ASSESSMENT OF FUNCTION SHIFT THROUGH THE STANDARD MANUAL OF FISCAL COMMISSION

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CHAPTER 2: LITERATURE REVIEW

INTRODUCTION

Chapter 2 expounds upon the literature that deals with the meaning of Function Shift and its implications. The documents as discussed in this chapter also serve as guidelines to assess the success of Function Shift. As Function Shift is tantamount to change, theories related to change influenced the choice of literature that I reviewed.The primary documentary literature that I reviewed was the reports on the chronological developments of the shifting functions of former AET directorates from provincial DBEs to DHET; government gazettes that govern Function Shift; report of the TTCETC; and details of how Function Shift has been carried out in different countries. Scholarly literature that I reviewed comprises books, articles and journals that reflect on the policies, implementation and importance of, and challenges that are caused by organisational change. In looking at the scholarly literature I used some seminal works of authors who are regarded as pioneering certain theories and concepts, as well as later authors’ work that develops the initial arguments. I show how my research work relates to the various arguments.

ASSESSMENT CRITERIA FOR FUNCTION SHIFT

2.2.1. ASSESSMENT OF FUNCTION SHIFT THROUGH THE STANDARD MANUAL OF FISCAL FINANCIAL COMMISSION
Function Shift in South Africa is part of intradepartmental governance. Crisp (2007:5) defines ‘Function Shift’ as a process of reassigning functions to a different state of organ or department from the one to which it was initially assigned by the Constitution or any law made by Parliament or a Provincial Legislature to the next. I can simply say that Function Shift is change from one department to the next. Crisp’s definition also notes that the function that is reassigned to another department was initially assigned to a certain department. It is against this background that the fiscal financial commission in South Africa mandated a standard manual that assesses function shifts (Crisp, 2007) using the following assessment criteria:
1. The proposed shift of the function must respect, promote and fulfil the provision of the constitution.
2. The contemplated shift must fit well in the general framework of an established government policy.
3. The Function shift must be appropriate for the republic as a whole in terms of its impact on service delivery.
4. Functions must include funds associated with delivering of services, current assets, budget and all future resources.
5. Functions should be transferred as a whole to avoid conflict between the affected departments.
6. Monitoring of the process should continuously be conducted until it is settled.
7. It must adhere to the principle of efficient, effective and sustainable delivery of services by: promoting equitable, efficient, affordable, economical and sustainable access to basic services by all customers; providing services as close as possible to the targeted communities; minimising costs of services to consumers and customers; benefitting the greatest number of residents; delivering services without disruption; promoting the safe and healthy environment; promoting efficient, effective and accountable public administration; promoting cooperative government and addressing inequalities in the society.
I developed the research interviewing questions and discussion topics with these assessment criteria in mind. For instance, I wanted to know if the Shifting from DBE to DHET was benefitting all South Africans in both rural and urban areas. Crisp (2007:4) motivates the need to assess the impact and appropriateness of a Function Shift by saying that Function Shift may make life easier for a particular department or sphere without any positive impact on services to the country. The evidence should show that the change is beneficial for the country. This assessment criterion goes hand-in-hand with my research topic that intends to investigate the positive and negative consequences of shifting the functions of adult education from PEDs to the national DHET. In her presentation to Nigerian PER steering committee, Khemani (2001) outlined the chronology of Nigeria’s Function Shifts from Federal States to National Government and back to Local Governments during 1954, 1966 and 1999, respectively. Her presentation is around the effective utilisation of resources by the
three tier levels of governments. She acknowledges that local governments contribute a large percentage of country’s revenue but they are allocated little for service delivery. She also indicates that the military state distributed national resources in a wasteful manner, through the creation of new states and local governments along ethnic and political lines, without regard for economic viability. Khemani (2001:2) outlines the prescripts of Nigeria’s constitution:
‘The functions of a local government council shall include participation of such council in the Government of a State as respects the following matters: (a) the provision and maintenance of primary, adult and vocational education; (b) the development of agriculture and natural resources, other than the exploitation of minerals; (c) the provision and maintenance of health services; and (d) such other functions as may be conferred on a local government council by the House of Assembly of the State.

CHAPTER 1 OVERVIEW OF THE STUDY
1.1 INTRODUCTION 
1.2 BACKGROUND TO THE RESEARCH 
1.2.1 THE NATIONAL POLICY ON COMMUNITY EDUCATION AND TRAINING COLLEGE
1.2.2 CURRENT STATUS OF THE RESEARCH SUBJECT AND
SIGNIFICANCE
1.3 PROBLEM STATEMENT 
1.4 AIMS AND OBJECTIVES OF THE RESEARCH 
1.5 RESEARCH METHODOLOGY 
1.5.1 QUALITATIVE RESEARCH
1.5.2 ACTIVE RESEARCH APPROACH
1.5.3 RESEARCH DESIGN
1.5.3.1 Historical Documents’ Analysis
1.5.3.2 Phenomenological Design
1.5.4 DATA COLLECTION
1.5.4.1 Sampling
1.5.4.2 Research Instrument and Data Collection Strategies
1.6 DATA ANALYSIS AND PRESENTATION OF FINDINGS 
1.7 CHAPTER DIVISION 
1.7.1 CHAPTER 1
1.7.2 CHAPTER 2
1.7.3 CHAPTER 3
1.7.4 CHAPTER 4
1.7.5 CHAPTER 5
1.7.6 CHAPTER 6
CHAPTER 2: LITERATURE REVIEW
2.1 INTRODUCTION 
2.2 ASSESSMENT CRITERIA FOR FUNCTION SHIFT 
2.2.1 ASSESSMENT OF FUNCTION SHIFT THROUGH THE STANDARD MANUAL OF FISCAL COMMISSION
2.2.2 ASSESSMENT OF FUNCTION SHIFT THROUGH THE NATIONAL DEVELOPMENT PLAN
2.3 FUNCTION SHIFT IS TANTAMOUNT TO CHANGE 
2.4 PHILOSOPHIES OF CHANGE 
2.4.1 CONTENTS OF THE ‘THEORY OF RESISTANCE TO CHANGE’
2.4.2 CHANGE MUST BE THOROUGHLY COMMUNICATED
2.4.3 CHANGE IS A NATURAL PHEMENON WHICH IS INTEGRATED WITH CONTINUITY
2.4.3.1 Traditional Change Agenda
2.4.3.2 The Biological Philosophy
2.4.3.3 The Rational/Strategic/Teleological Philosophy
2.4.3.4 The Institutional Philosophy
2.4.3.5 The Resource Dependency Philosophy
2.4.3.6 The Contingency Philosophy
2.4.3.7 The Psychological Philosophy
2.4.3.8 Political Philosophy
2.4.3.9 Cultural Philosophy
2.4.3.10 Systems Philosophy
2.4.3.11 Postmodern Philosophy
2.4.4 SYNERGY BETWEEN THE SHORT TERM AND LONG TERM GOAL
2.5 CHANGE TRIGGERS EMOTIONS 
2.5.1 EMOTIONAL EFFECTS ON CHANGE SUBJECTS
2.5.1.1 Change is an Opportunity to Look Forward to
2.5.1.2 Change is a Potential Threat that must be Carefully Managed
2.5.1.3 Change is Inevitable
2.6 CHANGE LEADERSHIP 
2.7 CHRONOLOGY OF FUNCTION SHIFT (CHANGE) IN THE
DEPARTMENT OF HIGHER EDUCATION AND TRAINING 
2.7.1 MIGRATION FROM THE PROVINCIAL DEPARTMENTS OF
EDUCATION TO THE DHET
2.7.2 FUNCTION SHIFT AS A CONTINUOUS PROCESS OF
TRANSFORMATION IN DHET ORGANISATIONAL STRUCTURE
2.8 THE APPREHENSION AND POSITIVE EXPECTATION OF
FUNCTION SHIFT
2.8.1 JOB INSECURITY AND DISCONFIRMED EXPECTANCY
2.8.2 KNOWLEDGE MANAGEMENT OF FUNCTION SHIFT 47
2.8.3 COMMUNITY EDUCATION AND TRAINING COLLEGE: THE INTENTION TO PRODUCE THE BEST FROM BOTH THE
ADVANTAGED AND THE DISADVANTAGED
2.9 THE SOUTH AFRICAN NATIONAL POLICY ON CET COLLEGES VERSUS THE WORLDWIDE MODEL OF COMMUNITY COLLEGE
2.9.1 THE ORIGION OF COMMUNITY COLLEGE MODEL
2.9.2 ADAPTATION VERSUS ADOPTION OF FOREIGN POLICIES
2.9.2.1 Two Year Degree Model in Mexico
2.9.2.2 Nunavut Arctic College in Canada
2.9.2.3 The emergence and Development of Two Years Technological Colleges in Israel
2.9.2.4 Community College in Ethiopia
2.9.2.5 The Model of South African CET College
2.10 SUMMARY 
CHAPTER 3 RESEARCH DESIGN AND METHODS
3.1 INTRODUCTION 
3.2 RATIONALE FOR EMPIRICAL RESEARCH 
3.3 RESEARCH PARADIGMS 
3.3.1 POSITIVIST PARADIGM
3.3.2 POST POSITIVIST PARADIGM
3.3.2.1 Critical Rationalistic or Non-Foundationalist Theory
3.3.3 INTEPRETIVE THEORY OF KNOWLEDGE CREATION
3.3.4 CRITICAL THEORY AS A RESEARCH PARADIGM
3.3.5 MY PARADIGMATIC FRAMEWORK TO LEND COHERENCE TO THE STUDY
3.3.5.1 The Significance of Positivistic Paradigm
3.3.5.2 The Appropriateness of Critical Rationalistic Theory of Science
3.3.5.3 The Significance of Interpretive Theory of Knowledge –
Construction
3.3.5.4 The Significance of Critical Theory
3.3.5.5 The Chosen Paradigm for this Research
3.4 RESEARCH METHODOLOGY 
3.5 QUALITATIVE RESEARCH APPROACH 
3.6 ELUCIDATION OF ACTIVE RESEARCH APPROACH 
3.7 RESEARCH DESIGNS
3.7.1 DESCRIPTIVE AND EXPLORATORY
3.7.2 ETHNOMETHODOLOGY
3.7.3 PHENOMENOLOGICAL DESIGN
3.8 DATA COLLECTION PROCESS 
3.8.1 SELECTION OF PARTICIPANTS
3.8.2 DATA COLLECTION TOOLS
3.8.2.1 Document Analysis
3.8.2.2 In-Depth Interviews
3.8.2.3 Focus Group Discussion
3.8.2.4 Follow-Up Interviews
3.8.2.5 Evaluative Discussions with Head Office Officials
3.9 DATA ANALYSIS AND PRESENTATION OF FINDINGS 
3.9.1 CODING
3.9.2 CATEGORISING AND THEMATISING: EMERGENCE OF CODES,SUB-CATGORIES, CATEGORIES AND THEMES
3.10 MEASURES FOR TRUSTWORTHINESS: FOCUS AND CREDIBILITY
3.10.1 RICH ‘THICK’ DESCRIPTION
3.10.2 PROLONGED AND PERSISTENT FIELD WORK
3.10.3 MULTIMETHOD STRATEGIES
3.10.4 PARTICIPANT LANGUAGE AND VERBATIM ACCOUNTS
3.10.5 MEMBER CHECKING
3.10.6 PATICIPANT REVIEW
3.11 ETHICAL CONSIDERATIONS 
3.12 SUMMARY 
CHAPTER 4 DATA ANALYSIS AND INTERPRETATION
4.1 INTRODUCTION 
4.2 RESEARCH PROCESS 
4.3 DATA ANALYSIS 
4.3.1 BIOGRAPHICAL DATA OF PARTICIPANTS
4.3.2 THE PICTORIAL ILLUSTRATION OF DATA ANALYSIS
4.4 DISCUSSION AND INTERPRETATION OF THEMES AND CATEGORIES ARISING FROM THE ANALYSIS
4.4.1 THEME 1: FUNCTION SHIFT IS TANTAMOUNT TO CHANGE
4.4.1.1 Category 1: Function Shift Triggers Emotions
4.4.1.2 Category 2: Change Management
4.4.2 THEME 2: POSITIVE SIGNIFICANCE OF FUNCTION SHIFT
4.4.2.1 Category 3: Function Shift Is A Trial And Error Implementation Process
4.4.2.2 Category 4: Function Shift As An Enabler Of NDP’s Developmental Strategies
4.4.3 THEME 3: WEAKNESSOF FUNCTION SHIFT
4.4.3.1 Category 5: Violation of Knowledge Management
4.4.3.2 Category 6: Impending Disconfirmed Expectancy
4.4.4 THEME 4: COMPRENSIVENESS OF COMMUNITY COLLEGE MODEL IN SOUTH AFRICA
4.4.4.1 Category 7: Relevance Of TTCETC’s Findings And Recommendations
4.4.4.2 Category 8: Participants’ Input Towards the Success Of CET College Model
4.4.4.3 Category 9: The Impact Of Active Research on The
Interpretation of The Significance of Function Shift
4.5 SUMMARY 
CHAPTER 5 THE REVIEW OF ANALYSIS AND INTERPRETATIONS OF DATA
5.1 INTRODUCTION 
5.2 SECOND INTERVIEW SESSIONS WITH PRINCIPALS, CENTRE MANAGERS AND REGIONAL OFFICIALS, AND INTERVIEWS WITH HEAD OFFICE OFFICIALS: SOME REMARKS
5.3 SECOND INTERVIEW SESSIONS WITH PRINCIPALS, CENTRE MANAGERS AND REGIONAL OFFICIALS or CURRICULUM IMPLEMENTERS
5.3.1 SECOND INTERVIEW SESSION WITH P1
5.3.2 SECOND INTERVIEW SESSION WITH P2
5.3.3 SECOND INTERVIEW SESSION WITH P3
5.3.4 SECOND INTERVIEW SESSION WITH CM1
5.3.5 SECOND INTERVIEW SESSION WITH CM2
5.3.6 SECOND INTERVIEW SESSION WITH CM3
5.3.7 SECOND INTERVIEW SESSION WITH RO1
5.3.8 SECOND INTERVIEW SESSION WITH RO2
5.3.9 SECOND INTERVIEW SESSION WITH RO3
5.4 ANALYTIC DISCUSSIONS WITH HEAD OFFICE OFFICIALS 
5.4.1 DISCUSSION WITH HO1
5.4.2 DISCUSSION WITH HO2
5.5 INTEGRATION OF THE DATA GENERATED DURING THE INTERVIEWS WITH HO1 AND HO2 WITH DATA FROM SECOND INTERVIEWS WITH P1-P3, CM1-CM3 AND RO1-RO3
5.5.1 TIMING OF THE IMPLEMENTATION OF FUNCTION SHIFT AND THE LEVEL OF CONSULTATION
5.5.2 DHET OFFICIALS’ ROLE IN INFLUENCING INCORRECT PERCEPTION ABOUT FUNCTION SHIFT
5.5.3 THE PROSPECTS OF CURRICULUM SUPPORT IN CET COLLEGES
5.5.4 MULTILEVEL CHANGE MANAGEMENT SYSTEM
5.5.5 DISCONFIRMED EXPECTANCY
5.5.6 THE SUCCESS OF FUNCTION SHIFT
5.6 SUMMARY 
CHAPTER 6 SUMMARY OF FINDINGS, RECOMMENDATIONS, AND LIMITATIONS
6.1 INTRODUCTION 
6.2 GUIDING CONCEPTS OF THE STUDY
6.3 DISCUSSION OF THE FINDINGS 
6.4 DISCUSSION AND INTERPRETATION OF THEMES AND
CATEGORIES ARISING FROM THE ANALYSIS
6.5 RECOMMENDATIONS 
6.6 LIMITATIONS AND FURTHER STUDY 
6.7 SUMMARY
REFERENCES

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