towards the development of an appropriate organisational development approach for optimising ...

278 Pages·2008·10.25 MB·English

T
OWARDS THE DEVELOPMENT OF AN APPROPRIATE
O D
RGANISATIONAL EVELOPMENT APPROACH FOR
C B
OPTIMISING THE APACITY UILDING OF
C B
OMMUNITY ASED
O (CBO ): A 3
RGANISATIONS S CASE STUDY OF
CBO W C .
S IN THE ESTERN APE

BY
SCHIRIN YACHKASCHI

DISSERTATION PRESENTED FOR THE DEGREE OF
DOCTOR OF PHILOSOPHY (DEVELOPMENT MANAGEMENT)
AT STELLENBOSCH UNIVERSITY

SUPERVISOR: PROF. MARK SWILLING

DECEMBER 2008
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Declaration

By submitting this dissertation electronically, I declare that the entirety of the
work contained therein is my own, original work, that I am the owner of the
copyright thereof (unless to the extent explicitly otherwise stated) and that I
have not previously in its entirety or in part submitted it for obtaining any
qualification.

Date: 19.11.2008

Copyright © 2008 Stellenbosch University
All rights reserved
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Abstract
The aim of the study is to develop an appropriate Organisational Development (OD)
approach to optimise the capacity of Community-Based Organisations (CBOs) and promote
Community and Civil Society Development. The following research question is examined:
In what ways can OD be a suitable approach to build the capacity of CBOs and thus have
an impact on Community and Civil Society Development?

The study is motivated by current development challenges in South Africa1 and the role civil
society can play to represent citizens’ interests in relation to state and market2. As part of civil
society, CBOs are generally recognised as pivotal stakeholders in the South African
development context3, but are in reality marginalised and unable to assert themselves in the
development sector.
Furthermore Development Theory shows that theorists have in the recent past increasingly
advocated for ‘democratisation of development’, enabling previously marginalised people
to participate in development processes and therefore gain power over these. Although not
widely practised reality yet, ‘People centred’ and ‘Participatory development’ as bottom-up
and endogenous versions of development are being promoted as sustainable development
paradigms. They emphasise the importance of building capacity of civil-society
organisations4.

OD as an approach to development and capacity building collaborates with the goals of a
people centred development and the strengthening of civil society organisations, and is “in
line with several participative approaches to development”5. It is, however, relevant to
cultivate a “new development practitioner”, who is competent to facilitate capacity-building
processes, which will meaningfully impact at the grassroots level6.

The study is guided by a postmodern philosophy and stems from a phenomenological as well
as transformative approach by applying a Goethean phenomenology, Action Research,
Grounded Theory, Complexity Theory and various qualitative research methodologies, such
as case study work with three CBOs; and semi-structured interviews with CBOs, community
leaders, OD practitioners and academics. Furthermore the research includes a sociological
examination of the current development context and paradigms, and their impact in post
Apartheid South Africa. During the research, findings were engaged with by a discussion
forum.
The research findings included the discussion of themes, which emerged through the
Grounded Theory approach:
∗ CBO capacity, by examining how capacity is interpreted at a CBO level in relation to
inherent capacities;
∗ Leadership, and the role of pioneer leaders in CBOs; and
∗ Relationships, within CBOs as well as with their broader environment.

These themes were understood as relevant when aiming to develop CBO capacity as well as
engaging with the broader capacity development sector. Further, principles and
approaches for OD at a CBO level are proposed, which are ultimately related through their
view of organisations as complex social systems, their emphasis on learning, and the critical
examination of power asymmetries.
It is intended that this study contributes to development practice concerning CBO
development within and beyond South Africa. Ultimately the study aims to influence current
development paradigms and contribute to an enabling development context and the
building of a strong and proactive civil society.

1 Donk & Pieterse 2004: 38-51
2 Clark 2003: 95
3 African National Congress 2000: 131; Ministry for Provincial Affairs and Constitutional Development 1998: 22
4 Brews 1994:7; Rahnema 1990: 201 in Babbie & Mouton 2001: 65; Kaplan, 1996: 61; CDRA 1998/9: 3; Schuurman 1992, cited
in Eade 1997: 13
5 James 1998: 16
6 Kaplan, 1996: 63-64
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Opsomming
Die doel met die studie is om 'n geskikte benadering tot Organisatoriese Ontwikkeling (OO) te
ontwikkel ten einde die kapasiteit van Gemeenskapsgebaseerde Organisasies (GBO's) te
optimaliseer en die ontwikkeling van die gemeenskap en die burgerlike samelewing te
bevorder. Die volgende navorsingsvraag word ondersoek:
Op watter maniere kan OO 'n geskikte benadering bied om die kapasiteit van GBO's te bou
en sodoende 'n impak op die gemeenskap en die burgerlike samelewing uit te oefen?

Die studie word gemotiveer deur huidige ontwikkelingsuitdagings in Suid-Afrika7 en die rol
wat die burgerlike samelewing kan speel om die belange van die burgers met betrekking tot
die staat en die mark8. te verteenwoordig. As deel van die burgerlike samelewing word
GBO's algemeen as van die vernaamste belanghebbers in die Suid-Afrikaanse
ontwikkelingskonteks9 beskou, maar in werklikheid word hulle gemarginaliseer en is hulle nie in
staat om hulle in die ontwikkelingsektor te laat geld nie.

Voorts toon Ontwikkelingsteorie dat teoretici in die verlede toenemend gepleit het vir 'n
"demokratisering van ontwikkeling" waardeur voorheen benadeelde mense in staat gestel
sou word om aan die ontwikkelingsprosesse deel te neem, en daardeur mag oor hierdie
prosesse te bekom. Alhoewel dit nog nie in die werklikheid wyd toegepas word nie, word
"mens-gesentreerde" en "deelnemende" ontwikkeling as onder-na-bo en endogene
weergawes van ontwikkeling as volhoubare ontwikkelingsparadigmas bevorder. Hulle
beklemtoon hoe belangrik dit is om die kapasiteit van organisasies in die burgerlike
samelewing te bou10.

OO as 'n benadering tot ontwikkeling en kapasiteitbou werk saam met die doelwitte van 'n
mensgesentreerde ontwikkeling en die verstewiging van organisasies in die burgerlike
samelewing, en is "in lyn met etlike deelnemende benaderings tot ontwikkeling”11. Dit is egter
relevant om 'n "nuwe ontwikkelingspraktisyn" te kweek wat bekwaam is om
kapasiteitbouprosesse te fasiliteer wat 'n beduidende uitwerking op die voetsoolvlak sal hê12.

Die studie word deur 'n postmoderne filosofie gerig en spruit voort uit 'n fenomenologiese
sowel as 'n transformatiewe benadering, deur 'n Goetheaanse fenomenologie,
Aksienavorsing, Gegrondheidsteorie, Kompleksiteitsteorie en verskeie kwalitatiewe
navorsingsmetodologieë toe te pas soos gevallestudiewerk met drie GGO's, en semi-
gestruktureerde onderhoude met GGO's, gemeenskapsleiers en akademici. Voorts sluit die
navorsing 'n sosiologiese ondersoek in van die huidige ontwikkelingskonteks en paradigmas,
en die impak daarvan op post-apartheid Suid-Afrika. Tydens die navorsing is daar by wyse
van 'n besprekingsforum met die bevindinge omgegaan.

Die navorsingsbevindinge het die bespreking van temas ingesluit wat deur die
Gegrondheidsteoriebenadering na vore gekom het:
GGO-kapasiteit, deur na te gaan hoedat kapasiteit op die GGO-vlak geïnterpreteer word in
verhouding met inherente kapasiteite;
Leierskap en die rol van baanbrekerleiers in GGO's; en
Verhoudinge, binne GGO's sowel as met hul breër omgewing.

Hierdie temas is as relevant beskou waar gepoog was om GGO-kapasiteit te bou, sowel as
wanneer daar met die breër kapasiteitontwikkelingsektor omgegaan is. Verder word daar vir
OO op die GGO-vlak beginsels en benaderings voorgestel wat in die laaste instansie met

7 Donk & Pieterse 2004: 38-51
8 Clark 2003: 95
9 African National Congress 2000: 131; Ministry for Provincial Affairs and Constitutional Development 1998: 22
10 Brews 1994:7; Rahnema 1990: 201 in Babbie & Mouton 2001: 65; Kaplan, 1996: 61; CDRA 1998/9: 3; Schuurman 1992, cited
in Eade 1997: 13
11 James 1998: 16
12 Kaplan, 1996: 63-64
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mekaar verband hou deurdat hulle almal organisasies as komplekse sosiale stelsels beskou,
klem lê op leer, en magsongelykhede krities ondersoek.

Die bedoeling is dat hierdie studie 'n bydrae sal maak tot die ontwikkelingspraktyk met
betrekking tot die GGO-ontwikkeling binne sowel as buite Suid-Afrika. In die laaste instansie
beoog die studie om huidige ontwikkelingsparadigmas te beïnvloed en by te dra tot 'n
ontwikkelingskonteks waardeur mense bekwaam gemaak sal word, en tot die bou van 'n
sterk en pro-aktiewe burgerlike samelewing.
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Acknowledgements
This thesis has been a long journey for me, upon which I had many supporters, who I would
like to thank in these lines.
First of all I would like to thank the CBOs who have been willing and open to work with me as
case studies, and had the courage to grow through their challenges. You have my utmost
respect.
In the same way I also want to thank all the interviewees from CBOs, NGOs, donors and
academics, who have given their time to support my thinking process.

A big thank you also goes to my colleagues at Community Connections, where I worked for 5
years as organisational development facilitator, and conducted my research from.
Connections has always made efforts in order to support my study and integrate it into work
processes, and colleagues have enriched my thinking process all along through critical
questions and feedback. I hope this thesis will contribute to Connections’ ongoing reflections
on CBO capacity development.

On my quest of conceptualising the research I was looking for the right supervisor (who I
fortunately found) and a scholarship (which unfortunately never materialised) over a long
time. During that period and after there were many supporters who encouraged me on my
way and gave me invaluable advice towards my concept:

∗ Prof. Marion Keim from the University of the Western Cape helped me in my very early
stages of conceptualising my research in 2004.
∗ Detlef Pypke from PNP Hamburg supported me financially in 2005 in order to take a day
per week for literature research and writing my PhD proposal.
∗ Prof. Alan Fowler gave me very valuable feedback regarding my proposal in 2005, and
provided me with advice on relevant literature on an ongoing basis. Alan and Wendy
Crane also gave me a week’s refuge in their lovely cottage during my final edit.
∗ Sue Soal from CDRA became my practice mentor from 2004-06, which enhanced my
action research process with the case CBOs. She also gave crucial input during my
proposal writing phase and led me towards relevant literature.
∗ Rebecca Freeth became my peer mentor, and our reflections similarly helped the
thinking through and learning from case study work.
∗ The PhD forum with my colleagues from Connections, Sue Soal and Rebecca Freeth
played an important role in presenting initial ideas and getting feedback and more
thought provoking ideas.
∗ Eve Annecke and the Sustainability Institute supported my PhD-writing period through
commissioning case story writings.
∗ The CDRA, Beth Jandernoa and Glennifer Gillespie (Collaborative Change Works), Otto
Scharmer and Mille Boyer (Generon Consulting / Pioneers of Change), allowed me to
attend relevant courses at a reduced rate, which ultimately enriched the working
methodology with CBOs.
∗ Siobhain Pothier from CDRA became my most reliable and knowledgeable librarian on
Earth.
∗ Anthony Sloan gave much encouragement and support along the way.
∗ While I was working with my head most of the time, I needed support to stay connected
to my body and soul in order to remain whole. A big support towards that came from
music and dancing, and I want to particularly thank Astor Piazzolla and the Tango.
All of you have made it possible for me to hold out on a sometimes rocky road and keep faith
in my ability to walk it till the end. I want to express my heartfelt gratitude to you.

Finally, I want to thank Prof. Mark Swilling for his supervision, which gave me all the space I
needed in order to find my own answers; while providing ideas and questions at the right
time, refreshing my thinking process and leading me towards relevant areas of knowledge.
Without his supervision I may not have had the courage to stay with my story.
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Table of contents

Abstract...............................................................................................................................................v
Opsomming.......................................................................................................................................vi
Acknowledgements.........................................................................................................................viii
Table of contents...............................................................................................................................ix
Illustrations..........................................................................................................................................xii
List of Acronyms................................................................................................................................xiii

1 Introduction..................................................................................................................................3
1.1 Background...............................................................................................................................3
1.2 Research question....................................................................................................................4
1.3 Structure of the thesis...............................................................................................................5

2 Theoretical framework of the research.....................................................................................9
2.1 Complexity theory.....................................................................................................................9
2.1.1 Characteristics of complex systems................................................................................9
2.2 Development paradigms......................................................................................................10
2.2.1 Historical background.....................................................................................................10
2.2.2 Alternative development concepts.............................................................................12
2.2.3 Neoliberalism and the developmental state..............................................................15
2.2.4 Towards a strong civil society........................................................................................17
2.3 Community Development.....................................................................................................19
2.3.1 Definition of Community.................................................................................................19
2.3.2 Historical Context of Community Development........................................................19
2.4 Capacity development.........................................................................................................22
2.5 Organisational Development...............................................................................................24
2.5.1 Organisation and Management Theory......................................................................24
2.5.2 Roots, definition and characteristics of OD.................................................................25
2.5.3 Goals and Values............................................................................................................27
2.5.4 Various approaches........................................................................................................27
2.6 Leadership................................................................................................................................34
2.6.1 Definitions..........................................................................................................................34
2.6.2 Leadership and organisation theory............................................................................35
2.6.3 The influence of complex systems theory....................................................................36
2.6.4 African vs. Western concepts........................................................................................37
2.7 Power........................................................................................................................................38
2.8 Summary...................................................................................................................................40

3 Research Paradigms.................................................................................................................43
3.1 Postmodernism........................................................................................................................44
3.2 Grounded Theory....................................................................................................................45
3.3 A Goethean Approach to Phenomenology......................................................................46
3.4 Action Research......................................................................................................................50
3.5 Research methodology.........................................................................................................52
3.5.1 Analysis of the broader context....................................................................................52
3.5.2 Interviews with CBOs and community leaders...........................................................53
3.5.3 Conducting in-depth research with case studies......................................................54
3.6 Delimitation of study area & access to the target group................................................59
3.7 Research ethics.......................................................................................................................60
3.8 Summary...................................................................................................................................60

4 The development context & CBOs in South Africa.................................................................63
4.1 The South African development context............................................................................63
4.1.1 Neoliberal policies...........................................................................................................64
4.1.2 Developmental state......................................................................................................65
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4.2 Civil Society..............................................................................................................................66
4.2.1 Definition of civil society.................................................................................................67
4.2.2 Civil society in South Africa............................................................................................67
4.3 CBOs in South Africa...............................................................................................................69
4.3.1 Background......................................................................................................................69
4.3.2 Definition & role................................................................................................................70
4.3.3 Relationships with other stakeholders...........................................................................71
4.3.4 Legal & funding context.................................................................................................73
4.4 Description of CBOs working with Community Connections...........................................74
4.4.1 Types of CBOs...................................................................................................................75
4.4.2 CBO-Structures.................................................................................................................75
4.4.3 Strengths & challenges...................................................................................................76
4.5 Summary...................................................................................................................................78

5 Case Portrayals: seeing the phenomenon ‘as it is’................................................................81
5.1 Introduction to case & process descriptions......................................................................81
5.2 Portrayal: Impiliso HIV & AIDS Organisation.........................................................................83
5.3 Portrayal: Uxolo Community Health Organisation.............................................................85
5.4 Portrayal: Concerned Residents Association......................................................................87
5.5 Portrayal: Community Connections.....................................................................................90

6 The OD-process with Impiliso: seeing the unfolding..............................................................97
6.1 Initial meeting April 2004........................................................................................................97
6.2 Diagnosis/ Review...................................................................................................................97
6.3 Feedback of Findings May 2004...........................................................................................98
6.4 Strategic Planning...................................................................................................................99
6.5 Follow-up mentoring June-August 2004............................................................................100
6.6 Review September 2004......................................................................................................100
6.7 Review and Planning January 2005...................................................................................101
6.8 Organisational Review and Communication Workshop July 2005...............................103
6.9 Organisational Review May 2006.......................................................................................104
6.10 Organisational and programme review September 2006.........................................107
6.11 After-thoughts on Impiliso: seeing is beholding............................................................109
6.11.1 Strengths..........................................................................................................................109
6.11.2 Requests for support & what was facilitated............................................................110
6.11.3 Shift in process................................................................................................................111
6.11.4 Power and hierarchy.....................................................................................................111
6.11.5 A system’s view..............................................................................................................112
6.12 Methods Used in Each Phase..........................................................................................113

7 OD Process with Uxolo: seeing the unfolding.......................................................................117
7.1 Initial meeting........................................................................................................................117
7.2 Review Workshop/ Diagnosis April 2005............................................................................117
7.3 Feedback session May 05....................................................................................................118
7.4 Policy and systems development July-August 2005........................................................119
7.5 Mentoring session September 05........................................................................................121
7.6 Mentoring session October 05............................................................................................122
7.7 Strategic Review and Planning January 06......................................................................123
7.8 Action-Learning mentoring March 2006...........................................................................126
7.9 Action-Learning mentoring May 2006...............................................................................126
7.10 Review workshop September 06.....................................................................................127
7.11 After-thoughts on Uxolo: seeing is beholding...............................................................130
7.11.1 Strengths & challenges.................................................................................................130
7.11.2 Pioneer leadership.........................................................................................................131
7.11.3 Reflection and learning................................................................................................132
7.11.4 Donor influences & facilitator’s role............................................................................132
7.11.5 Unfolding of the process & its usefulness....................................................................133
7.12 Methods Used in Each Phase..........................................................................................135