POLITICS OF PUBLIC POLICY IMPLEMENTATION IN GHANA: A CASE STUDY OF THE GHANA EDUCATION TRUST FUND (GETFUND) BY ABIGAIL OPPONG (10229011) THIS THESIS IS SUBMITTED TO THE UNIVERSITY OF GHANA, LEGON IN PARTIAL FULFILMENT OF THE REQUIREMENT FOR THE AWARD OF MPHIL POLITICAL SCIENCE DEGREE JULY 2013 University of Ghana http://ugspace.ug.edu.gh i DECLARATION This is to certify that this thesis is the result of research undertaken by Abigail Oppong towards the award of the Master of Philosophy (M.Phil) Political Science in the Department of Political Science, University of Ghana. ………………………………… ………….………… Abigail Oppong Date (Student, SID: 10229011) …………………………… ………………… Dr. Bossman E. Asare Date (Principal Supervisor) …………………………… …………..……... Dr. Abdulai K. Mohammed Date (Co-Supervisor) University of Ghana http://ugspace.ug.edu.gh ii ABSTRACT The Ghana Education Trust Fund (GETFund) was established by an Act of Parliament in 2000, Act 581, to promote the development of education in the country. Notwithstanding the well- crafted nature and noble intentions of the GETFund policy, its implementation has suffered setbacks. Analysis of data collected revealed that GETFund has been politicized. Its implementation has generated conflict among competing forces including disagreements, suspicions and an effort to sidestep frontline institutions and individuals tasked with the responsibility to administer the fund. These political interferences the study revealed have undermined the attainment of the objectives of the Fund. Proposals to improve on the implementation of GETFund such as a depoliticized process of application of GETFund would free it from the manipulations by politicians and their bureaucratic collaborations. Keywords: Politics, Policy Implementation, Educational Financing. University of Ghana http://ugspace.ug.edu.gh iii DEDICATION To God be the Glory This work is dedicated to my lovely parents Mr. and Mrs. Oppong for their continuous support and encouragement in every aspect of my life. University of Ghana http://ugspace.ug.edu.gh iv ACKNOWLEDGEMENT I am very grateful to my academic supervisors, Dr. Bossman Asare and Dr. Abdulai for their immense support and contributions towards this work. I am indebted to Prof. Gyimah Boadi for his unflinching support and encouragement during the most difficult times of my academic life. Thank you for being a father to me. I also want to thank the faculty members of the Department of Political Science especially Nene Lomotey Kudichar, Dr. Owusu Mensah, Dr. Aggrey Darko and Dr. Osei for their interest in my work. My deepest appreciation goes to Mark and Miezah for their support and encouragement. I also express my sincere gratitude to my siblings Evelyn, Lydia, Miriam and Isaac as well as my Chaplin Greg Davis for their prayers and continuous encouragement. I want to acknowledge my friends and colleagues especially Danso, Collins, Bawa and Nyama for the various roles they played in my academic life. Words cannot express how grateful I am to you all. God bless you. University of Ghana http://ugspace.ug.edu.gh v TABLE OF CONTENTS DECLARATION ....................................................................................................................... i ABSTRACT .............................................................................................................................. ii DEDICATION ......................................................................................................................... iii ACKNOWLEDGEMENT ...................................................................................................... iv TABLE OF CONTENTS ......................................................................................................... v LIST OF ABBREVIATIONS ................................................................................................. ix LIST OF FIGURES ............................................................................................................... xii LIST OF TABLES ................................................................................................................. xiii CHAPTER ONE ...................................................................................................................... 1 INTRODCUTION AND BACKGROUND ............................................................................ 1 1.1 INTRODUCTION ......................................................................................................... 1 1.2 STATEMENT OF THE PROBLEM .............................................................................. 4 1.3 OBJECTIVES ................................................................................................................ 6 1.4 RESEARCH QUESTIONS ............................................................................................ 6 1.5 OPERATIONAL DEFINITION ..................................................................................... 7 1.5.1 POLITICS .................................................................................................................. 7 1.6 SIGNIFICANCE OF THE STUDY ............................................................................... 7 1.7 LIMITATIONS ............................................................................................................... 7 1.8 ORGANIZATION OF THE STUDY ............................................................................. 8 I.9 LOCATION OF STUDY IN POLITICAL SCIENCE ..................................................... 9 University of Ghana http://ugspace.ug.edu.gh vi CHAPTER TWO ................................................................................................................... 10 THEORETICAL FRAMEWORK AND LITERATURE REVIEW ................................. 10 2.1 INTRODUCTION ....................................................................................................... 10 2.2 THEORETICAL FRAMEWORK ............................................................................... 10 2.2.1 THE THEORY OF IMPLEMENTATION ..............................................................11 2.2.2 COMPLEXITY OF JOINT ACTION .....................................................................11 2.2.3 DEPLOYMENT OF THEORY ............................................................................... 12 2.3 LITERATURE REVIEW .......................................................................................... 13 2.3.1 STUDIES ON POLICY IMPLEMENTATION ......................................................... 13 2.3.2 STUDIES ON POLICY IMPLEMENTATION IN GHANA .................................... 17 2.3.3 GENERAL REVIEW ON FINANCING OF EDUCATION .................................... 18 2.3.4 EDUCATION FINANCING IN DEVELOPING COUNTRIES .............................. 19 2.3.5 EDUCATION FINANCING IN GHANA ................................................................ 23 2.3.6 THE GHANA EDUCATION TRUST FUND ........................................................... 27 2.3.6.1 SOURCES OF MONEY FOR THE FUND ....................................................... 28 2.3.6.2 COMPOSITION OF BOARD OF TRUSTEES (BOT) ..................................... 29 2.3.6.3 EMPIRICAL WORKS ON GETFUND .............................................................. 31 2.4 CONCLUSION ........................................................................................................... 33 CHAPTER THREE ............................................................................................................... 35 METHODOLOGY ................................................................................................................. 35 3.1 INTRODUCTION ....................................................................................................... 35 3.2 RESEARCH STRATEGY ........................................................................................... 35 3.3 DATA COLLECTION .................................................................................................. 36 3.3.1 PRIMARY DATA .................................................................................................. 36 University of Ghana http://ugspace.ug.edu.gh vii 3.3.2 SAMPLING TECHNIQUE ................................................................................... 37 3.3.3 SAMPLE SIZE ...................................................................................................... 37 3.3.4 RESEARCH INSTRUMENT ................................................................................ 38 3.3.5 SECONDARY SOURCES .................................................................................... 38 3.4 VALIDITY AND RELIABILITY ............................................................................... 39 3.5 ETHICS ....................................................................................................................... 39 3.6 FRAMEWORK FOR DATA ANALYSIS ................................................................... 41 3.7 LIMITATIONS ............................................................................................................ 41 3.7 FIELD WORK ............................................................................................................. 42 3.8 CONCLUSION ............................................................................................................ 43 CHAPTER FOUR .................................................................................................................. 44 DATA ANALYSIS AND DISCUSSIONS ............................................................................. 44 4.1 INTRODUCTION ........................................................................................................ 44 4.2 ACTORS AND INSTITUTIONS INVOLVED IN THE IMPLEMENTATION OF GETFUND ........................................................................................................................... 44 4.2.1 MINISTRY OF EDUCATION .............................................................................. 45 4.2.2 MINISTRY OF FINANCE AND ECONOMIC PLANNING (MoFEP) ............... 45 4.2.3 GHANA EDUCATION SERVICE (GES) ............................................................. 46 4.2.4 THE NATIONAL COUNCIL FOR TERTIARY EDUCATION (NCTE) ............. 47 4.2.5 GHANA REVENUE AUTHORITY ..................................................................... 47 4.2.6 GETFUND SECRETARIAT ................................................................................. 48 4.3 APPOINTMENT AND POLITICS .............................................................................. 48 4.4 POWER PLAY IN THE IMPLEMENTATION OF GETFUND ................................. 50 4.4.1 THE SECRETARIAT VERSUS THE MINISTRY OF FINANCE ....................... 50 University of Ghana http://ugspace.ug.edu.gh viii 4.4.2 MINISTRY OF EDUCATION VERSUS THE GETFUND ADMINISTRATOR 52 4.5 EFFECTS OF POWER PLAY ON THE IMPLEMENTATION OF THE GETFUND POLICY ................................................................................................................................ 54 4.6 FACTORS THAT INFLUENCE GETFUND ALLOCATION .................................... 56 4.7 CHALLENGES IN THE IMPLEMENTATION OF GETFUND ................................ 63 4.8 CONCLUSION ............................................................................................................ 67 CHAPTER FIVE .................................................................................................................... 69 SUMMARY, CONCLUSION AND RECOMMENDATIONS ........................................... 69 5.1 INTRODUCTION ........................................................................................................ 69 5.2 SUMMARY OF KEY FINDINGS ............................................................................... 70 5.2.1 POWER PLAYS AMONG THE ACTORS INVOLVED IN THE IMPLEMENTATION OF THE FUND ............................................................................. 70 5.2.2 THE INFLUENCE OF POWER PLAY ON THE OUTCOMES OF THE IMPLEMENTATION OF THE GETFUND ..................................................................... 70 5.2.3 THE FACTORS THAT INFLUENCE GETFUND ALLOCATION ....................... 71 5.2.4 OTHER CHALLENGES IN THE IMPLEMENTATION OF GETFUND ....... 72 5.3 CONCLUSION ......................................................................................................... 72 5.4 RECOMMENDATIONS ........................................................................................... 73 BIBLIOGRAPHY .................................................................................................................. 75 APPENDICES ........................................................................................................................ 85 University of Ghana http://ugspace.ug.edu.gh ix LIST OF ABBREVIATIONS AGI Association of Ghana Industries BOT Board of Trustees CEPS Customs, Excise and Preventive Service CPP Conventions People Party EIP Emergency Intervention Program ERP Economic Recovery Programme ESITF Educational Security and Insurance Trust Fund FCUBE Free Compulsory Basic Education FI Financial Institutions GEA Ghana Employers Association GES Ghana Education Service GETFund Ghana Education Trust Fund GNAT Ghana National Association of Teachers GNUPS Ghana National Union of Polytechnic Students GOG Government of Ghana GPRS I Ghana Poverty Reduction Strategy GPRS II Growth and Poverty Reduction Strategy GRA Ghana Revenue Authority GSGDA Ghana Shared Growth and Development Agenda GUSS Ghana Universal Salary Structure HED Higher Education Division University of Ghana http://ugspace.ug.edu.gh x IFIs International Financial Institutions IMF International Monetary Fund IRS Internal Revenue Service MoE Ministry of Education MoFEP Ministry of Finance MP Member of Parliament NCHE National Council for Higher Education NCT .National Council on Tertiary Education NCWD .National Council on Women and Development NDC National Democratic Congress NDPC National Development Planning Commission NHIS National Health Insurance Scheme NPP .New Patriotic Party NUGS .National Union of Ghana Students NYEP National Youth Employment Programme PSI Presidential Support Initiative RA Revenue Agencies RAGB Revenue Agencies Governing Board RB .Religious Bodies SAP Structural Adjustment Programme SHS Senior High School SLT .Students Loans Trust SS Scholarship Secretariat University of Ghana http://ugspace.ug.edu.gh xi SUP Schools Under trees Program TEEF Tertiary Education Endowment Fund URC University Rationalization Committee VAT Value Added Tax WB World Bank University of Ghana http://ugspace.ug.edu.gh xii LIST OF FIGURES Figure 4.1: GETFund Distribution Formular, 2009 and 2010 ...................................................... 61 Figure 4.2: GOG Budget for Education, 2004-2009 ..................................................................... 65 University of Ghana http://ugspace.ug.edu.gh file:///C:/Users/abigail/Desktop/yobo.docx%23_Toc363071488 xiii LIST OF TABLES Table 4. 1 GETFund Distribution Formula, 2009 ........................................................................ 59 Table 4.2 GETFund Distribution Formula, 2010 ......................................................................... 60 University of Ghana http://ugspace.ug.edu.gh 1 CHAPTER ONE INTRODCUTION AND BACKGROUND 1.1 INTRODUCTION Education is an essential ingredient in nation building and a vital component of development. According to Tandberg (2008), higher education provides students with an opportunity for upward mobility and personal development. Moreover, an educated workforce and citizenry stimulate national economic development. Globalization and the changing nature of technology have further brought to light the importance of education especially for developing countries. This is because it plays a key role in the ability of a developing country to absorb modern technology and to develop the capacity of self-sustaining growth and development (Todaro, 2006). However this very important sector of the society is beset with numerous challenges. Scholars such as Johnstone (1998), Effah (2003) and Atuahene (2006) have identified financial austerity or stringency among others as posing a serious threat to developing effective higher education system in the world. Education financing, especially at the higher level, is a major challenge both in the developed and developing world. The case of Ghana is brilliantly put forward by Effah (2003:343) who noted that „... the most serious challenge facing higher education in Ghana ... is inadequate funding.‟ This challenge has serious implications for higher education in the country in particular and developing countries as a whole. The World Bank identifies the lack of sustainable financing as limiting enrolment growth and skewing higher education towards low cost and low quality programs (World University of Ghana http://ugspace.ug.edu.gh 2 Bank/UNESCO, 2000). As a result, a number of policies have been adopted by different countries, both developed and developing, to deal with the problem. This includes strategies and programs that have been advanced by the World Bank (WB) and the International Monetary Fund (IMF). In the history of most African states (both in the colonial and post-colonial period) the financing of education has been the preserve of the state (Atuahene, 2006). In the immediate post-colonial era, African states had to take up the responsibility to train their nationals who were going to take over from the expatriates the mantle of running state institutions and providing public goods and services (Sanyal, 1998). There was therefore a strong recognition of education as a major tool for socio-economic development in most developing countries including Ghana. This propelled governments to devote significant resources to the education sector. The strategy of state-financing came to a halt after the 1980‟s when most developing countries were faced with economic crisis and had to turn to the International Financial Institutions (IFIs), namely, the WB and the IMF for assistance. The WB and IMF aid, which backed the economic reform programs adopted by developing countries (such as Ghana), came with “conditionalities,” notably, drastic reduction in public spending (Nelson 1990, Colgan,2002).This was the beginning of the wave of private financing of education in most developing countries. University of Ghana http://ugspace.ug.edu.gh 3 In Ghana, like most African countries, due to the government‟s inability to finance tertiary education wholly, the idea of cost sharing was introduced in 1997 through the adoption of the Akosombo Accord (NCTE, 1998). This idea of cost sharing divided responsibility for university funding between the government (responsible for 70 percent of total funding) and 30 percent from three other sources including internal revenue-generation by the university, private donations and students‟ tuition fees. However, the introduction of cost sharing policies in the country yielded negative response from the public. The policy was not only politicized and attacked by Ghanaians but it also created severe inequalities making higher education the preserve of the socially privileged (Atuahene, 2006). In the light of this there were various agitations by most groups especially the National Union of Ghana students (NUGS) for the abolition of the policy. As a result, there was a growing recognition among the public for a policy solution to the educational mess (Brenya & Asare, 2011). Consequently, NUGS came out with an initial proposal for the establishment of an Educational Security and Insurance Trust Fund (ESITF) and Tertiary Education Endowment Fund as alternatives to the cost sharing (NCTE, 1998). The president incorporated this proposal into his annual address to parliament in January 1999 and recommendations were subsequently made by a technical committee regarding its broad objectives and outlines (Harsch, 2000). The dialogue on funding tertiary education coincided with proposed introduction of a new tax, the Value Added Tax (VAT) in 1995. The proposed VAT was to be charged on the cost or University of Ghana http://ugspace.ug.edu.gh 4 price of imports, locally manufactured goods and services, at the rate of 17.5%. This sparked off public riots dubbed “kume- preko” meaning kill me completely (Quarshie, 2009). As a result of the public riots, the tax was withdrawn. In 1998 the VAT was reintroduced but at the rate of 10% after several consultations by the government. The 10% VAT rate was approved by parliament. The reintroduced VAT provided an opportunity to address the question of funding for an educational Trust. The Ministry of Education suggested that an additional 2.5% should be imposed on the VAT to be used as source of funds to support education in the country. After several deliberations by the Ministry of Education and other stakeholders, the funding proposal was accepted. This paved the way for the establishment of the Ghana Education Trust Fund (GET-Fund).Through an Act of Parliament 2000, (Act 581) the Ghana education trust fund was established to address the issues of educational financing in Ghana. 1.2 STATEMENT OF THE PROBLEM The Ghana Education Trust Fund was established by an Act of parliament in 2000, Act 581, as one of the various government policies that seek to promote educational funding. Thus the objective of the GETFund is to provide finance to supplement the vision of education at all levels by the Government. Money from the fund is to be used for the provision of financial support to the agencies and institutions under the Ministry of Education, for the development and maintenance of essential infrastructure in public educational institutions particularly, in tertiary institutions (GETFund Act, 2000). University of Ghana http://ugspace.ug.edu.gh 5 The Fund was also to provide supplementary funding to the Scholarship Secretariat to provide scholarship for gifted but needy students for second-cycle and accredited tertiary institutions in Ghana. In addition, it was to operate student loans schemes for students in accredited tertiary institutions and grants to tertiary institutions through loan scheme mechanisms and agencies approved by the Minister and the National Council on Tertiary Education respectively (GETFund Act, 2000). Notwithstanding the well-crafted nature and noble intentions of the GETFund policy, its implementation has suffered hiccups. The implementation process has been marred with politics. As pointed out by Turner and Hulme (1997) implementation is an arena where those with divergent interests in a policy engage in negotiations over the goals of the policy and conflict over the allocation of resources. Similarly, there are numerous political clashes over the allocation of resources at the implementation stage. Moreover, the implementation stage also witnesses politics based on factions, patron client ties and other affective forms which is highly suited to „individualized demand on the bureaucratic apparatus for the allocation of goods and services (Grindle, 1980:18). This suggests the politics of implementation especially in developing countries including Ghana. However, a survey of germane literature portends that although a sizable number of studies have been conducted on the implementation of public policy in Ghana (Aryee, 1992), only few have explored the politics surrounding the implementation of those policies. In addition, studies which specifically examine GETFund as a public policy have centered on evaluation (Atuahene 2006) and the agenda setting stage of the policy process (Brenya and Asare, 2011). For instance, in a study titled „A Policy Analysis of the Financing of Tertiary Education University of Ghana http://ugspace.ug.edu.gh 6 Institutions in Ghana: An Assessment of the Objectives and the Impact of the Ghana Education Trust Fund on Higher Education in Ghana‟, Atuahene (2006) analyzed the fulfillment of the objectives of the fund and its contribution towards higher education development in Ghana since its creation. This clearly reinforces the lacunae in the politics of implementation literature, particularly in relation the GETFund policy. Yet the impact of implementation on the process, content and outcome of policy is real. Therefore the aim of this study is to fill the gap in the literature by investigating the politics in the implementation of GETFund and its impact on the policy process and outcome. 1.3 OBJECTIVES The main objective of the study is to investigate the impact of the politics of the implementation of GETFund on the policy outcome. The specific objectives of the study are to: 1. Explore the power plays among the actors involved in the implementation of the Fund; 2. Ascertain the influence of politics on the outcomes of the implementation of the GETFund 3. Examine the factors that influence allocation of GETFund projects and scholarship awards; 4. Determine other challenges in the implementation of GETFund; and 5. Propose strategies to deal with implementation bottlenecks. 1.4 RESEARCH QUESTIONS 1. Who are the actors at the implementation stage of the GETFund policy? 2. What powers and responsibilities do the actors have? University of Ghana http://ugspace.ug.edu.gh 7 3. How does the power play affect the outcomes of the implementation of the GETF und policy? 4. What are the factors that influence allocation of GETFund projects and scholarships? 5. What are the challenges in the implementation of the GETFund and how can they be resolved? 1.5 OPERATIONAL DEFINITION 1.5.1 POLITICS For the sake of this study politics is not restricted to partisan politics but also the issue of Who gets What? When? and How? as defined by Lasswell (1936). 1.6 SIGNIFICANCE OF THE STUDY The study will add unto the body of literature on policy implementation as well as education policy studies. This will serve as basis for further research in this field and also provide the needed information for future comparison with other empirical work. It will also inform policy maker on measures to ensure effective implementation. 1.7 LIMITATIONS Access to information regarding the activities of the Ghana Education Trust Fund was the major difficulty the researcher encountered during the data collection. Certain stakeholders were reluctant to grant the researcher interview and others who did were not forthcoming with the information. However there were others who were more than willing and provided adequate information that was needed for the work. Another limitation has to do with time. The researcher did not have enough time to undertake University of Ghana http://ugspace.ug.edu.gh 8 the research since she had to meet a deadline. This notwithstanding the researcher was able to make proper use of the limited time therefore the quality of the work was not affected. The case study strategy which was used for this study is also not in the conventional sense, generalizable. However, it facilitated a detailed and in depth understanding of the study. 1.8 ORGANIZATION OF THE STUDY The study will be divided into five chapters. Chapter one will contain the introduction and background to the problem of financing education in Ghana. This will be followed by the statement of the research problem, objectives to be addressed, the key research questions which the study seeks to answer and the organization of the study. The chapter will be ended with the significance and some possible limitations of the study. Chapter two will be devoted to the theoretical underpinnings of the study as well as the review of literature relevant to the study of education financing in general and Ghana in particular. The third chapter presents the methodology of the research. This chapter begins with an introduction, followed by the research strategy to be used that is qualitative research strategy together with the sampling technique to be used. The data collection and sources as well as framework for data analysis are present in this chapter. The validity and reliability and ethics is mentioned here with the limitations and possible problems marking the end of the chapter. Chapter four presents the details of the evidence or results and discussions under appropriate headings that reflect the objectives outlined in the study. University of Ghana http://ugspace.ug.edu.gh 9 Summary, conclusions and recommendations derived from the study will be presented in the last chapter which is chapter five. I.9 LOCATION OF STUDY IN POLITICAL SCIENCE The study is generally located within the field of Public Administration, a sub field of Political Science with emphasis on policy implementation. University of Ghana http://ugspace.ug.edu.gh 10 CHAPTER TWO THEORETICAL FRAMEWORK AND LITERATURE REVIEW 2.1 INTRODUCTION This chapter examines the theoretical framework upon which the study is built as well as review literatures which are relevant to the study. The chapter is divided into two major sections. The first section captioned theoretical framework will consist of the concept of implementation, the theory of implementation where the various models for the study are discussed and then the deployment of the theory to the work. The second section reviews literature on the major issues regarding policy implementation, financing of education both in the developed and developing world. It concludes with a look at the history of funding education in Ghana and then the establishment of the GETFund. 2.2 THEORETICAL FRAMEWORK Theory may be defined „as a system of interconnected abstractions or ideas that condenses and organizes knowledge about the social world‟ (Mikkelsen, 2005: 157). It is used in explanation (Johnston et al., 2000) and helps us to think through research (Pryke et al., 2003). Theory plays a very vital role in research, such that without it there is nothing to research (Kitchin and Tate, 2000; Silverman, 1993). Theoretical framework provides a conceptual guide for choosing the concepts to be investigated, for suggesting questions and for framing the research findings (Corbin and Strauss, 2008). University of Ghana http://ugspace.ug.edu.gh 11 2.2.1 THE THEORY OF IMPLEMENTATION The theory of implementation is made up of different models for the study of policy implementation. Models according to Dye (2008), is a simplified representation of some aspect of the real world. They add simplicity and clarity to our thinking about politics and public policy, identify critical aspects and relationships about policy problems, and also recommend explanations for public policy as well as estimate its consequences (Scribd, 2012). Therefore implementation models are mental constructs that offer us a better understanding of the formation and implementation of policies (Lester and Stewart, 2000). The various studies of implementation have generated different models of implementation. These models include the complexity of joint action, the top-down model, the bottom-up and the interactive model. 2.2.2 COMPLEXITY OF JOINT ACTION Complexity of joint action propounded by Pressman and Wildavsky (1984) refers to the number of actors, in addition to the principal, whose agreement either explicitly or implicitly must be secured before a policy can successfully be implemented (Ayee, 1992). The junction point between the actors is known as veto (Mazmanian and Sabatier, 1983). Therefore there is the presence of multiple actors and perspectives. These actors according to Pressman and Wildavsky (1984) have distinctive perspectives. When a program depends on so many actors and participants, there may be opposing dimensions in the policy process and many clearance points leading to delays and likely failure of tmhe policy. The consequences of different actors with different perceptions are proliferation of veto or decision/clearance points, muddling of objectives due to diverse perspectives, heightened conflict and intergroup rivalry, University of Ghana http://ugspace.ug.edu.gh 12 divided loyalty, lack of coordination and the diversion of energy in the playing out of a number of loosely interrelated games (Ayee, 1992). In order to realize decision points, a program may require dozens of clearance actions by a wide range of participants (Pressman and Wildavsky, 1984). Therefore for a probability of agreement by participants by each decision point must be exceedingly high for there to be any chance at all that a program will be completed. For the purpose of the study, this theory will help us to understand the role of actors, actions and relationships in the implementation of GETFund. It will also aid us in identifying the sources of conflict and interference during the implementation of GETFund. However, the model fails to characterize in a moderately abstract and systematic way the interactions that routinely link the different kinds of institutions or roles normally involved in a process of programme assembly (Bardach, 1975) as cited in Ayee (1992). 2.2.3 DEPLOYMENT OF THEORY The chapter has mentioned four models of implementation which are top down, bottom up, complexity of joint action and the interactive model. However, for the purpose of this study the researcher made use of the complexity of joint action. The research set out to investigate the politics of the implementation process of the GETFund and its impact on outcome of the policy. The complexity of joint action will help us to understand the role of actors, actions and relationships or power play and their implications for the implementation of GETFund. It will also aid us in identifying the sources of conflict and interference as well as lack of coordination during the implementation of GETFund. University of Ghana http://ugspace.ug.edu.gh 13 2.3 LITERATURE REVIEW This section reviews relevant literature on public policy implementation and education financing in the world as a whole and Ghana in particular. 2.3.1 STUDIES ON POLICY IMPLEMENTATION Policy implementation was viewed as forthright before the 1970‟s. This is because it was assumed that once a policy was made, implementation would obviously follow suit (Howlett and Ramesh, 1995). The work of Pressman and Wildavsky (1984) came to negate this idea and brought the issue of implementation to the lime light. Therefore Implementation came to be seen as a complex phenomenon and as such could not be „simply classified as a technical exercise involving calculated choices of appropriate techniques‟ (Turner and Hulme, 1997:75). Policy implementation has been defined differently by different scholars. According to Pressman and Wildavsky (1984: xxiii), policy implementation may be viewed as a process of interaction between the setting of goals and actions geared to achieve them. Lester et al. (1995:43) also view policy implementation as the connection between the expression of governmental intention and actual result. Moreover, according to Dunn (2004) implementation is when an adopted policy is carried out by administrative units that mobilize financial and human resources to comply with the policy. Unlike the elaborate definition given by Dunn, Dye (2008) gives a simplified definition yet captured the essence of the concept of implementation. According to him, implementation involves all of those activities designed to carry out the policies enacted by the legislative branch Implementation is a complex phenomenon that can be explained as a process, an output and an outcome. Anderson (2011) in his more recent study defined University of Ghana http://ugspace.ug.edu.gh 14 Implementation as encompassing whatever is done to carry a law into effect, to apply it to the target population, and to achieve its goals. Matland (1995) has contended that implementation theories are the result of evolutions over three generations of research. He reckons that the first generation of research ranged from the early 1970s to the 1980s then followed by the second generation from the 1980s to the 1990s. The third generation of research is from 1990 and onwards. Winter (2003) maintains that first generation studies concentrated on exploration and theory generation. Goggin et al. (1990: 13) on their part argue first generation research specifically focused on „how a single authoritative decision was carried out, either at a single location or at multiple sites.‟ Scholarly works of Pressman and Wildavsky (1984) played a significant role in first generation implementation studies. The second generation implementation studies focused on describing and analyzing the relationships between policy and practice. The work of Elmore (1978) is substantial in this generation. Elmore (1978) contends that the third generation of implementation studies was championed by the work of Goggin et al. (1990). He intimates that this generation was concerned about making the process of implementation more scientific and therefore moved from theory building to the testing of empirical evidence. Implementation studies have generally centered on effective or ineffective implementation. Elmore (1978) has advanced four main elements in the effective implementation of policies. According to him, first, there is the need for clearly specified tasks and objectives that accurately reflect the intent of policy. Secondly, there should be a management plan that University of Ghana http://ugspace.ug.edu.gh 15 allocates tasks and performance standards to subunits. Thirdly, there should be an objective means of measuring sub-unit performance. Finally, there should be a system of management controls and social sanctions sufficient to hold subordinates accountable for their performance (Elmore, 1978: 195). He intimates that a failure of implementation means lapses of planning, specification and control. There has been the realization that implementation of policies, even when successful involves far more than a mechanical translation of goals into routine procedures. It thus involves fundamental questions about conflict decision making, and who gets what in a society (Grindle, 1980:3). This suggests the existence of politics in the implementation process. Turner and Hulme‟s (1997) assertion that implementation is frequently a highly political process is consistent with Grindle (1980). The implementation stage, to them, is an arena where those with interest in a policy engage in negotiations over the goals of the policy and conflict over the allocation of resources. This interaction is what these scholars term politics of implementation (Turner and Hulme, 1997). According to Grindle and Thomas (1989: 218), public policy “results from the conflict, bargaining and coalition formation among a potentially large number of societal groups, organized to protect or advance particular interests common to their members.” The implementation process in the developing world is characterized by competition and conflict among individual and groups who have been excluded from the preceding stages of the policy making process and as a result would want to make a last attempt at this stage to pursue their interest by competing for access to scarce resources (Grindle, 1980 ; Smith, 1985). At this stage of the policy process, many political battles are fought between actors who are either University of Ghana http://ugspace.ug.edu.gh 16 intensely or marginally involved in the implementation over the allocation of scarce resources. This is further highlighted by Grindle (1980) in her book Politics and Policy Implementation in the Third World. Grindle (1980) contends that unlike the United States and Western Europe, policy activity is focused on the output (policy implementation) stage in the third world. Since „interest aggregating structures are often weak in the third world, a large portion of individual and collective demand making, the representation of interest and the emergence and resolution occur at the output stage (Grindle, 1980: 15). From the above, two main reasons are used by Grindle (1980) in explaining why policy activity is focused on the output stage in the third world. They are the remoteness and inaccessibility of the policy making process to most individuals and the scarcity of resources and wide-spread needs which sharpen the perception of who is gaining and who is losing from the implementation process. Moreover, she contends that the implementation phase is the stage where politics based on factions, patron client linkages, ethnic ties and personal coalitions set in. These and other affective forms give one the opportunity to make “individualized demand on the bureaucratic apparatus for the allocation of goods and services” (Grindle, 1980: 18). The implementation phase may, according to Turner & Hulme (1997), be viewed as an arena in which those responsible for allocating resources are engaged in political relationship among themselves and with other actors determined on influencing that allocation. Ayee (1992) mentions delayed politics as a feature of the implementation process in the developing world University of Ghana http://ugspace.ug.edu.gh 17 2.3.2 STUDIES ON POLICY IMPLEMENTATION IN GHANA In Ghana like most developing countries there has been growing concern over the implementation of public policies both by government and scholars of public policy. One of the woks that have imparted the implementation literature in Ghana is the work of Ayee (1994) titled ‘An Anatomy of Public Policy Implementation: Case of Decentralization Policies in Ghana‟. In his work, Ayee (1994) employed Complexity of Joint Action and Implementation as Evolution models to explain how implementation of decentralization programmes since the first Republic, under Dr. Nkrumah (1957-1966) to the Provisional National Defence Council (PNDC) under the then Chairman Rawlings (1981-1992) have kept reoccurring. Specifically, he argued that the implementation of decentralization policies involved the fundamental questions about conflict and who gets what in society. In his work, he contends that strategies, resources and power positions of the actors in the implementation stage are the determinants of the outcome of the conflict and of who gets what, when and how. Thus the implementation of decentralization policies is the product of a political calculus where interests, competing for scarce resources determine the outcome of the implementation of decentralization initiatives. His findings suggested that a large number of state institutions operate with different interest as a result of multiplicity of veto points. Therefore, because the actors have differing perspectives, the chances of implementing decentralization policies in Ghana are low. Using the implementation as evolution model, the study also contends that the failure of successive governments to use failed programmes as a learning process was responsible for the under-achievement of the decentralized stated goals. He concluded that “lack of political commitment, coordination, communication, finance and personnel‟ keep University of Ghana http://ugspace.ug.edu.gh 18 recurring (Ayee, 1994:3). The current study employs one of the models employed in Ayee study (complexity of joint action) to explain the politics in the implementation of GETFund. In the area of health policy implementation, Agbevade (2009) sought to find out the extent to which the National Health Insurance Scheme (NHIS) achieved the aim of increasing access in Ghana using the Ayawaso District Mutual Health Insurance Scheme as a Case study. The study discovered that the NHIS had led to a reduction in the financial burden in accessing health care due to the pre-financing of health care. Thus people pay for their health care cost in advance hence relieved from the shock of having to pay for the cost of health care at point of receiving health care that is the Cash and Carry system. However, lack of institutional capacity, incapable human resource capacity, lack of efficient and effective management and lack of accountability from the scheme managers was discovered in the study as hindering the accessibility of health care to the residents of the Ayawaso Sub Metropolitan Assembly. With the institutional model or the theory of public policy making in the context of implementation, the study places institutions involved in the implementation of the NHIS policy at the center of the program success or failure. Thus the NHIS would be effective and efficient when the appropriate institutions with the appropriate capacity to operate are available and vice versa. 2.3.3 GENERAL REVIEW ON FINANCING OF EDUCATION In the developed countries, financing of education has been the priority of the state since the early stages. This is because of their knowledge in the returns in the investment in Human Capital. The importance of Human Capital investment is brought to light by the historical University of Ghana http://ugspace.ug.edu.gh 19 overview provided by Adelman (1999). Successful economic development in the 19th century was linked to adult literacy rate of above 50%. The most important factor in explaining the rates of economic growth between countries during the 1960s was the differences in the human capital investments/ additions. Moreover, the transformations in the economy of East Asian countries have further enhanced the importance of human capital investment. The Asian tigers, as the East Asian countries such as Taiwan, Japan and so on are affectionately called, are noted for their advanced economies all over the world. Scholars such as Tilak (2002) and Abe (2006) have attributed the development of these countries to Human Capital Investment in the early stages. In recent times, the importance of Human Capital Investment on a country cannot be ignored. However there has been growing debate on social and private returns of education on levels of education. Scholars such as Psacharopoulos (1994) reveal that returns from investments in education are positive at the secondary level but minimal at the higher level of education hence investments in primary education should be emphasized at the expense of higher education. Atuahene (2006) think otherwise. That is the social rate of investment in higher education is more than the lower levels. 2.3.4 EDUCATION FINANCING IN DEVELOPING COUNTRIES The importance of education in national development cannot be overlooked. This is evident in the experiences of the developed world. As a result there has been growing recognition of the relevance of education to socio-economic development in most developing countries. Hence government allocates substantial resources to the education sector, through the annual budgets University of Ghana http://ugspace.ug.edu.gh 20 of relevant state institutions. Various explanations have been advanced by different scholars in relation to state funding of education. In exploring education in the developing world, Saavedra (2002) outlined the economic rationale for government intervention in the financing of education. According to him, the economic status of citizens, ignorance on the part of most families on the future economic returns of investment in education and the fact that educational investment benefits for the society (widespread literacy, health and fertility control) outweighs that of individual families. Jongbloed and Koelman (2000) provide different reasons for government intervention in education. They contend that government intervention in the raising of the level of education of its citizens and strengthening of the individual decisions on investment in education and training is in most cases as a result of an imperfect market for education. Saavedra (2002) acknowledges the fact that even though the actual level of resources a country invest help determine the quantity and quality of education received by citizens; it does not translate automatically into improved outputs and outcomes. He therefore admonishes policy makers to employ adequacy, sustainability and efficiency in considering the amount of resources a country makes on education. Thus, a good education financing system generates an adequate level of funding, while promoting efficiency and equity aimed at optimizing the distribution of education quality and its benefits among members of society. The intervention of government in the financing of education in the developing world came to a hold with the economic downturn that was experienced in almost all developing countries in the 1980‟s. Consequently, there have been challenges in the financing of education at all level University of Ghana http://ugspace.ug.edu.gh 21 especially the tertiary level. Different reasons have been advanced by scholars for the underfunding of education particularly tertiary education. Johnstone (1998: 2) contends that in most parts of Africa, „the declining and unstable economies [which is as a result of worsened terms of trade in less developed/ industrialized countries], expanding populations [which bring about pressure in enrolment especially in the tertiary level], political and social instability and conflict, and oppressive debts are the main factors that have contributed to the pervasive condition of financial austerity. This has consequently limited accessibility to African tertiary education.‟ Akin (1994) and Assie`- Lumumba (2002) share in this view. In the words of Akin (1994:17), the political instability in many countries which played out in part on university campuses resulted in university closures “leading to serious erosion of learning in African universities.” The situation is not different in Ghana as Atuahene (2009) outlines economic and political reasons for underfunding in the country. He specifically mentions a distressed economy as a factor contributing to underfunding. In his view, Ghana‟s economy depends mainly on the production of primary agricultural products. This admittedly does not provide adequate income for a country. Moreover, previous political instability and prolonged corruption have had a huge impact on the economy. Apart from the above mentioned reasons, he also attributes underfunding of higher education to the misplaced priority and the misconception of higher education‟s role in human capital formation and socioeconomic development as postulated by the World Bank. According to him, this misconception by the Bank was also a major culprit of the current situation in the sector. He concludes that the socialist perception of tuition free education and the unification of university governance and administration under national central government was a possible factor. Atuahene concurs with Ajayi et al. University of Ghana http://ugspace.ug.edu.gh 22 (1996) that the newly independent governments were more interested in exerting control on the universities especially controlling the administrative side, that is the hiring and firing of senior managers, such as Vice Chancellors. A more recent explanation of underfunding of higher education was advanced by Ubogu (2011). He attributed underfunding of Nigerian higher education to the economic constraints the country is faced with in recent times. He lays emphasis on the reduction in government revenue as well as chaos in the national economy which has drained the coffers of the country. The collapse of the oil market which is a major source of income to the country together with the task of debt servicing which the government is confronted with was also seen as contributing factors to underfunding of higher education in the country. These situations described above have resulted in a tight government budget who happens to be the statutory financer of higher education in the country like most developing countries. Thus complete deterioration of academic buildings and facilities, overcrowding at universities hall of residence and an understaffed faculty to enhance serious academic engagement at the university are prevalent (Atuahene 2006). To help curb the problem of underfunding in the education sector, especially higher education, in most developing countries different financing arrangements by different states have been advanced. The most common financing arrangement is the Student Loan scheme. The main purpose of the student loan is to supplement the student„s private resources that are difficult to bear as a result of poverty. The student loan scheme is a financial arrangement which allows all students to be entitled to receive a loan. The criteria for receiving a loan differ from one country to the other. University of Ghana http://ugspace.ug.edu.gh 23 2.3.5 EDUCATION FINANCING IN GHANA In Ghana like most African countries, the funding of education since the colonial period to the immediate postcolonial period has been the preserve of the state. In the history of most African states, both the colonial and post-colonial period, the financing of education has been the preserve of the state (Atuahene, 2006). During the colonial period, nationals were trained to occupy administrative positions. In the immediate post-colonial era, African states had to take up the responsibility to train their nationals who were going to take over from the expatriates the mantle of running state institutions and providing public goods and services (Sanyal, 1998). During this era, there was the need for Ghanaians to take over from the colonial masters. This was only possible if they had the requisite knowledge and skills to perform their task. There was therefore a strong recognition of education as a major tool for socio-economic development in most developing countries including Ghana. During the era of independence, a huge investment was made in education by the state. The first president of the country, Osagyefo Dr. Kwame Nkrumah in a bid to increase access to education introduced the Free Compulsory Basic Education (FCUBE). The first educational reform in 1951that is the FCUBE was responsible for the provision of a compulsory education without the payment of fees at the basic level of education (McWilliams and Kwamena Poh, 1975). The reform was to bridge the north south divide and to bridge the gap between education in the urban centers as against the rural areas. The reform was consolidated into a law in the 1960‟s that is the 1961 Act, (Act 87). This reform resulted in a significant increase in enrollment at the basic level of education in the country. There was increase in primary and middle school enrollment rates of about 211.9% University of Ghana http://ugspace.ug.edu.gh 24 and 141% respectively (Thompson and Casely-Hayford, 2008). Notwithstanding the great strides that were made by the reform, the economic downturn of the 1960‟s brought about a decline in state funding. In addition, as part of the government initiatives to cater for the educational needs of Ghanaians during the Nkrumah CPP era, an Education Trust was set up. The government in its quest to ensure national development embarked on a policy of Secondary Education. This policy necessitated an increase in the number of secondary schools in the country (Atuahene, 2006). Hence the Ghana Education Trust (GET) was used in the provision of infrastructure for the Secondary schools in the country. By 1966, there were 105 public secondary schools in Ghana. However, according to Atuahene (2006) this laudable initiative failed to achieve its purpose because it existed without a corresponding strategy to expand facilities at the tertiary level. Afrifa (1966) also recounted reasons why the GET failed. According to him, “The Education Trust entered into the preserve of the education department, which had a high reputation during the colonial administration and proceeded to set up secondary schools all over the country, whether or not there was enough student population in the area to fill these schools. Into the already ordered secondary education pattern, nursed and built in the colonial day, was pushed a haphazard program, without any provision for teachers (until hundreds of Russians who did not speak a word of English were rushed into these schools)”. This means that, the well-crafted policy failed because it was not properly implemented. Priority was given to certain levels of education without due diligence about its impact. University of Ghana http://ugspace.ug.edu.gh 25 Both governments and military regimes after Nkrumah embarked on state funding of education at all levels until the 1980‟s. However their efforts did not yield much result as a result of inadequate funds and political instability (Casely-Hayford, 2008). During the 1980‟s, like most developing countries, Ghana was faced with economic crisis and had to turn to the international financial institutions for refuge. The World Bank and IMF (which were the leading as far as IFI‟s are concerned) aid, which backed the economic reform programs adopted by developing countries (such as Ghana), came with “conditionalities,” notably, drastic reduction in public spending (Nelson, 1990; Colgan, 2002). As a result government had to reduce spending in all public services including education. This created serious financial difficulties in the education sector. The intensity of this difficulty led to a stakeholders meeting at the National Forum on Funding of Tertiary Education at Akosombo on the 27 th to 28 th January, 1997 for remedy. As a result, the idea of Cost Sharing was introduced in 1997 through the adoption of the Akosombo Accord (NCTE, 1998). This idea of Cost Sharing divided responsibility for university funding between the government (responsible for 70 percent of total funding) and 30 percent from three other sources including internal revenue-generation by the university, private donations and students‟ tuition fees. However this arrangement yielded adverse reaction from the public. The policy was not only politicized and attacked by Ghanaians but also created severe inequalities making higher education the preserve of the socially privileged (Atuahene, 2006). In the light of this there were various agitations by most groups especially the National Union of Ghana students (NUGS) for the abolition of this policy. They resorted to demonstrations so as to make their University of Ghana http://ugspace.ug.edu.gh 26 plight known to the government. As a result, there was a growing recognition among the public for a policy solution to the educational mess (Brenya and Asare, 2011). Consequently, the National Union of Ghanaian Students (NUGS) came out with an initial proposal for the establishment of an Educational Security and Insurance Trust Fund (ESITF) and Tertiary Education Endowment Fund as an alternative to the cost sharing (NCTE, 1998). The suggestion for the setting up of an educational fund was also echoed by other individuals and groups. The president incorporated this proposal into his annual address to parliament in January 1999 and recommendations were subsequently made by a technical committee regarding its broad objectives and outlines (Harsch, 2000). The dialogue on funding tertiary education coincided with proposed introduction of a new tax, the Value Added Tax (VAT) in 1995. The proposed VAT was to be charged on the cost or price of imports, locally manufactured goods and services, at the rate of 17.5%. This sparked off public riots dubbed “kume- preko” meaning “kill me completely” (Quarshie, 2009). As a result of the public riots, the tax was withdrawn. In 1998, the VAT was reintroduced but at the rate of 10% after several consultations by the government. The 10% VAT rate was approved by parliament. The reintroduced VAT provided an opportunity to address the question of funding for an educational Trust. The ministry of education therefore suggested that an additional 2.5% be imposed on the VAT to be used as source of funds to support education in the country. After several deliberations by the ministry of education and other stakeholders, the funding proposal was accepted. This brought the GETFund into existence. University of Ghana http://ugspace.ug.edu.gh 27 2.3.6 THE GHANA EDUCATION TRUST FUND The Ghana Education Trust Fund was to provide funding to supplement government budgetary allocations at all levels of education (GETFund Act, 2000). The Ghana Education Trust Fund was established by the NDC government as a policy response to the challenge of funding education at the time. This happened at a time when the funding gap in the educational sector was unbearable. This land mark policy initiative (Effah, 2003) is one of the most outstanding recommendations in the funding regime of tertiary education in particular and education as a whole (Atuahene, 2007). The GETFund was established by an act of parliament in 2000, Act 581. The Act was to establish a Fund to aid with financing of education nationwide, to provide for management of the Fund and other related matters. The Act spells out clearly the object of the Fund. The main object of the Fund is to provide finance to supplement the vision of education at all levels by the government. (GETFund Act, 2000). For the effective attainment of this object, the Act specifies how the monies from the Fund must be expended. Details of how GETFund monies are expended are given below: (a) To provide financial support to the agencies and institutions under the Ministry of Education, through the Ministry, for the development and maintenance of essential academic facilities and infrastructure in public educational institutions particularly, in tertiary institutions; (b) To provide supplementary funding to the Scholarship Secretariat for the grant of scholarships to gifted but needy students for studies in second-cycle and accredited tertiary institutions in Ghana; University of Ghana http://ugspace.ug.edu.gh 28 (c) To contribute monies from the Fund towards the operation of student loans schemes for students in accredited tertiary institutions through loan scheme mechanisms and agencies, approved by Minister; (d) To provide, through the National Council on Tertiary Education, grants to tertiary institutions, (i) To train brilliant students as members of faculties; (ii) To undertake research and other academic programs of relevance to national development; (e) To provide monies to support such other educational activities and programs for the promotion of education as the Minister in consultation with the Board may determine (GETFund Act, 2000:1). In addition, the Act provides for sources of monies for the Fund as well as composition of the Board of Trustees (BOT) to manage the Fund. The sources of monies for the Fund and composition of the BOT are discussed below: 2.3.6.1 SOURCES OF MONEY FOR THE FUND The main source of funding of the GETFund is 2.5% out of the prevailing rate of the Value Added Tax which is to be paid by the VAT service to the Fund. Apart from the main source of the Fund, there are other four sources of monies for the Fund outlined in the Act. They include monies that may be allocated from parliament to the Fund, money from investment made by the Board of Trustees (BOT) of the Fund, voluntary contributions, grants, donations and gifts University of Ghana http://ugspace.ug.edu.gh 29 to the Fund and finally, any other monies that may in any manner become lawfully payable and vested in the BOT of the Fund. These monies are to be paid into the GETFund account which was to be opened by the BOT of the Fund. In article four clause one [4(1)] of the GETFund Act, the VAT services are obliged to, within thirty (30) days of receipt of VAT revenue, pay directly into the bank account of the Fund. 2.3.6.2 COMPOSITION OF BOARD OF TRUSTEES (BOT) The president in consultation with the Council of State appoints a seventeen member Board of Trustees that is responsible for the management of the Fund. These members, with the exception of the chairman and the administrator of the Fund, are drawn from the following institutions and organizations: the Ministry of Finance, religious bodies, Revenue Agencies (Governing) Board, Ministry of Education, National Council on Tertiary Education, the established financial institutions, Universities and Polytechnics (in rotation), Ghana National Association of Teachers, National Union of Ghana Students and Ghana National Union of Polytechnic Students in rotation, Association of Ghana Industries, National Council on Women and Development, Ghana Employers Association and Ghana Education Service Council. These entities had a representative excluding the established financial institutions that had three (3) representatives. It is important to note that the National Union of Ghana Students and Ghana National Union of Polytechnic Students both have a representative therefore the representative rotated among the two groups. The situation is the same for the universities and polytechnics representative. University of Ghana http://ugspace.ug.edu.gh 30 Also the Act made provision for women representation on the Board in order to represent the interest of women. Thus, provision was made for one of the three representatives of the established financial institutions to be a woman and a representative of National Council on Women and Development who was also to be a woman. The Board is tasked with the responsibility of managing the Fund; therefore, it has the following powers and functions: a) pursue policies to achieve the object of the Fund; b) collect or arrange to be collected monies lawfully due to the Fund; c) account for the money in the Fund; d) contribute in accordance with section 2 (2) (c), monies from the Fund towards the operation of student loans schemes for students in tertiary institutions; e) invest some monies of the Fund in such safe securities as it considers financially beneficial to the Fund; f) approve and pay expenditure charged on the Fund under this Act and any other enactment; g) organize fund-raising activities to raise money for the Fund; h) impose such charges as it considers necessary for services rendered by the Secretariat of the Fund; i) subject to this Act, exercise and have in respect of the Fund the powers, duties, obligations and liabilities of trustees; and University of Ghana http://ugspace.ug.edu.gh 31 j) perform any other function conferred on it under this Act or incidental to the achievement of the object of the Fund. (GETFund Act 2000:3). The Board is also tasked with the responsibility of complying with the general directives that may be issued in writing to them on matters of policy. 2.3.6.3 EMPIRICAL WORKS ON GETFUND Atuahene (2006) through the interpretive theory of social constructivism, used qualitative document analysis and interview techniques to investigate the perceptions of university administrators, board of trustees, government officials, and student leadership about the fulfillment of the objectives of the Ghana education trust fund. His study revealed that the GETFund had made a great impact as far as higher education was concerned. He enumerated the achievements of the fund in the areas of infrastructural development, research and faculty development, promoting access to higher education and promoting female education as well as gender equity. He also mentioned the great strives that had been made by the fund in the establishment of the Student Loans Trust (SLT), the provision of scholarships for needy students and in the promotion of science, mathematics and technology education in the country. However, in his study he observed that the GETFund was used to finance projects under the Presidential Support Initiatives (PSI). He therefore admonished that such practice be avoided since such precedence could lead to future abuse and political corruption. He further noted that, in as much as such projects go to support and develops the institutions, using the GETFund as a political tool by the ruling government could breed political manipulation on the part of the incumbent. University of Ghana http://ugspace.ug.edu.gh 32 Atuahene (2006) also recommended that the government should avoid meddling in the work of the GETFund Board of Trustees and Administrator. Since the GETFund is financed by tax payers‟ money, (that is VAT) it is a public fund irrespective of political affiliation and therefore the need to be as independent as possible. The independence according to him means unbridle interferences in relation to the proceeds, management and administration. These observations made by this study motivated the researcher of the current study to investigate the issues of politics of the implementation of the GETFund and its impact on the policy outcome since the previous study was not concerned with that. Brenya and Asare (2011), in applying agenda setting theory to understand educational policymaking in Ghana drew on a case study on the role of the Asante Traditional Council and rulers in the adoption of the Ghana Education Trust Fund (GETFund). The study highlighted the role of traditional institutions in the provision of education in Ghana. It laid special emphasis on the role of Asante Traditional Authorities notably Otumfuo Agyemang Prempeh, Otumfuo Opoku Ware II and Otumfuo Osei Tutu II in the provision of support for education for their community in the form of provision of fund/scholarship for brilliant but needy students in the community. He contends that these were attributed to the belief in community participation in the provision of socio-economic and cultural development. The study argues that the enstoolment of Otumfuo Osei Tutu II and his activism in championing the idea of a public participation program in financing education was an intervening event that opened the window for a proposal centering on that idea to gain agenda entrance (Brenya and Asare, 2011:90). Otufour Osei Tutu II through his address of officials at different point in time admonish all stakeholders to enact programs that will give the general public the opportunity to contribute to the funding of education. This was to complement the efforts of the University of Ghana http://ugspace.ug.edu.gh 33 government in the financing of education in the country. This was demonstrated through the establishment of the Otumfour education fund by the Asantehene, Otumfour Osei Tutu II. This intervention as well as the establishment of the fund by the Asantehene, according to the study, played a major role in the entrance and the passage of the GETFund bill by parliament in 2000. Even though the study was concerned with the adoption of GETFund, the current study is concerned with the implementation. 2.4 CONCLUSION In relation to politics of implementation, the study identified that implementation process in developing countries is characterized by competition and conflicts among diversity of individuals and groups who have been excluded from the preceding stages of policy process. Additionally, with regard to education financing, the literature review has shown the rational for government intervention in education financing. It was found out that governments intervene in education financing mainly because of the importance of human capital investment to development as well as the result of imperfect market for education. Moreover, the literature review revealed economic and political explanations for under-funding of education. Inadequate funding for education is a function of distressed economy and political instability. Other studies have also focused on the impact of GETFund on higher education development in Ghana. They enumerate achievements of GETFund in areas such as infrastructural development, research and faculty development, promoting equal access to higher education and the establishment of SLT. University of Ghana http://ugspace.ug.edu.gh 34 From the review of the literature, a yawning gap exists with regard to how politics has affected the implementation of GETFund. The study seeks to fill in the gap in the literature by investigating the impact of the politics of the implementation of GETFund on policy outcome. University of Ghana http://ugspace.ug.edu.gh 35 CHAPTER THREE METHODOLOGY 3.1 INTRODUCTION Methodology shows how research questions are articulated with questions asked in the field. Improved methodology according to Miles and Huberman (1994) raises confidence to a relatively significant plane and provide a more certain base for action. This chapter discusses the methodology that will be used for the study ranging from the research strategy to the data collection and to the framework for data analyses. The field work experience of the researcher will also feature in this chapter. 3.2 RESEARCH STRATEGY The study employed the Case Study Research Design. Case Study Design enables researchers to focus on a single individual, group, community, event, policy area or institution and study it in depth, over a period of time. The main limitation of this study is that it cannot be used to generalize to larger populations and applied to different social and political settings. However, these weaknesses are compensated for through an in-depth analysis of the case. Eventhough case studies can generate both quantitative and qualitative data, because it generates a wealth of data relating to one specific case, it has more of qualitative feel to it (Burnham et al., 2004: 53). The study under investigation necessitated the employment of a qualitative research to gather data. Since the case study research design involves an in-depth investigation, there was the need to employ a method that allows the researcher to get a detailed experience of the participants hence the use of qualitative research method. University of Ghana http://ugspace.ug.edu.gh 36 Qualitative research method according to Denzin and Lincoln (2008:4) „involves an interpretive naturalistic approach to the world‟. That is they study in their natural setting and attempt to make meaning out of it. Qualitative research strategy allows researchers to get an inner experience of the respondents and to determine how meanings are formed (Corbin and Strauss, 2008). It is an effective tool intended for understanding how different stakeholders view issues. This helps to provide diverse perspectives in analyzing the research questions. The approach also allows the identification of issues from the perspective of the study participants of the researcher and understands the meanings and interpretations they give to behavior, events and objects (Hennink et al., 2011). Notwithstanding the importance of qualitative research method, it has its weakness. It has been criticized for being time consuming (Osuala, 2007). 3.3 DATA COLLECTION Data collection is an essential task in research work. According to Burnham et al. (2004), the collection of data is crucial to the success of a project. For the purpose of this study, data was collected from both primary and secondary sources. 3.3.1 PRIMARY DATA Primary data is data gathered by the researcher herself. Based on the sampling technique above, this stage of the inquiry began with the identification of certain individuals with in- depth knowledge on financing of education in Ghana. As a result, data for this research was collected from the Ghana education trust fund, the ministry of education, the Ghana education service and the national council for tertiary education. The views of some members of University of Ghana http://ugspace.ug.edu.gh 37 parliament, former ministers as well as a member of the parliamentary select committee on education were also sought for. 3.3.2 SAMPLING TECHNIQUE The purposive sampling technique was used in deciding on the participants for the study. This decision was necessitated by the fact that the researcher needed experts in other words people who had adequate knowledge on the GETFund as a policy. Purposive sampling according to Merriam (1998) is based on the assumption that the investigator wants to discover, understand and gain insight and therefore must select a sample from which the most can be learned. Here the sample is selected based on the knowledge of the population, its elements and the purpose of the study (Babbie, 2013). These individuals do not only have a fair idea of the fund but also knows about the genesis of the Fund 3.3.3 SAMPLE SIZE Twelve (12) experts (persons interviewed has the ability and know-how to speak to the questions that the study sought to address) were interviewed. They are as follows: one person from the ministry of education, two from Ghana education service, one from the national council for tertiary education, three from the Ghana education trust fund, one former education minister, one Member of Parliament, one ranking member of the parliamentary select committee of education and two beneficiaries. In these cases, the researcher contacted the respondents individually and had a personal conversation with them. The conversation took place in a conducive environment, that is, stress free and friendly atmosphere. This according to Kumekpor (2002) will influence a University of Ghana http://ugspace.ug.edu.gh 38 respondent‟s willingness, not only to answer the questions but to provide correct and objective answers and to bear with the interviewer to go through the whole questionnaire. 3.3.4 RESEARCH INSTRUMENT Primary data for the research was extracted using in-depth interviews. Interview is one of the research instruments used in qualitative studies. An interview, in the words of Kvale (1996:2) “is an inter change of views between two persons conversing about a theme of mutual interest‟. An in-depth interview in particular is a „special kind of knowledge producing conversation‟ (Hesse-Biber and Leavy, 2006:128). According to Punch (2009) interview is the most prominent data collection tool in qualitative research. In that, it aid in assessment of the perceptions, meanings and definitions of situations as well as constructions of realities of people. 3.3.5 SECONDARY SOURCES The auxiliary use of the data, according to Johnston et al. (2000: 730), „allows for both efficiency in data collection and the conduct of comparative studies (across space and time) that otherwise will be impossible.‟ The secondary sources include news media, official policy documents and press releases. The researcher depended on the media to obtain some information on the interactions of the various actors in the policy implementation of the GETFund. Through the press release of the GETFund secretariat, beneficiaries, the ministry of education the researcher was able to gain an insight into some of the unanswered questions during the interviews. Official documents such as the GETFund act and the parliamentary hansards served as another source of University of Ghana http://ugspace.ug.edu.gh 39 information in an attempt to understand certain issues regarding the GETFund. Other secondary sources of information are research papers, journal articles and books. These data were from the political science and Balme libraries all of University of Ghana, the National Council for tertiary education library, the republic of Ghana parliament library and from other online databases. 3.4 VALIDITY AND RELIABILITY Validity and reliability is the hallmark of every good scientific research. Reliability according to Altheide and Johnson (1994) refers to the stability of findings while validity represents the truthfulness of findings. A similar view was shared by Kitchin and Tate (2000). According to him, validity „concerns the soundness, legitimacy and relevance of a research theory and its investigation‟ while reliability may refer to „the repeatability or consistency of a finding‟ (Kitchin and Tate, 2000:34). 3.5 ETHICS In their book research methods in politics, Burnham et al. (2004) enumerated five basic ethical principles. According to them, the avoidance of harm, veracity which is the avoidance of deception, privacy or autonomy, confidentiality and informed consent which is recommended as an operational principle for the conduct of research are the necessary conditions researchers must consider in embarking on their research journey. Ryen (2011) also viewed the idea of ethics in scientific research around three main issues, that is, codes and consent, confidentiality and trust. This reinforces the view of Burnham et al. (2004), University of Ghana http://ugspace.ug.edu.gh 40 Codes and consent has to do with informed consent. Informed consent means “the exercise of free power of choice on the part of human participant, without coercion, deceit, promise of future benefits, or other forms of influencing the participants to act against their better judgment”(Mauch and Birch, 1983). That is the research subjects have to know that they are being researched and give their consent either written or orally. Confidentiality which is the assurance of the privacy of the individual‟s identity and earning the trust of the interviewees by upholding to the assurances made are very necessary in a research. This concept applies to any research involving human participation with this research not being an exception. In the case of this research the researcher provided the respondents with detailed information about the research. Prior to that, permission from the department of political science, university of Ghana was shown to the respondents. Once they were convinced an oral or verbal consent was given by the respondents. Moreover, the interviewees were assured of confidentiality that is their identities were not be disclosed, it was protected. Therefore the names or positions of the respondents were not displayed in the research paper. The researcher also assured them that all recordings of the interview will be destroyed after the work. So as to prevent people who could recognize the voice from getting hold of it. This was necessitated by the assertion by Lofland et al. (2006) that “one of the central obligations that field researchers have with respect to those they study is the guarantee of anonymity via the „assurance of confidentiality‟ used in the research report or will be substituted by pseudonyms.” The researcher also made sure that the trust of the respondents was gained by not inviting a third party in the interview and not breaking any of the assurances that were given the University of Ghana http://ugspace.ug.edu.gh 41 respondents. This was to enable future researchers the opportunity to go into this field of study without difficulties as admonished by Bourois (1992). 3.6 FRAMEWORK FOR DATA ANALYSIS The data collected was analyzed qualitatively. Specifically a Qualitative Content analysis of the data collected was carried out. According to Schreier (2012) qualitative content analysis is a method for systematically describing the meaning of qualitative material. This is done by classifying material as instances of the categories of a coding frame. Qualitative content analysis was initially developed to analyze and interpret text. However recently it is applied to verbal data such as interview transcripts, emails archival material and so on. Therefore the qualitative content analysis is used when dealing with data that needs interpretation. Qualitative content analysis is done by translating all the meanings in the material that are of interest to the researcher into the categories of a coding frame. Then classify the successive parts of the material based on the categories mentioned above. That is the researcher must examine the material and decide for each part, where in the coding frame it fits (Stake 2010; Schreier, 2012). An advantage of the qualitative content analyses is that large quantities of data can be analyzed in a precise and systematic way Burnham et al. (2004). Thus it is systematic, flexible and reduces data. However this method has its weakness, according to Burnham et al. (2004), if the categories are very broad, interesting material may be neglected. 3.7 LIMITATIONS The researcher was limited by the time range within which the research was to be done. Information from some of the institutions was also not forth coming. However this did not University of Ghana http://ugspace.ug.edu.gh 42 affect the quality of the work since secondary data was used to fill the vacuum that was left as a result of the information that was withheld. Another major limitation of this study is that it is not generalizable. Because the study is a case study, its findings can neither be generalized to larger populations nor applied to different social and political settings. However, these weaknesses are compensated for through an in-depth interview. 3.7 FIELD WORK The researcher set off to the various locations including GETFund secretariat, then to the ministry of education and Ghana education service, to parliament and NCTE on a familiarization tour on several occasions. This was to establish initial rapport with the study population. After establishing some links, permission letters from the department of political science were sent to these institutions by the researcher to seek permission to conduct the research. It is important to note that not all the individuals and institutions granted the researcher the permission to conduct the research. However the individuals and institutions where permission were granted, the researcher booked appointments with the participants of the interview to conduct the actual interview. The date and time of the interview was strictly the preference of the interviewee. This was to ensure that interviewees were comfortable with the scheduled dates and times. Copies of the interview guide were given to the respondents prior to the interview days so as to enable them have ample time to prepare. On the respective interview dates, the researcher made sure that the interviews were conducted in a serene environment where respondents felt at ease and were able to talk freely without any fear or intimidation from anyone. With the permission of the interviewees, interviews were recorded on tape recorders to enable the researcher capture every important University of Ghana http://ugspace.ug.edu.gh 43 detail in the conversation. These interviews were then transcribed by the researcher and grouped into manageable themes which would help answer the research questions posed in the research. However, in cases where interviewees were uncomfortable with the tape recorders, the researcher wrote the salient points in her note pad. It is important to note that, in both cases, participants were assured of confidentiality and anonymity with regards to their identities in both cases and in the case of recorded interviews the proper handle of recordings. As a result, the recording tapes were confiscated as soon as transcription was done. The transcribed version of the data was grouped into themes and the content analyzed qualitatively. 3.8 CONCLUSION This chapter discussed the methodology which will be employed in this study. The chapter started with the research strategy employed in the study, the data collection techniques as well as the validity, reliability and ethics. The framework for data analyses together with the limitations and field work were also outlined in this chapter. For the purpose of this study, the qualitative method was employed in both the collection and analyses of data using the purposive sampling technique, data was gathered from the Ministries of Education and Finance and Economic Planning, National Council for Tertiary Education, Ghana Education Service and Parliament. Secondary sources of data such as books were also employed. Issues regarding confidentiality, anonymity and trust were discussed under ethics in this chapter. The limitations as well as researchers field experience ended this chapter. University of Ghana http://ugspace.ug.edu.gh 44 CHAPTER FOUR DATA ANALYSIS AND DISCUSSIONS 4.1 INTRODUCTION The GETFund is one of the well-crafted policies towards education financing in Ghana. It was established to supplement the budgetary allocations of levels of education in the country (GETFund act, 2000). However, it has been observed that the implementation of this policy has suffered setbacks. It has been marred by politics. This research therefore seeks to investigate the politics in the implementation of GETFund and its impact on the outcome of the policy. This chapter presents the findings from the field and discusses the findings vis-a-vis the literature. The findings of the study were extracted from the views of experts in the field through interviews and secondary source of data. The participants of the interviews were selected by employing purposive sampling technique. 4.2 ACTORS AND INSTITUTIONS INVOLVED IN THE IMPLEMENTATION OF GETFUND Both actors and institutions play a crucial role in the policy process even though one may be more important than the other in specific instances. Individuals, groups, classes and states participating in the policy process no doubt have their own interests, but the manner in which they interpret and pursue their interests, and the outcomes of their efforts, are shaped by institutional factors (Sapru, 2010). University of Ghana http://ugspace.ug.edu.gh 45 In policy process, power is exercised by different individuals and groups who exercise certain influences on the policy process. The key actors in the implementation of the GETFund are the Ministry of Education, Ministry of Finance And Economic Planning, Ghana Revenue Authority, Ghana Education Service, National Council on Tertiary Education and the GETFund Secretariat. 4.2.1 MINISTRY OF EDUCATION The Ministry of Education (MoE) was established under the Civil Service Law 327 with the mandate to provide relevant education to all Ghanaians. The Ministry performs several functions; these functions include the initiation and formulation of policy options on Education for the consideration of government, initiate and advice on government plans and undertake such research as may be necessary for the effective implementation of government policies. They also review government policies and plans and coordinate and monitor the implementation of sector policies and strategies. Interview data also revealed that the ministry of education is the supervisory body of the GETFund and is also represented on the GETFund Board. It is embedded with the responsibility of giving general directives to the Board on matters of policy which they must comply (Personal communication, 2013) 4.2.2 MINISTRY OF FINANCE AND ECONOMIC PLANNING (MoFEP) The Ministry of Finance exists to ensure macro-economic stability for promotion of sustainable economic growth and development in Ghana. MoFEP is charged with the responsibility to formulate and implement sound fiscal and financial policies. It also ensures effective and efficient mobilization and allocation of resources and improved public financial University of Ghana http://ugspace.ug.edu.gh 46 management. Other responsibilities of MoFEP include preparation and implementation of the annual budget and economic and financial statement of Government, management of public expenditure and the development and implementation of financial sector policies. MoFEP has the responsibility of crediting the accounts of the GETFund thirty (30) days after the collection of the Value Added Tax which is the major source of revenue of the Fund. The ministry is also represented on the Board hence is part of the management of the Fund. 4.2.3 GHANA EDUCATION SERVICE (GES) Ghana Education Service is an agency of the Ministry of Education established in 1974. The Service was established under Article 190 of the 1992 Constitution of the Republic of Ghana and then subsequently in the Education Service Act 506, 1995. The mandate of the GES is to co-ordinate national education policy on pre-tertiary education. Thus it is responsible for Basic and Second-cycle education, a critical stage of education for young learners. Notwithstanding the new Education Act (Act 778) passed to enhance structural changes in the Service, its mandate remains the same 1 . This body is responsible for the disbursement of GETFund allocations at the pre- tertiary level and has representation on the Board. Applications for the finance of infrastructure and other educational needs by the Fund, from both the Basic and Second Cycle institutions are channeled through GES for consideration (Personal Communication, 2013). 1 www.gov.gh.ges University of Ghana http://ugspace.ug.edu.gh http://www.gov.gh.ges/ 47 4.2.4 THE NATIONAL COUNCIL FOR TERTIARY EDUCATION (NCTE) The NCTE is the body presently responsible for tertiary education policy in Ghana. The body responsible for higher education policy in Ghana had undergone several transformations. Established in 1962, the National Council for Higher Education (NCHE) was entrusted with policy matters relating to universities and other related bodies. The Council was dissolved as a result of change in Government in 1966, and its Secretariat became the Higher Education Division of the Ministry of Education. In 1986, Government appointed a University Rationalization Committee (URC) to advice on a university sector development plan for Ghana. The URC Report recommended the establishment of an independent tertiary body to advice on tertiary education under which all tertiary institutions would operate, leading to the establishment of the NCTE by an Act of Parliament, ACT 454, 1993 as one of the Article 71 bodies under the 1992 Constitution 2 . The allocation of resources to the tertiary institutions is the preserve of the NCTE. This body receives applications from the various Tertiary institutions in the country. These applicants are then vetted to ensure that resources are allocated to the right place. The NCTE then provides the GETFund with the list of institutions and their requests for consideration (Personal communication, 2013). 4.2.5 GHANA REVENUE AUTHORITY The Ghana Revenue Authority (GRA) is a corporate body that was established by an Act of parliament in 2009 (GRA Act, 791) for the administration of domestic tax and customs revenue in Ghana. This body is to replace the Customs, Excise and Preventive Service 2 www.ncte.edu.gh University of Ghana http://ugspace.ug.edu.gh http://www.ncte.edu.gh/ 48 (CEPS), Internal Revenue Service (IRS), Value Added Tax Service (VATS) and Revenue Agencies Governing Board (RAGB) Secretariat. GRA has therefore subsumed the responsibilities of CEPS, IRS, VATS and RAGB. (www.gra.gov.gh). Thus the GRA is responsible for the collection of VAT which is the major source of funding for the GETFund. This body plays a very vital role in the implementation of