COLLECTION 123 Semi-structured interview 126 Data processing, analysis and coding 129 QUESTIONNAIRE DEVELOPMENT 137 ENSURING VALIDITY 139 LIMITATIONS OF THE STUDY 141 CHAPTER SYNTHESIS 142 ---oOo--- — vi — Page CHAPTER FIVE EXPLORING UNDERSTANDINGS OF THE EDUCATION POLICY AT FOUR LEVELS OF THE EDUCATION SYSTEM INTRODUCTION 143 FINDINGS 144 National education departmental level 144 Provincial level (Officials) 149 Regional level (Officials) 154 School level: Where policy hits the ground 157 Tshwene Primary School: Case study #1 157 Siege Primary School: Case study #2 159 Banogeng Primary School: Case study #3 164 Bogosing Secondary School: Case study #4 168 Mosima Secondary School: Case study #5 169 5.2.5 Policy experts/education stakeholders 172 CHAPTER SYNTHESIS 176 ---oOo--- University of Pretoria etd – Molale, I S (2004) — vii — Page CHAPTER SIX POLICY GOALS AND SCHOOL LEVEL EFFECTS ON EQUITY: “INTENTIONS AND TENSIONS” INTRODUCTION 177 FINDINGS AT FIVE CASE STUDY SCHOOL 178 Tshwene Primary School: Case Study #1 178 Siege Primary School: Case Study #2 188 Banogeng Primary School: Case Study #3 193 Bogosing Secondary School: Case Study #4 197 Mosima Secondary School: Case Study #5 198 CROSS-CASE COMPARISON 200 CHAPTER SYNTHESIS 203 ---oOo--- University of Pretoria etd – Molale, I S (2004) — viii — Page CHAPTER SEVEN THE INTERPLAY BETWEEN POLICY AND PRACTICE: THEORISING IMPLEMENTATION INTRODUCTION 204 POLICY, THEORY AND PRACTICE 205 7.3 RATIONAL THEORY AND RESEARCH FINDINGS 216 7.4 ANALYSIS OF THE EFFECTS OF FISCAL EQUITY 221 7.5 CONCLUSION 223 ---oOo--- REFERENCE 228 APPENDICES 243 ---oOo--- University of Pretoria etd – Molale, I S (2004) — ix — LIST OF FIGURES Page Figure 2.1: An Implementation Framework for Management of Change 63 Figure 2.2: Dimension of policy affecting implementation 76 Figure 3.1: The Pathways along which policy is assumed to be traveling in 99 an education system Figure 3.2: The conceptual Framework 103 Figure 4.1: The fictitious (pseudonyms) names of the case study schools 113 Figure 5.1: How teachers first became aware of the NNSSF policy 167 figure 7.2: Factors influencing school capacity and student achievement 225 ---oOo--- University of Pretoria etd – Molale, I S (2004) — x — LIST OF GRAPHS Page Graph 3.1: National and Provincial Comparison of Grade 12 results 27 Graph 3.2: Grade 12 pass rate between 2001 and 2003 per region 28 Graph 5: The responses of teachers according to rank 162 ---oOo--- University of Pretoria etd – Molale, I S (2004) — xi — LIST OF TABLES Pages Table 1.1: Resource targeting list for financial allocation 15 Table 2.1: Personnel expenditure as a percentage of the education budget 91 per province Table 2.2: Non-personnel expenditure as a percentage in PED 92 Table 2.3: Allocation per Quintile 93 Table 4.1: The interviews transcript with observer’s comments 130 Table 4.2: The transcript with inferential codes 131 Table 4.3: Example of the coding system for the identification of institutions 133 and respondents Table 4.4: Example of a coding system with major and minor themes 135 Table 5.1: The responses of teachers on what stimulated the NNSSF policy 159 Table 6(a): The positive effects of the policy 181 Table 6(b): The history of school fees and state allocation. 202 Table 7.1: Grade 12 Results 213 ---oOo--- University of Pretoria etd – Molale, I S (2004) — xii — LIST OF MAP Page Map 3.1: Educational regions in the North West Province 26 ---oOo--- LIST OF PHOTOGRAPHS/VISUAL TEXTS Page Photograph #1: Case Study #1 Tshwene Primary School 115 Photograph #2: Case Study #2 Siege Primary School 116 Photograph #3: Case Study #3 Banogeng Primary School 117 Photograph #4: Case Study #4 Bogosing Secondary School 118 Photograph #5: Case Study#5 Mosima Secondary School 120 Photograph 6(a): Conditions in a principal’s office 183 Photograph 6(b): A classroom turned into staff room 184 Photograph 6(c): The state of the school library 191 ---oooOooo--- University of Pretoria etd – Molale, I S (2004) 1 STAGE SETTING: AN EXPEDITION IN SEARCH 1 OF EQUITY 1.1 INTRODUCTION The discrepancy between policy and practice is a recurring theme in education policy studies, especially in developed countries where implementation enjoys considerable attention in the literature (Malen & Knapp, 1997:146; Elmore, 1980:26). Developing countries, given high rates of poverty, inequality and financial constraints, can ill-afford the wasted resources that result from the poor implementation of government policies. There is, therefore, a greater burden on developing countries to ensure that policy implementation achieves its intended goals within education systems or, at the very least, to understand why noble goals are not achieved in practice. In South Africa1 much attention has been focused on policy formulation without indicating how to translate such policy into measurable outcomes. All too often policy-makers and politicians are focused on the desired outcomes of educational change but neglect the contextual factors that influence implementation (Rogan & Grayson, 2001:2). Porter (1980:75) argues that the people concerned with creating policy and enacting relevant legislation seldom look down the track to the implementation stage. It has also been observed that very few government initiatives affect mainstream practice in the schools (Joyce, Calhow & Hopkins, 2000:46) as a whole. These observations suggest that in many instances policy failure can be attributed to poor implementation or a lack of insight into policy processes. It could further be argued that reform initiatives in developing countries seem to pay little attention to the complexity of implementing policy under system-wide conditions of disadvantage and underdevelopment (Sayed & Jansen, 2001). 1 My pursuit of this inquiry was fueled and sustained by Hughes’ eye catching statement in the poetry book titled “New selected poems, 1957-1994”, Paris, published by DU Tumps, quoted by Zegeye & Maxted (1994:23) in the book called “Our dreams deferred”. – 1 – University of Pretoria etd – Molale, I S (2004) Despite scholarly consensus on the existence of a policy-practice gap in education reforms, there have been few attempts in developing countries to actually follow the implementation path travelled by a “policy” in order to explain exactly where, how and why this distancing occurs between ideals and outcomes. This research, informed by concerns about the policy-practice rupture, traces the path followed by an “equity-driven” school funding policy in a developing country context in an attempt to explain where, how and with what effects the “breakdown” in policy implementation actually occurs in an education system. In this chapter, I provide an orientation to the overall research plan. 1.2 PURPOSE AND OBJECTIVES OF THE STUDY This study takes place in the North West Province (NWP), which represents one of the nine provinces in the Republic of South Africa.2 The case study traces the implementation of the new “National Norms and Standards for School Funding” policy and its subsequent effects on schools in the Mafikeng Education Region, situated in the capital city of the province, Mafikeng. My goal is to determine the actual effects of policy, and compare and contrast such outcomes with the policy intentions as set out by policy-makers. The study therefore traces the course and effects of the new National Norms and Standards for School Funding policy (NNSSF) through the key levels of the education system; that is, from the National Department of Education (NDoE) down to the school level via the provincial and regional levels of government. The intention is to examine how policy is implemented and understood from the stage of policy formulation to the level of education practice. The logic behind this approach is to 2 South Africa as a unitary state is made up of nine autonomous provinces: 1.