The Viability of the South African National Plan and Amartya Sen's Theory of Ethical Development

262 Pages·2011·18.7 MB·English

The Viability of the South African National Development Plan and
Amartya Sen‘s Theory of Ethical Development

ROCHELLE NICOLETTE DAVIDS

A full thesis submitted in partial fulfilment of the requirements for the
degree of Doctor of Philosophy in Ethics

University of the Western Cape

Supervisor: Professor Christo Lombard

November 2016
The Viability of the South African National Development Plan and Amartya Sen’s Theory of Ethical Development 2016

Declaration

Student Number: 3260562

I declare that The Viability of the South African National Development Plan and Amartya
Sen’s Theory of Ethical Development is my own work, that it has not been submitted for any
degree or examination in any other university, and that all the sources I have used or quoted
have been indicated and acknowledged by complete references.

Rochelle Nicolette Davids

Signed RN Davids

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The Viability of the South African National Development Plan and Amartya Sen’s Theory of Ethical Development 2016

Acknowledg  ement
“Blessing and glory and wisdom and thanksgiving and honour and power and might be to

our God forever and ever.”
-Revelation 7:12-
With sincere gratitude to:
My thesis supervisor, Professor Christo Lombard, Acting Director: Desmond Tutu
Centre, University of the Western Cape, for your continuous guidance, support,
encouragement, and wisdom throughout this study. Without your time, patience and
assistance this project would not have been achievable. Thank you!
The National Institute for the Humanities and Social Sciences (NIHSS) for the three
year funding I received towards my PhD. Heartfelt appreciations to Dr Ntabiseng
Motsemme, Academic Director and Ms June-Rose Ngcobo, Human Capacity
Programme Officer and all other staff at NIHSS who were always so helpful and
provided me with their continuous support.
Dr Jean Lombard for your instrumental contribution to this project. Thank you for
your invaluable recommendations and for professionally editing this manuscript.
Dr Sibonginkosi Mazibuko, Chair of Development Studies, University of South
Africa, for your constructive comments and advice.
Prof Olagoke Akintola, Senior Lecturer in Psychology and expert in research
methods, University of KwaZulu-Natal, for your beneficial annotations.
UWC Division for Postgraduate Studies and Faculty of Arts, especially Ms Villeen
Beerwinkel for assisting with administrative matters.
My family, friends and colleagues for your personal support, motivation and
encouragement. Much love and appreciation!
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The Viability of the South African National Development Plan and Amartya Sen’s Theory of Ethical Development 2016

Abstract

―Development‖ has emerged as a key word indicating the level of participation in and integration into

the global economy of previously ―under-developed‖ or marginalized countries, especially from the
so-called ―Third World‖. Even though decolonial theory contests the validity of what is seen as a
particular arrogant Western assessment of the norms at work in such classification of nation-states, it
is widely accepted that there is a direct equation between growth and equality: The lower the level of
inequality in any country, the faster and the more sustainable the growth in the economy is expected
to be. South Africa‘s dilemma is that it portrays the extreme negative aspect of this fundamental
socio-economic formula. The country has a high level of inequality and seems to be stuck in low
economic growth! In essence, the current high level of inequality in South Africa results in slow and
unsustainable growth in the economy. A healthy development path for South Africa would mean that
both economic growth and equality should be sustainably sought. Colonial and apartheid periods
elicited processes of planning and development which may have been well-managed and controlled
but were fundamentally unjust, being based on stark inequalities, and thus strongly and justifiably
opposed.
The central focus of this study is to ethically assess the rationale and implementation of the South
African National Development Plan (NDP), developed on the basis of the country‘s model new
Constitution in order to ensure good quality of life and dignity for all its citizens. The goal of this
study is to determine to which extent the NDP is viable in this sense, and can be supported on the
basis of a responsible ethical development paradigm, such as Amartya Sen‘s comprehensive theory of
―development as freedom‖. The relevance of this thesis is that it aims at contributing towards a
trustworthy assessment framework for testing all aspects of the NDP, especially its ethical viability.
To test the viability of the NDP the study zoomed in on detailed assessments of the following
frameworks:
1) Critical historical studies of South Africa‘s international political and economic development,
2) Constitutional and human rights studies into the constitutional framework of the NDP and its
socio-ethical perspectives,
3) Studies on Development Theory to identify gaps or suspect aspects of the NDP,
4) Studies on globalization and a global ethic to specifically understand the positive and
negative sides of globalization as relevant factors in development discourse in South Africa,
and
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The Viability of the South African National Development Plan and Amartya Sen’s Theory of Ethical Development 2016

5) A particular study of Sen’s comprehensive development framework to use a theory
acknowledged for its comprehensiveness and ethical sharpness to thoroughly assess the

strengths and weaknesses of the NDP.

Some preliminary findings drawn from this study suggest that the (utilitarian or consequentialist)
goals and objectives of the NDP are generally see n as positive and pointing in the right direction.
However, the deeper ethical analysis of the NDP, linked to the emergence of responsibility theory, a

global ethic (a deontological social ethic for the world), a particular African virtue ethic (Ubuntu), and
specifically to Amartya Sen‘s ethical analysis of the kind of agency and freedom needed by the actors
in the drama of development – together - expose various shortcomings in the NDP, some of its goals,
its implementation, sustainability, and the new ethos it embodies.
The concluding remarks of this study thus provide a number of critical points, ethically spoken, on
crucial details of the NDP. Such aspects of the NDP are, for instance, its ―utility‖ (according to the
theory which holds that actions are right if they lead to optimum happiness for the greatest number of
people); its ―morality‖ (good outcomes or results produced by right actions, consequences which
generally outweigh all other considerations); its ―virtue‖ (which focuses on individual agency,
morality and duties), but also in typical African fashion, the quality of its ―Ubuntu‖ (the being
together of people defining each member of the clan‘s humanity and dignity). Sen‘s accent on the
inner freedom, the agency, of individuals and people, organized in civil society - to support each
other, to be open, ready and engaged in their own development - seems to provide some of the
missing ingredients for the NDP and its path. Such ingredients cannot be guaranteed or ―produced‖ by
human rights, constitutions, rule of law, or even a bill of rights. In the face of state capture, corrupt
leadership, personal greed, lack of personal integrity or virtue, disregard for divine commands or
human rights, this one factor seems to be the only medicine that works: deep-seated personal agency
(of the individual and of civil society), generating strong determination, joint action and a belief of a
future commonwealth that does honour the original dream of the Freedom Charter.
Hopefully the critical questions emerging from the multi-level ethical assessment of the NDP, may
stimulate new debates and set out new research agendas for a just and peaceful future for the
―Rainbow Nation‖.
KEY WORDS: Development, Globalization, Ethos, Economy, Sustainability, Human Rights,
Capability Approach, Freedom, Equality, Participation, Decolonial

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The Viability of the South African National Development Plan and Amartya Sen’s Theory of Ethical Development 2016

Table of Contents
Title Page  
Declaration i

Acknowledgements ii
Abstract iii

Key Words iv
Table of Contents v

List of Figures and Tables ix
List of Abbreviations x

CHAPTER 1: INTRODUCTION 1

1.1 Orientation 1
1.2 Research Background 4
1.3 Research Relevance 7
1.4 Problem Statement 7
1.5 Research Question 9
1.6 Literature Review 9
1.7 Theoretical Framework 11
1.8 Methodology 14
1.9 Brief Overview of Chapters 15

CHAPTER 2: SOUTH AFRICA‟S ECONOMIC AND POLITICAL HISTORY:
COLONIAL AND APARTHEID EXPLOITATION 17

2.1 Introduction 17

2.2 Terreblanche‟s Critical Review of South Africa‟s Political-Economic History 18

2.2.1 The British Colonial Influence (Empire): 1910-22 19
2.2.2 Afrikaner Economic Nationalism: 1922-33 21
2.2.3 Dominance of English Power: 1933-48 22
2.2.4 Afrikaner Upliftment: Further Institutionalization of Apartheid: 1948-60 25
2.2.5 Verwoerdian Ideology, Dominance and Black Urbanization: 1960-73 27
2.2.6 Constant Industrialization: 1973-84 29
2.2.7 Rapid Decrease in Economic Growth: 1984-94 31
2.2.8 Post-apartheid and a New Constitutional Democracy: 1994-onwards 32

2.3 Transition of South Africa‟s Economy from Apartheid to Democracy:
Mandela, Mbeki, Zuma and the Decolonial Option 34

2.3.1 Mandela: The Post-apartheid Economic Dream 35
2.3.2 Mbeki: South Africa‘s Blossoming Economy 38
2.3.3 Zuma: South Africa‘s Economic Poor Performance 41

2.4 The Remaining Challenge of Apartheid: Poverty, Unemployment, Inequality 44
2.4.1 Poverty 45
2.4.2 Unemployment 49
2.4.3 Inequality 54

2.5 Conclusion 58
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The Viability of the South African National Development Plan and Amartya Sen’s Theory of Ethical Development 2016

CHAPTER 3: DECOLONIAL REFLECTIONS ON THEORIES AND
CONCEPTS OF DEVELOPMENT 60

3.1 Introduction 60

3.2 Major Development theories 61

3.2.1 Decolonial Theory of Underdevelopment 61
3.2.2 Theory of Modernization 64

3.2.3 Theory of Dependency 66
3.2.4 Theory of World Systems 68
3.2.5 Theory of Globalization 70
3.2.6 Theory of a Fourth Generation Approach 72
3.2.7 The Capability Approach: Sen‘s Theory of Freedom and Agency 73
3.3 Concepts of Development 78

3.4 Conclusion 85

CHAPTER 4: STRUCTURAL FRAMEWORK OF THE NDP: THE
CONSTITUTION, HUMAN RIGHTS AND VIABILITY 86

4.1 Introduction 86

4.2 The Constitution of the Republic of South Africa (1996) at a Glance 87

4.2.1 Human Dignity 88
4.2.2 Non-Discrimination and Right to Equality 89
4.2.3 Rule of Law 91
4.2.4 Democracy 92
4.2.5 Participation 94

4.3 Socio-Economic Rights as Constitutive Feature of Development 98

4.4 Constitutional Human Rights and the Right to Development 101

4.5 The Implementation of the NDP 105

4.5.1 The NDP and its Proposals 106
4.5.2 Integration into Government Plans 107
4.5.3 Role of Different Sectors of Society 108
4.5.4 Financing 109
4.5.5 Provincial and Local Government 110
4.5.6 Monitoring and Reporting 111
4.5.7 Role of Leadership and Accountability 112

4.6 Viability as Major Factor in Assessing South Africa‟s Development Plan 113

4.6.1 Viability and the ‗Legal Playing Field‘: Ecological Sustainability 115
4.6.2 Viability and the Substance of the Law: Social and Economic Equality 115
4.6.3 Viability and the Effect of the Law: Political and Civil Freedoms 116
4.6.4 Viability and Legal Constraints: Access and Participation in Development 117
4.6.5 Viability of Rationale, Aims, Content and Implementation Targets 117

4.7 Conclusion 118

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The Viability of the South African National Development Plan and Amartya Sen’s Theory of Ethical Development 2016

CHAPTER 5: AMARTYA SEN‟S THEORY OF ETHICAL DEVELOPMENT IN
CONTEXT OF THE NDP 120

5.1 Introduction 120

5.2 Political Freedom: Inclusive Developm  ent for South Africa 122

5.2.1 Inclusive Rural Development   123
5.2.2 Democracy as Basis for Development 124

5.3 Economic Facilities: South Africa‟s Economic Growth and Employment 126

5.3.1 The GDP as Measurement for Economic Growth 127
5.3.2 The Interrelatedness between Employment and the Economy 130

5.4 Transparency Guarantees: Accountability, Corruption and
Building a Capable State 134

5.5 Protective Security: The Importance of South Africa‟s
Social Security Services 136

5.6 Social Opportunities: Core Elements of the NDP‟s
Human-Centred Approach 140

5.6.1 Human Development as Imperative Component of Inclusive Growth 141
5.6.2 Human-Centred Indices 144
5.6.3 Quality Healthcare 146
5.6.4 Improving Education and Training 151
5.6.5 The Shift to a Greener Economy 154

5.7 Conclusion 162

CHAPTER 6: THE NDP, CHALLENGES OF GLOBALIZATION AND
A GLOBAL ETHIC 165

6.1 Introduction 165

6.2 Critical Perspectives of Globalization 166

6.3 The Role of Globalization in South Africa‟s Development 174

6.3.1 Complexities of Globalization 175
6.3.2 Systematic Risks 176
6.3.3 The Inequality Burden 177
6.3.4 Politics around Globalization 178
6.3.5 Emerging Powers 179
6.3.6 Globalized Competition 180

6.4 The NDP and Globalization in terms of Ethical Theory 181

6.4.1 Utilitarian/Consequentialist Theory 182
6.4.2 Deontological Theory 182
6.4.3 Virtue Ethics and Ubuntu 183
6.4.4 The Theory of Responsibility 183
6.4.5 The Move from Individualist to Social and to Global Ethics 184

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The Viability of the South African National Development Plan and Amartya Sen’s Theory of Ethical Development 2016

6.5 The Idea of a Global Ethic 185

6.5.1 Globalization and a Global Ethic 185
6.5.2 South Africa in Context of the Id ea of a Global Ethic 186

6.6 The Declaration of a Global Ethic and Its Impact 187

6.6.1 ―There is no global order without a global ethic‖ 187

6.6.2 ―Every human being must be treated humanely‖ 189
6.6.3 ―Toward a culture of non-violence and respect for life‖ 190

6.6.4 ―Toward a culture of solidarity and just economic order‖ 191
6.6.5 ―Toward a culture of tolerance and a life in truthfulness‖ 192
6.6.6 ―Toward a culture of equal rights and partnership between
men and women‖ 193

6.7 Aspects of Development in a Global Ethic 194

6.7.1 Human Capability and a Global Ethic 194
6.7.2 Communitarianism and Ubuntu in a Global Ethic 194
6.7.3 Human Rights in a Global Ethic 196
6.7.4 The Market (Smith‘s Invisible Hand‖) in the Context of a Global Ethic 197
6.7.5 Sustainability and Social Justice in a Global Ethic 200

6.8 Conclusion 202

CHAPTER 7: ASSESSMENT AND CONCLUSIONS:
“ETHICAL DEVELOPMENT”? 205

7.1 Introduction 205

7.2 Ethical Assessment of the NDP 206

7.2.1 Positive Aspects of the NDP 206
7.2.2 Critical Assessment in View of Sen‘s Ethical Development Theory 210
7.2.3 Issues of Implementation and Viability 213
7.2.4 The NDP and Agency of the Individual and Communities 215
7.2.5 Dangers threatening the NDP 219

7.3 Conclusion 220

Bibliography 223

Acts 251

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The Viability of the South African National Development Plan and Amartya Sen’s Theory of Ethical Development 2016

List of Figures and Tables

Figures

Figure 1: National Poverty Lines: Poverty headcount and poverty gap 48

Figure 2: Level of Education of Unemployed Youth in 5-Year Age Groups, 2008,2015 50

Figure 3: Employment-to-population ratio 52
Figure 4: Gini coefficient 56
Figure 5: GDP per capita in current and real prices, Rand thousand 128
Figure 6: Access to free basic services for indigent households 138
Figure 7: Trends in infant mortality rates in SA 1998 and the 2005 MDG target 148
Figure 8: Awareness of HIV status in last 12 months, SA 2005-2012 149
Figure 9: National Senior Certificate overall pass rate, 2008-2013 152
Figure 10: Carbon Dioxide Emissions (total) in thousand metric Tons 160
Tables
Table 1: South Africa‘s HDI trends 145

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