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How to cite this thesis
Surname, Initial(s). (2012) Title of the thesis or dissertation. PhD. (Chemistry)/ M.Sc. (Physics)/ M.A. (Philosophy)/M.Com. (Finance) etc. [Unpublished]: University of Johannesburg. Retrieved from: https://ujdigispace.uj.ac.za (Accessed: Date).
i
The South African Local Government National Capacity Building Framework of
2011: Critical future considerations for 2016
By
Susarah Johanna Greÿling
Thesis
Submitted in fulfillment of the requirements for the degree
Doctor Litterarum et Philosophiae
in
PUBLIC MANAGEMENT AND GOVERNANCE
in the
FACULTY OF MANAGEMENT
at the
UNIVERSITY OF JOHANNESBURG
Supervisor: Prof C J Auriacombe
October 2014
ii
ACKNOWLEDGEMENTS
This research has been an exciting and enjoyable aspiration that I endeavoured to
fulfil and the journey did not disappoint. It has taught me the power of support and
collaboration amongst family, friends and colleagues. I wish to thank the following
persons without whom achieving this goal would have been challenging:
To the loving heavenly Father who has given me talent and opportunities to
accomplish this task.
My supervisor, Prof Christelle Auriacombe for her dedication to learning and
her expertise that substantially strengthened the end product.
The former Director-General of the DCoG, Elroy Africa for allowing me to
conduct this research.
My colleagues, especially Dr Marietjie Kruger, Sheila Hughes, Ando Donkers
and Marna Kock for sharing their expertise and their encouragment that
enabled me to fulfil this goal.
My loving husband Fanie, and children Talita and Tom, for their endurance,
patience and dedicated support during the time it took to accomplish my
pursuit.
Finally, but not less important, my mother and sisters, Pietie, Lucia and
Rhona, and friends for their prayers and constant words of encouragement.
iii
SUMMARY
This study focused on a literary analysis to determine critical future considerations
required to position the South African Local Government National Capacity Building
Framework (NCBF) of 2011. The study addressed, inter alia, the research question:
What is the nature and scope of the NCBF in local government and which priority
interventions could be taken at an institutional level to promote the objectives of local
government as constructed within the Constitution?
Although the former Department of Cooperative Governance (DCoG) (currently the
Department of Cooperative Governance and Traditional Affairs (CoGTA) and its key
stakeholders compiled the NCBF by 2004 and reviewed it in 2008, no study has yet
been made of the effectiveness of the NCBF to coordinate support, capacity building
and training initiatives aimed at local government to ensure that the necessary impact
is achieved. Much attention has been given to individual capacity building in local
government however, their inter-relatedness to institutional and environmental
capacity is not sufficiently addressed to improve each municipality’s capacity. It is
widely acknowledged that the ‘one-size-fits-all’ approach adopted by the national and
provincial government to implement legislation in terms of the fiscal, functional and
planning arrangements for local government, has not assisted municipalities with
varying legacies and backgrounds to deliver uniformly on their mandates and
obligation. This ‘one-size-fits-all’ approach does not take into consideration the
impact of major integration challenges compounded by spatial differences between
municipalities in terms of capacity to raise revenue and to deliver services.
The lack of capacity in local government is a recurring theme as is the lack of
coordination and the impact on the current initiatives. There is also not yet at least
one set of capacity indicators against which to measure local government’s capacity.
A qualitative research methodology was followed in general and a conceptual and
theoretical analysis in particular. The thesis contributed to understanding of capacity
building and related concepts, theories, approaches and phenomena that influence
the capacity of local government to meet its objectives. The study included a detailed
exploration of skills development within the realm of capacity building. It also
contributed to a specific level of understanding of the variables influencing the
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institutional, regulatory and policy framework of the South African government
system and legislation and related frameworks relevant to local government, support,
capacity building and training.
The study provided an integration of the determinants influencing a differentiated
approach to support, capacity building and training in the local government sector
and developed a model to measure support, capacity building and training at local
government level, by developing measureable capacity indicators to optimally
implement the NCBF of 2011 to 2016 in the long term.
KEY WORDS
Environmental capacity; individual capacity; institutional capacity; monitoring and
evaluation; performance; planning; policy, qualitative research methodology; skills
development; training.
v
ABBREVIATIONS
The following abbreviations were used in the compilation of this thesis:
Abbreviation Full phrase
ABET Adult Basic Education and Training
AG Auditor-General
ANC African National Congress
APC African People’s Convention
APP Annual Performance Plans
ATR Annual Training Report
AZAPO Azanian People’s Organisation
BCEA Basic Conditions of Employment Act
BC Before Christ
BED Black Economic Development
CIDA Canadian International Development Agency
C.A.P.E Cape Action for People & Environment
CAT Capacity Assessment Tool
CBO Community Based Organisations
CDWs Community Development Workers
CFR Cape Floristic Region
CHE Council on Higher Education
CLC Community Law Centre
CIP Comprehensive Infrastructure Plans
CMAs Catchment Management Agencies
COAG Council of Australian Governments
CoGTA Cooperative Governance and Traditional Affairs
COPE Congress of the People
COSATU Congress of South African Trade Unions
CNRM Collaborative Natural Resources Management
CRM Collaborative Resources Management
CSIR Council for Scientific and Industrial Research
CSOs Civil Society Organisations
DA Democratic Alliance
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Abbreviation Full phrase
DBSA Development Bank of Southern Africa
DCoG Department of Cooperative Governance
DEM Department of Minerals and Energy
DM District Municipality
DoF Department of Finance
DoHET Department of Higher Education and Training
DORA Division of Revenue Act
DOSA Discussion-orientated Organisational Self-assessment
DPLG Department of Provincial and Local Government
DPME Department of Performance Monitoring and Evaluation
DPSA Department of Public Service and Administration
DTA Department of Traditional Affairs
DTI Department of Trade and Industry
DWA Department of Water Affairs
DWAF Department of Water Affairs and Forestry
ECD Early Childhood Development
EEA Employment Equity Act
FDA Framework on a Differentiated Approach
FEDUSA Federation of Unions of South Africa
FET Further Education and Training
FFC Financial and Fiscal Commission
FOSAD Forum of South African Directors-General
GAPD Governance, Administration, Planning and Development
Facilitation
GAPSKILL Name given to local government web based skills audit tool
GDP Gross Domestic Product
GEAR Growth, Employment and Redistribution
GPOA Governments Programme of Action
GSCF Guide to the State of City Finances
GVA Gross Value Add
HDI Human Development Index
vii
Abbreviation Full phrase
HPNL High Performance Working Initiative
HR Human Resources
HRD Human Resource Development
HRD-SA Human Resource Development – South Africa
ICBMIS Integrated Capacity Building Management of Information Systems
ICT Information and Communication Technology
IDASA Institute for Democracy in Africa’s Study
IDC Industrial Development Corporation
IDF Institutional Development Framework
IDP Integrated Development Planning
IDP(s) Integrated Development Plan(s)
IOCE International Organisation for Cooperation in Evaluation
IE Impact Evaluation
IFP Inkatha Freedom Party
IGFs Intergovernmental Forums
IGFR Intergovernmental Fiscal Relations
IGR Intergovernmental Relations
IGRFA Intergovernmental Relations Framework Act
IMATU Independent Municipal and Allied Trade Union
INCBP Integrated National Capacity Building Plan
ISRDP Integrated Sustainable Rural Development Plan
JSB Joint Services Board
JTM Joint Tagging Mechanism
KPAs Key Performance Areas
KPE Key Performance Elements
KPI Key Performance Indicator
KZN KwaZulu Natal
LAC Limits to Acceptable Change
LED Local Economic Development
LFA Logical Framework Approach
LG Local Government
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Abbreviation Full phrase
LGLI Local Government Learning Institute
LGSETA Local Government Sector Education and Training Authority
LGTA Local Government Transition Act
LGTAS Local Government Turn Around Strategy
LLF Local Labour Forum
LoU Letter of Understanding
MinMECs Ministers and Members of Executive Council
M&E Monitoring and Evaluation
MDA Minister’s Delivery Agreement
MDB Municipal Demarcation Board
MDG Millennium Development Goals
MECs Members of Executive Councils
Metros Metropolitan or Category A municipalities
MFD Meta Framework for Differentiation
MFF Municipal Fiscal Framework
MFMA Municipal Finance Management Act
MIG Municipal Infrastructure Grant
MIIF Municipal Infrastructure Investment Framework
MISA(s) Municipal Infrastructure Support Agent(s)
MoU Memorandum of Understanding
MPAT Management Performance Assessment Tool
MPL(s) Members of the Provincial Legislature(s)
MPRA Municipal Property Rates Act
MPs Members of Parliament
MSA Municipal Systems Act
MSFM Municipal Services Financial Model
MTASs Municipal Turn-Around Strategies
NACTU National Council of Trade Unions
NCBF National Capacity Building Framework
NCOP National Council of Provinces
NDP National Development Plan
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Abbreviation Full phrase
NEDLAC National Economic Development and Labour Council
NEMA National Environmental Management Act
NERSA National Electricity Regulator of South Africa
NGOs Non-Government Organisations
NHTL National House of Traditional Leaders
NMCCMC National Municipal Capacity Coordination and Monitoring
Committee
NPC National Planning Commission
NPM New Public Management
NQF National Qualifications Framework
NSDS National Skills Development Strategy
NUM National Union of Mineworkers
OFO Organising Framework for Occupations
ODI Overseas Development Institute (UK think tank on development)
PAIA Promotion of Access to Information Act
PALAMA Public Administration Leadership and Management Academy
PC Project Consolidate
PCC President’s Coordinating Council
PDP Personal Development Plans
PHTL Provincial Houses of Traditional Leaders
PIF Premiers Intergovernmental Forum
PPS Policy Planning Statement 1: Delivering Sustainable
Development
PR Proportional Representation
PROSE Participatory, Results-orientated Self-evaluation
PSC Public Service Commission
QCTOs Quality Councils for Trades and Occupations
RDP The Reconstruction and Development Programme
RDS Rural Development Strategy
RIA Regulatory Impact Assessment
RPL Recognition of Prior Learning
x
Abbreviation Full phrase
RSC Regional Services Council
RWP Review of the White Paper
SA South Africa
SACN South African Cities Network
SACOB South African Chamber of Business
SACP South African Communist Party
SALGA South African Local Government Association
SALGBC South African Local Government Bargaining Council
SAMWU South African Municipal Workers Union
SANS South African National Standards
SARS South African Revenue Services
SAQA South African Qualifications Authority
SBP Society of Business Practitioners (British)
SDBIP Service Delivery and Budget Implementation Plan
SDIP Service Delivery Improvement Plan
SDOT Service Delivery and Organisational Transformation
SDP Skills Development Programme
SETAs Sector Education and Training Authorities
SMME Small, Medium and Micro enterprises
SMS Senior Management Service
SOEs State-owned Enterprises
SONA State of the National Address
SPV Special Purpose Vehicle
StatsSA Statistics South Africa
SWOT Strengths, Weaknesses, Opportunities and Threats
TBVC Transkei, Bophuthatswana, Venda and Ciskei
TIC Technical Intergovernmental Committee
TLGFA Traditional Leadership and Governance Framework Act
ToP Technology of Participation
UDM United Democratic Movement
UDS Urban Development Strategy
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Abbreviation Full phrase
UK United Kingdom
UL Urban Landmark
UN United Nations
UNDP United Nations Development Programme
UNESCO United Nations Educational Scientific and Conservation
Organisation
URP Urban Renewal Programmes
USAID United Nations Agency for International Development
WA Water Affairs
WoF Working on Fire
WSA Water Services Authority
WSPs Workplace Skills Plan
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TABLE OF CONTENTS
Page
CHAPTER ONE
GENERAL INTRODUCTION AND SCIENTIFIC AND
METHODOLOGICAL ORIENTATION TO THE RESEARCH 1
1.1 Introduction 1
1.2 Background, rationale and problem statement 2
1.3 Guiding and secondary research questions 8
1.4 Study objectives 10
1.5 Significance of the research 11
1.6 Limitations of the study 11
1.7 Scientific and methodological approach to the study 13
1.7.1 Qualitative research approach to the methodology 17
1.7.2 Application of key research concepts of the study 23
1.7.2.1 Scientific knowledge 24
1.7.2.2 The relationship between theory and research 25
1.7.2.3 Scientific method 27
1.7.2.4 The dimensions of social science research 28
1.7.2.5 Types of research 29
1.7.2.6 The ontological, epistemological and axiological dimensions 31
1.7.2.7 Unit of analysis 32
1.8 Research techniques applied for the purposes of this thesis 33
1.8.1 Conceptual analysis 33
1.8.2 Conceptual model 34
1.8.3 Categorising 34
1.8.4 Coding 34
1.8.5 Theoretical sampling 35
1.8.6 Documentary content analysis 35
1.8.7 Systems approach 36
1.8.8 Literature review 37
1.8.9 Validity and reliability 40
1.9 Data collection techniques 41
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1.9.1 Documentary sources 41
1.9.2 Structured and unstructured interviews 43
1.10 Terminology 44
1.11 Outline of the chapters of the thesis 47
CHAPTER TWO
VARIABLES INFLUENCING THE INSTITUTIONAL, REGULATORY AND
POLICY FRAMEWORK OF THE SOUTH AFRICAN GOVERNMENT 49
SYSTEM
2.1 Introduction 49
2.2 South Africa as a democratic developmental state 50
2.2.1 Government and a state 52
2.2.2 The objectives of a state 53
2.2.3 A developmental state 54
2.2.4 Potentials and challenges for South Africa as a developmental state 56
2.2.5 A democratic developmental state 60
2.3 Background to a government system with reference to the South
African government system 62
2.3.1 The legislative authority 66
2.3.2 The executive authority 69
2.3.3 The judicial authority 70
2.4 The three spheres of government 72
2.4.1 National government departments in general 72
2.4.2 National government departments in particular 74
2.4.2.1 The Ministry for Cooperative Governance and Traditional Affairs (CoGTA) 74
2.4.2.2 The Department of Cooperative Governance (DCoG) 77
2.4.3 Provincial government departments 79
2.4.3.1 MECs for CoGTA 80
2.4.3.2 Provincial DCoGs 81
2.4.3 Local government 82
2.4.4.1 Local government in particular 82
2.4.4.2 Overview of transformation in local government 87
xiv
2.4.4.3 Local government’s transformation: Phase 1 88
2.4.4.4 Local government’s transformation: Phase 2 (Interim Phase) 89
2.4.4.5 Local government’s transformation: Phase 3 (Final Phase) 92
2.4.5 Other state institutions 95
2.5 The policy process 96
2.5.1 Phases in the policy process 97
2.5.1.1 Policy initiation 98
2.5.1.2 Policy design 99
2.5.1.3 Policy analysis 100
2.5.1.4 Policy formulation 101
2.5.1.5 Policy dialogue and advocacy 102
2.5.1.6 Policy implementation 102
2.5.1.7 Policy evaluation 103
2.5.1.8 Integrated policy making 104
2.5.2 Factors influencing policy making 105
2.5.2.1 Politics and policy 106
2.5.2.2 The political-administrative interface and policy making 108
2.5.2.3 Public administration, - management, - governance and policy 110
2.5.2.4 Trade unions, politics and policy 112
2.5.2.5 Public participation and policy 114
2.5.3 Policy versus strategy 117
2.6 Other concepts associated with the South African government system 117
2.6.1 Unitary system 119
2.6.2 Federal system 120
2.6.3 Decentralisation 120
2.6.4 Centralisation 121
2.6.5 Governmental relations 121
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2.6.6 Coordination 123
2.6.7 Constitutional interventions 124
2.6.8 Dimensions found in government 125
2.6.9 Span of control 127
2.7 Summary 129
CHAPTER THREE
LEGISLATION AND RELATED POLICY FRAMEWORKS RELEVANT
TO DEVELOPMENTAL LOCAL GOVERNMENT STRATEGIES FOR
CAPACITY BUILDING 131
3.1 Introduction 131
3.2 Overview on legislation, the legislative functions and processes 132
3.2.1 Contextualising legislation and the legislative function 133
3.2.2 Delegated legislation 133
3.2.3 Overview of the legislative processes 135
3.2.3.1 Preparing draft legislation 135
3.2.3.2 Obtaining cabinet approval 135
3.2.3.3 The role of the state’s law advisors 136
3.2.3.4 Introduction of a Bill in Parliament 136
3.2.3.5 Signing a Bill into law 139
3.2.4 Improvements to the legislative processes 140
3.2.5 Legislation at the three spheres of government 141
3.2.5.1 National legislative authority 142
3.2.5.2 Provincial legislative authority 144
3.2.5.3 Municipal by-laws 145
3.2.5.4 Traditional leaders and legislation 146
3.3 South African Local Government law 146
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3.3.1 The principles and norms of South African Local Government law 147
3.3.2 The legal nature of local government 148
3.3.3 The statutory framework for local government 149
3.3.3.1 The Reconstruction and Development Programme (RDP) White Paper
of 1994 150
3.3.3.2 White Paper on Transforming Public Service Delivery of 1997 151
3.3.3.3 White Paper on Local Government of 1998 151
3.3.3.4 The Local Government: Municipal Structures Act 117 of 1998 152
3.3.3.5 The Local Government: Municipal Systems Act 32 of 2000 (MSA) 152
3.3.3.6 The Promotion of Access to Information Act 2 of 2000 (PAIA) 153
3.3.3.7 Traditional Leadership and Governance Framework Act 41 of 20013 154
3.4 Legislation specific to local government and linked to departments
with sphere-wide regulatory jurisdiction 154
3.4.1 The Constitution of 1996 155
3.4.1.1 The objects of local government (Section 152) 155
3.4.1.2 The powers and functions allocated to local government 155
3.4.2 The Intergovernmental Fiscal Relations Act 97 of 1997 (IGFR) 157
3.4.3 The Organised Local Government Act 52 of 1997 (OLG) 157
3.4.4 The Local Government: Municipal Demarcation Act 27 of 1998 157
3.4.5 The Local Government: Municipal Structures Act 117 of 1998 157
3.4.6 The Local Government: Municipal Systems Act 32 of 2000 (MSA) 158
3.4.7 The Disaster Management Act 57 of 2002 158
3.4.8 The Municipal Finance Management Act 56 of 2003 (MFMA) 158
3.4.9 The Municipal Property Rates Act 6 of 2004 (MPRA) 159
3.4.10 The Intergovernmental Relations Framework Act 13 of 2005 (IGRF) 159
3.4.11 The Division of Revenue Act 6 of 2011 (DORA) 159
3.5 Legislation linked to departments with specialised or
sector-specific authority 160
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3.5.1 The Constitution of 1996 160
3.5.1.1 Schedules 4,5 and 6 160
3.5.1.2 Legislative context for public administration 161
3.5.2 National sector departments’ legislation impacting on local government 162
3.5.3 Professions that are legislated and found within municipalities 165
3.5.4 Generic human resources and public administration legislation 166
3.6 Legislation impacting on capacity building 166
3.6.1 Constitution of 1996 166
3.6.2 Municipal Structures Act 117 of 1998 167
3.6.3 Municipal Systems Act 32 of 2000 (MSA) 168
3.6.4 Intergovernmental Framework Relations Act 13 of 2005 (IGRFA) 170
3.6.5 Broadened legislative scope for capacity building 170
3.6.5.1 Reference to ‘support’ or ‘assist’ in terms of the Constitution
of 1996 171
3.6.5.2 Reference to ‘support’ or ‘assist’ in the Municipal Structures Act 117 of
1998 171
3.6.5.3 Reference to ‘support’ or ‘assist; in the MSA 32 of 2000 172
3.6.5.4 Reference to ‘support’ or ‘assist’ in the IGRFA 13 of 2005 172
3.6.5.5 Reference to skills and capacity development related concepts in
the Constitution of 1996 173
3.6.5.6 Reference to skills development and capacity building in the
Municipal Structures Act 117 of 1998 174
3.6.5.7 Reference to skills development and capacity building in the MSA 32 of
2000 174
3.6.6 National sector legislation related to skills development and education 175
3.6.6.1 The National Qualifications Framework Act 67 of 2008 176
3.6.6.2 The Skills Development Act 97 of 1998 176
3.6.6.3 The Skills Development Levies Act 9 of 1999 176
3.6.6.4 The Higher Education Act 101 of 1997 176
3.6.6.5 The Adult Basic Education and Training Act 52 of 2000 (ABET) 177
3.6.6.6 The Basic Education Laws Amendment Act 15 of 2011 177
3.6.6.7 Green Paper for Post School Education and Training of 2012 178
3.7 Ethics and legislation 178
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3.8 Common legal issues relevant to local government 179
3.8.1 Challenges of local government with the implementation of legislation 180
3.8.2 Addressing local government’s challenges to implement legislation 182
3.9 Current policy frameworks and strategy positions influencing local
government 183
3.9.1 The Rural Development Strategy (RDS) 183
3.9.2 The Urban Development Strategy (UDS) 184
3.9.3 Growth, Employment and Redistribution Strategy (GEAR) 185
3.9.4 The National Development Plan: Vision 2030 of 2011(NDP) 185
3.9.5 The Green Paper on Improving Government Performance of 2011 186
3.9.6 Green Paper on Cooperative Governance of 2010 189
3.9.7 The Intervention in Provinces and Municipalities Bill of 2010 189
3.9.8 An integrated / single public service 190
3.9.9 Framework for a Differentiated Approach to Municipal Support:
Discussion Document of 2011 190
3.9.10 Integrated Development Plans (IDPs) 191
3.9.11 Service delivery and organisational transformation (SDOT) agenda 191
3.9.12 The South African Local Government Bargaining Council (SALGBC) 192
3.9.13 Guidelines for Early Childhood Development (ECD) Services
of 2006 192
3.9.14 Human Resource Development Strategy for South Africa: 2010 to 2030
(HRD-SA) 193
3.9.15 National Skills Development Strategy (NSDS) III: 2011 to 2016 194
3.9.16 National Skills Accord of 2011 195
3.9.17 The National Capacity Building Framework (NCBF): 2012 to 2016
1888 195
3.10 Summary 196
xix
CHAPTER FOUR
CONCEPTUAL AND PROCESS VARIABLES INFLUENCING THE
NATIONAL CAPACITY BUILDING FRAMEWORK:
COOPERATIVE GOVERNANCE AND SUPPORT, CAPACITY BUILDING
AND TRAINING 198
4.1 Introduction 198
4.2 Background to the SA cooperative governance system 200
4.2.1 Principles behind intergovernmental relations (IGR) 201
4.2.2 The origin of cooperative governance 202
4.2.3 The development of cooperative governance in South Africa 203
4.2.3.1 Elements of cooperative governance 203
4.2.3.2 Regulatory jurisdiction 204
4.2.3.3 The main phases of evolvement of the IGR system 206
4.2.4 The proposed structure of an organisation involved in cooperative
governance: Project-based organisations 208
4.3 Conceptual variables related to cooperative governance,
support, capacity building and training 213
4.3.1 Cooperative governance versus intergovernmental relations (IGR) 213
4.3.2 The interface between cooperative governance, governance
and good governance 214
4.3.3 The importance of leadership in exercising cooperative governance 217
4.3.4 Cooperative governance and strategic planning and management 219
4.3.5 Cooperative governance and coordination 220
4.3.6 Co-management, collaborative management and cooperative
governance 221
4.3.7 Municipal entity, public private partnerships and cooperative
governance 223
4.3.8 The interface between sustainable development and cooperative
Governance 223
4.3.9 Concepts related to support, capacity building and training 225
4.3.9.1 Benchmarks 225
4.3.9.2 Capacity and capacity-building 226
4.3.9.3 Impact 229
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4.3.9.4 Support 229
4.3.9.5 Training 229
4.4 National intergovernmental structures 229
4.4.1 The President’s Coordinating Council (PCC) 230
4.4.2 Ministers and members of the executive councils (MinMEC’s) 230
4.4.3 The National Council of Provinces (NCOP) 231
4.4.4 The Forum of South African Directors-General (FOSAD0 231
4.4.5 The Budget Council and Local Government Budget Forum 231
4.4.6 Several inter-ministerial committees 232
4.4.7 Different kinds of municipal committees 232
4.4.7.1 Municipal committees 232
4.4.7.2 Ward committees 234
4.5 Elements of intergovernmental relations in practice in South Africa 236
4.5.1 Concurrent competencies 237
4.5.2 Implementation protocols 241
4.5.3 Disputes during joint implementation 242
4.5.4 A government that benefits the citizen (public participation) 242
4.5.4.1 Public participation in cooperative governance 243
4.5.4.2 Community-based planning 246
4.5.4.3 Decentralisation 247
4.5.4.4 Centralisation 249
4.5.4.5 Federal system 251
4.5.4.6 The ignorance of citizens 257
4.5.5 Challenges of cooperative intergovernmental relations 253
4.5.5.1 Good governance 253
4.5.5.2 Tension between the relative autonomy of spheres of government 256
4.5.5.3 Access and quality services 257
4.5.5.4 Coordination 258
4.5.5.5 Role division 259
4.5.5.6 Capacity challenges 260
4.5.5.7 Other challenges of cooperative governance 263
4.5.6 Proposals to improve the SA system of cooperative governance 264
4.5.7 Successes of cooperative IGR and experimentation 271
4.5.7.1 Successes of cooperative IGR 271
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4.5.7.2 Experimentation 262
4.6 The influence of cooperative governance on the NCBF 278
4.6.1 Capacity required by the State 278
4.6.2 Contributions by Further and Higher Education Institutions 281
4.6.3 Public service training 284
4.6.4 The Draft Revised NCBF: 2012 to 2016 and cooperative governance 286
4.7 Summary 293
CHAPTER FIVE
A DIFFERENTIATED APPROACH TO SUPPORT, CAPACITY BUILDING
AND TRAINING FOR LOCAL GOVERNMENT 294
5.1 Introduction 294
5.2 Differentiation as contained in legislation 296
5.2.1 The Constitution of 1996 296
5.2.2 The Local Government: Municipal Structures Act 117 of 1998 298
5.2.3 The Local Government: Municipal Systems Act 32 of 2000 (MSA) 300
5.3 Background to differentiation 300
5.4 Concepts of importance within the context of differentiation 303
5.4.1 Differentiation 303
5.4.2 Differentiation and basic services 303
5.4.3 Differentiation and the management of resources 305
5.4.4 Differentiation, segmentation and support 308
5.4.5 Differentiation, functionality and viability 311
5.4.6 Differentiation and equity 313
5.5 Differentiation from the perspective of the citizen 315
5.5.1 The economy 317
5.5.2 Service delivery 317
5.5.3 Service delivery protests 322
5.6 Differentiation required in structuring and managing an organisation 323
5.7 Differentiation in South African local government 329
5.7.1 Various segmentation models 329
5.7.1.1 The National Treasury 329
5.7.1.2 Municipal Infrastructure Investment Framework (MIIF) 330
xxii
5.7.1.3 The Municipal Demarcation Board (MDB) 335
5.7.1.4 Municipalities segmented according to audit performances 336
5.7.1.5 DCoG spatially vulnerable municipalities’ segmentation model 338
5.7.1.6 The LGSETAs municipal segmentation 341
5.7.1.7 Deliberation on typologies 341
5.7.2 Differentiation, the developmental state and policy requirements for
local government 345
5.7.3 Differentiation and powers and functions 348
5.7.4 Differentiation and financial resources 352
5.7.5 Differentiation and the urban-rural divide 355
5.7.5.1 Metros 358
5.7.5.2 Secondary cities 363
5.7.5.3 Districts 364
5.7.5.4 Local municipalities 366
5.7.6 Differentiation and institutional systems 367
5.7.7 Differentiation and Local Economic Development (LED) 368
5.7.8 Differentiation and capacity challenges 372
5.7.8.1 Generic capacity challenges 373
5.7.8.2 Sector-specific capacity challenges 380
5.8 The differentiated approach proposed for local government 385
5.9 The role of differentiation in support, capacity building and training 390
5.10 Summary 393
CHAPTER SIX
VARIABLES INFLUENCING THE MEASUREMENT OF LOCAL
GOVERNMENT SUPPORT, CAPACITY BUILDING AND TRAINING 395
6.1 Introduction 395
6.2 Background and rationale for measurable capacity indicators 396
6.3 Performance planning 399
6.3.1 Planning, implementing and predetermined ‘impact’ 401
6.3.1.1 Planning and implementation 403
6.3.1.2 Predetermined impact 404
6.3.2 Monitoring and reporting 406
xxiii
6.3.3 Evaluation 407
6.3.4 The Logical Framework Approach (LFA) 411
6.3.5 Impact assessments 413
6.4 Measuring capacity 416
6.4.1 Individual capacity assessments and tools 418
6.4.2 Institutional and environmental capacity assessments and tools 418
6.4.2.1 An international institutional capacity assessment 420
6.4.2.2 Approaches to international institutional capacity assessment
(CATs) 422
6.4.2.3 Participatory, results-oriented self-evaluation (PROSE) 425
6.4.2.4 The institutional Development Framework (IDF) 427
6.4.2.5 An international environmental capacity assessment approach 429
6.5 Other concepts associated with measuring 432
6.5.1 Indicators 432
6.5.1.1 Development indicators 434
6.5.1.2 Performance indicators 435
6.5.1.3 Differentiation indicators 436
6.5.1.4 Capacity indicators 436
6.5.1.5 Capacity indicators versus performance indicators 439
6.5.2 Targets 441
6.5.3 Precondition for building capacity 442
6.5.4 Demand, benchmarks, triggers and levers 443
6.5.5 Skills utilisation and productivity 444
6.6 The design of capacity indicators 445
6.6.1 The Product 446
6.6.2. Performance or outcomes 448
6.6.3 Permanence or the sustainability issue 449
6.7 South African capacity building strategies and indicators 450
6.8 Draft NCBS for local government: Pillars, indicators and projects 451
6.9 Summary 461
xxiv
CHAPTER SEVEN
EVALUATION, CONCLUSIONS AND PROPOSALS 463
7.1 Introduction 463
7.2 Synthesis of the chapters and findings of the research objectives 465
7.2.1 Chapter Two: Variables influencing the institutional, regulatory and
policy framework of the South African government system 465
7.2.2 Chapter Three: Legislation and related policy frameworks relevant to
developmental local government strategies for capacity building 468
7.2.3 Chapter Four: Conceptual and process variables influencing the
national capacity building framework: cooperative governance and
support, capacity building and training 472
7.2.4 Chapter Five: A differentiated approach to support, capacity building
and training for local government 474
7.2.5 Chapter Six: variables influencing the measurement of local
government support, capacity building and training 480
7.3 Conclusion 482
7.4 Final word 485
BIBLIOGRAPHY 487
xxv
LIST OF TABLES
Page
Table 2.1: Departmental register per province 80
Table 2.2: Comparison between national and provincial departments’
names 81
Table 2.3: Local government during Apartheid compared to the new
vision for local government 88
Table 2.4: Key levers of the transformation process (1995-2000) 91
Table 2.5: National representation of women at the local government level 93
Table 2.6: Key levers of the transformation process (2001-2005) 93
Table 3.1: Powers and functions of local government 156
Table 3.2: Local government matters 156
Table 3.3: National sector departments’ legislation that impacts on local
government 163
Table 4.1: Proposals and sub-proposals to improve the SA system of
cooperative governance 264
Table 5.1: Summary of municipal typologies developed 342
Table 5.2: The economic importance of the profiles of cities in SA 359
Table 5.3: Recommended ten critical services for simplified IDPs 375
Table 5.4: WSP compliance rates 377
Table 5.5: Local Government facts and figures: Training Planned
2011/2012 vs. Conducted 2010/2011 378
Table 5.6: The relevance of initiatives (support, capacity building and
training) to address the challenges identified by the NCBF:
2012-2016 392
Table 6.1: The role of local government in terms of
government’s 12 Development Outcomes 402
Table 6.2 APP Local Government capacity building indicators
for 2012/2013 404
Table 6.3: Monitoring, evaluation and reporting model 412
Table 6.4: Management Performance Assessment Tool (MPAT) 420
Table 6.5: Transformation continuum scoring system 420
xxvi
Table 6.6: Examples of types of tools used for capacity assessment
by the UNDP 425
Table 6.7: Differentiation indicators 436
Table 6.8: Institutional capacity building indicators 437
Table 6.9: Summary of the NCBS 452
Table 6.10: The DCoG’s continued focus in unpacking the projects 453
Table 6.11: Draft NCBS: Pillars and indicators for local government: 2012 to
2016 454
LIST OF FIGURES/DIAGRAMS
Figure 2.1: The phases of municipal transformation 87
Diagram 4.1: The development management cycle 218
Diagram 4.2: A systemic approach to capacity building 228
Diagram 4.3: Linkage between ward plans, communities and higher level plans 235
Diagram 4.4: The NMCCMC structural interrelationships 291
Figure 5.1: Public participation in local government meetings attended in
2010 320
Figure 5.2: Classification of municipalities by the MIIF 332
Figure 5.3: Class1 - Most vulnerable municipalities 339
Figure 5.4: Municipal segmentation: Restructuring model 341
Figure 7.1: Proposed capacity building oversight and coordination model for
local government 484
1
CHAPTER ONE
GENERAL INTRODUCTION AND SCIENTIFIC AND METHODOLOGICAL
ORIENTATION TO THE RESEARCH
1.1 Introduction
This study focuses on the South African Local Government National Capacity
Building Framework (NCBF) of 2011(hereafter interchangeably sourced and referred
to as NCBF) and the variables that influence the successful implementation of the
NCBF within the South African local government sector.
The introductory chapter highlights the scientific and methodological orientation to
the research and provides a background and rationale to put the problem within its
proper context. The problem statement, guiding research question, secondary
research questions, the research objectives and the significance of the research are
also presented. The limitations to the study are also highlighted. The scientific and
methodological approach to the study is explained as a precursor for the specific
qualitative approach to the methodology used for the purposes of this thesis. It was
also necessary to provide a clarification of the key concepts used in terms of the
chosen research method. In this regard, the chapter pays attention to the variables
that influence the scientific and methodological orientation and discusses scientific
knowledge, the relationship between theory and research, scientific method, the
dimensions of social science research, the types of research, the ontological,
epistemological and axiological dimensions of research and the unit of analysis.
Furthermore, the research techniques applied for the purposes of this thesis are also
clarified and constitute the concepts of conceptual analysis, conceptual model,
categorising, content analysis, model, coding, theoretical sampling, documentary
content analysis, systems approach, literature review, validity and reliability.
The chapter also pays attention to the triangulation of research data collection
methods in terms of the documentary sources, as well as structured and
2
unstructured interviews. Terms that are frequently used in the thesis are concisely
defined in order to avoid misinterpretation or misunderstanding. The chapter
concludes with an overview of the chapters contained in the thesis. Quotation marks
in the text were used to indicate the official documentary sources in order to comply
with the UJ Turnitin policies. Abbreviations of sources are interchangeably used in
text references. To simplify cross referencing to the bibliography when
abbreviations are used, the explanations of the abbreviations are provided in the list
of abbreviations.
1.2 Background, rationale and problem statement
It is important to remember, as we go about our daily business that we all live in a
municipality, somewhere in the country; we are all residents of a ward, and we all
have a ward councillor. Most of us receive our services from municipalities, who bill
us for our water, electricity, refuse removal, sewerage and property rates. Either our
local or district municipality or our province has various duties to create decent
environments for residents in cities, towns and rural areas across South Africa.
These duties include building roads and houses, and providing security, public
transport, libraries and sports facilities. We can all assess how well our local
municipality and province are doing by the quality of these services, the behaviour of
our officials, what the local newspaper reports about the municipality and whether we
feel we are important to our ward councillors and the administration (Hughes
2010:9).
On 14 December 2001, the President and the Premiers of Provinces met in a special
President’s Coordinating Council (PCC) workshop to review the transformation of
local government (The Department of Cooperative Governance in the Ministry of
Cooperative Governance and Traditional Affairs (CoGTA) 2008). Whilst the PCC
noted considerable progress in the transition towards transforming municipalities into
the fully capacitated entities envisaged in the Constitution, it also identified many
challenges that still needed to be addressed in order to implement the new system of
local government. In recognition of the challenges still facing municipalities, the PCC
directly called for: “… the development of a NCBF which is differentiated to take
account of different provincial and local government circumstances, and which would
3
define the role of provinces in resourcing and supporting local government. The
Framework needed to focus on building strong political and managerial leadership at
a local level” (NCBF 2004).
The first NCBF was published in 2004 and re-launched in 2008 to include Project
Consolidate (PC) and the Local Government Strategic Agenda. This re-launched
NCBF provided important guidelines and broad strategic directions for capacity
building aimed at municipalities in South Africa. The NCBF needs to once again be
reviewed in line with the term of office of local government. In view of this it is a
good opportunity to identify its strengths and weaknesses and propose its review
accordingly.
Also, the Local Government: Municipal Systems Act 32 of 2000, (hereafter also
interchangeably referred to as the Municipal Systems Act of 2000), Section 72 (1)
stipulates that the Minister for CoGTA may make regulations to regulate capacity
building within municipal administration. Such regulations have not yet been
instituted, and should they be, the revised NCBF would serve as basis to inform the
regulations.
The Parliamentary Standing Committee on Appropriations (supported by the
Chairperson of the Portfolio Committee on Cooperative Governance) at a meeting
held in August 2010 again raised concerns about the lack of coordination between
capacity building initiatives targeting municipalities. The Committee further requested
the Department of Cooperative Governance (DCoG) to develop a comprehensive
programme on capacity building for local government (in consultation with key sector
departments), to ensure integration and coordination.
Since 2008 the NCBF has promoted a holistic approach to capacity building through
inter-relatedness between individual, institutional and environmental capacity.
Individual capacity building practices are deemed to be in line with skills audit best
practices from the planning to the execution phase (cf. Skills-Australia 2011.
4
Practices included are:
Developing a matrix to link municipal powers and functions to municipal
units and occupations so ensuring that the business of the municipality is
considered.
Developing a typology to identify the range between small to large
municipalities requiring generalist to specialist resources.
Defining what the skills audit web-based skills audit tool (GAPSKILL) is to
measure; with due regard to ‘individual capacity’ as defined in the DCoG’s
NCBF.
Aligning the local government skills audit practices to national and
provincial skills audits conducted by the Department of Public Service and
Administration (DPSA) through HR Connect; in view of the possibility of a
future integrated public service.
Determining a competence dictionary for local government based on all
competence profiles linked to posts that address those components
identified as ‘individual capacity’, that is: A combination of qualifications,
experience and competence (knowledge, skills and attitude) required by
an individual for the post occupied, to have benchmarks to measure
individuals against.
The outcome of the skills audit being the creation of Personal
Development Plans (PDPs) for all staff (individuals) in the municipality.
The collective PDPs enabling the compilation of an annual Workplace
Skills Plan, by the end of June annually as per legislation, to address the
individual capacity gaps within the workplace (municipality). Also, PDPs
are to be used to sustain the skills audit process by allowing the tracking
of progress against the skills audit outcomes. PDPs also link to individual
performance management.
Instituting a local government practice that a skills audit should only be
conducted once in an employee’s lifetime; per position, that is unless the
employee changes positions.
5
Identifying initiatives relevant to the gap determined, i.e. qualifications
versus experience versus competence (cf. Wales Employment and Skills
Board 2011; Harper 2010 and Maddocks, Sher, and Wilson 2000).
The above practices indicate that much attention has been given to individual
capacity building. However, their inter-relatedness to institutional and environmental
capacity needs to be further addressed.
Also, it can be said that the government in the past decade and a half focused
heavily on physical infrastructure for public service delivery, but that the time has
come to start balancing the tangible/infrastructure delivery with the
intangible/developmental impacts, e.g. sustaining quality of life and restoration of
human dignity. It can be argued that public service delivery might perpetuate the
dependency syndrome in the minds of communities unless emphasis is placed
equally on tangibility and intangibility (DCoG: RWP 2011: 60-61).
Achieving this balance is not yet the case when one considers the content of the
Minister for COGTA’s Delivery Agreement (2010:58) that states that “[n]ot all
municipalities have the same capacity to raise revenues, as levels of poverty vary
considerably and are particularly high in mostly rural municipalities” and that
(2010:73) “there is evidence of a huge lack of capacity at provincial level to perform
their functions adequately...At this stage the country does not have a systematic
approach towards performance monitoring and support for local government (despite
chapter 6 of the Municipal Systems Act of 2000 dealing with this). Most of the efforts
are ad hoc…”
According to the National Development Plan (NDP), urgent measures to address the
most pressing needs, particularly high levels of unemployment, especially among the
youth, are required (2011:1). Approaching local government using a differentiated
approach seems to be the current measure to resolve the pressing issues at local
government level (see Chapter Five). But, will it be sustainable if the actual
requirements to ensure functional spheres are not addressed? That is, if every
sphere and said institutions in that sphere’s needs are each not addressed according
to its uniqueness?
6
However, the NDP (2011:23) also states that a capable state does not materialise by
decree, nor can it be legislated or crafted from conference resolutions. It has to be
painstakingly built, brick by brick, institution by institution and sustained and
rejuvenated over time. It requires leadership, sound policies, skilled managers and
workers, clear lines of accountability, appropriate systems and consistent and fair
application of rules.
A former Municipal Manager of Msunduzi (an aspiring metro), (in Haswell 2011:16)
says “it is a myth that if only municipalities were better run they could be self
sufficient”. He explains (in Haswell 2011:16) that “small municipalities expanded to
include the areas that were home to the majority of our people in areas many times
larger, but with poorly developed services, if not entirely neglected, stretching scarce
municipal rates income”. And thus, he believes that something had to give and that
this decay, he says, “was aided and abetted by the ‘retirement’ of many highly
competent municipal officials”. If one uses Msunduzi Municipality (in
Pietermaritzburg) as an example, he explains that it has to service and develop an
area three times larger than that formerly administered with treble the population;
where two thirds consist of tribal and township areas. Thus, the new municipality has
to make do with the rates revenue generated only in the city. This is simply a recipe
for spreading inferior service delivery and maintenance throughout the whole area
(Haswell 2011;16). Haswell (2011:16-17) argues that “clearly, neither the equitable
share; which is meant to cover the full cost of basic services for the poor, nor the
municipal infrastructure grant; which funds the development of only rudimentary
services and therefore adds to the maintenance woes, is sufficient to both develop
new and maintain existing assets”. He is of the view that municipalities should
receive more financing than national and provincial government from the fiscus. He
says that currently municipal budgets are bookkeeping exercises rather than
financial strategies. They may comply with the law, they may result in an unqualified
audit but they will not result in our municipalities becoming developmental (Haswell
2011:16-17).
What this thesis wants to focus on is how to improve local government’s (each
municipality’s) capacity. To address the question: “Does Local Government have the
capacity to meet its objectives as outlined by the Constitution?”, the Deputy Minister
7
for CoGTA, Yunus Carrim, at a media briefing on 16 May 2011 (www.pmg.org.za)
amongst others, stated that the following is being done to improve local
government’s capacity:
There will be more intensive induction of councillors after the elections.
Various financial management programmes are being implemented.
There is an attempt to provide greater cohesion between capacity building
programmes of all departments and other public sector institutions aimed at
local government.
The Municipal Turn-Around Strategies (MTAS) will be more actively
implemented.
The DCoG is processing the Intergovernmental Monitoring, Support and
Intervention Bill.
The Deputy Minister also alluded to the matters below as those that could
further improve local government’s capacity (www.pmg.org.za):
National and Provincial Government should do more to assist municipalities
with capacity, funds and other resources and should have worked with them
in a more integrated and cooperative way.
A review of the respective powers and functions of the three spheres is
necessary.
A differentiated local government model is being developed.
There will be a review of the intergovernmental fiscal system.
A much more empowered ward committee system is intended.
The review of the two-tier system of district and local municipalities must be
undertaken.
Greater clarity on the respective roles of councillors and administrators is
required.
Greater clarity on the responsibilities of the Mayor, Speaker and Chief Whip of
a municipality is needed.
The intention with this thesis is inter alia to explore the NCBF to determine
whether the necessary mechanisms have been put in place to address local
government’s capacity challenges that, amongst others, the Deputy Minister
reflected on.
8
According to the draft Framework on a Differentiated Approach (FDA), it is now
widely acknowledged that the ‘one-size-fits-all’ approach (adopted by national and
provincial government) to legislative and policy implementation, and to fiscal,
functional and planning arrangements for local government has not assisted
municipalities with varying legacies and backgrounds to deliver uniformly on their
mandates and obligations. The ‘one-size-fits-all’ strategies did not take into
consideration the impact of major integration challenges compounded by spatial
differences between municipalities in terms of capacity to raise revenue and to
deliver services (2011:4-5). However, there is some legislation, such as the
Municipal Property Rates Act 6 of 2004 and the Local Government: Municipal
Finance Management Act 56 of 2003, that adopted a differentiated approach but it is
not yet known whether the approach will achieve the desired effect.
Now that the research problem has been delineated and explicated, it is necessary
to state the subsequent research questions for the purposes of this thesis.
1.3 Guiding and secondary research questions
In view of the background above, the main research question to be addressed by
this thesis will therefore be: What is the nature and scope of the South African
local government National Capacity Building Framework and which priority
interventions could be taken at an institutional level to promote the objectives
of local government as constructed within the Constitution?
Through the application of primary and secondary sources, the above guiding and
following secondary research questions attempt to provide possible solutions to the
above rationale and problem statement.
What is the nature of the variables influencing the theoretical grounding in
terms of the institutional, regulatory and developmental policy frameworks of
the South African government system?
9
What are the potentials and challenges that South Africa must consider to
achieve its objectives of being a developmental state?
Does the fact that South Africa is a democratic state influence the State’s
ability to be developmental?
Does the Constitution of 1996, in Section 153 capture the central goal of
development, thus creating the potential for South African local government to
assist South Africa in becoming a developmental state?
Do the semantic differences in the names between the national DCoG and
provincial departments affect the support that provinces are providing to local
government in terms of creating a difference in the understanding of the
function required of it and thus the capacity made available?
What is the nature of the interaction among the variables influencing the
legislative and policy frameworks as well as the strategy positions in
developmental local government and capacity building?
What does the South African cooperative governance system entail and how
does it interface with intergovernmental relations?
Do intergovernmental relations provide the basis for cooperative governance?
What are the conceptual and process variables influencing cooperative
governance, support, capacity building and training in terms of the NCBF?
What are the variables influencing differentiation in local government in terms
of support, capacity building and training?
Does the NCBF: 2012 to 2016 adequately takes government’s policy on
differentiation into consideration?
What does the phenomenon capacity development, in relation to the concepts
skills development and training, entail?
What does measuring local government support, capacity building and
training entail?
What should a minimum set of indicators to measure local government’s
capacity entail?
How does work done in South Africa compare with international institutional
capacity assessments?
10
Was the DCoG’s NCBF from 2008 until 2011 effective in terms of coordinating
and ensuring a positive impact on support, capacity building and training
initiatives?
Is the NCBF from 2011 to 2016 going to be comprehensive enough to
address the challenges that local government faces?
How can a comprehensive programme of initiatives aimed at local
government be compiled?
What proposed amendments can be made to the NCBF for it to be effective in
facilitating coordination and ensuring that impact is achieved post 2011?
1.4 Study objectives
In order for this thesis to accomplish its purpose, the main study objectives are to
provide:
A description and an explanation of ‘the State’ related concepts, phenomena,
institutions, structures and processes influencing the meanings, foundations
and processes of the institutional, regulatory and developmental policy
framework of the South African government system, through the application of
a literature study.
An overview, through the application of a documentary analysis and literature
study, of the variables influencing the context, meanings, foundations and
processes of the legislation; policies and strategies aligned with the NCBF in
local government; and capacity building.
A description and an explanation of the conceptual and process variables
influencing the interaction of cooperative governance and support, capacity
building and training, on the NCBF
An integration of the determinants influencing a differentiated approach to
support, capacity building and training in the local government sector, through
the application of observations in terms of the facts obtained from the
literature studies of the previous objectives, as well as a validation of these
facts through the application of information obtained during interviews.
11
A systematic exploration of a strategy to measure support, capacity building
and training at local government level, by developing measureable capacity
indicators to optimally implement the NCBF of 2011 to 2016 in the long term.
Draw conclusions and make proposals to strengthen the annual Integrated
National Capacity Building Plan (INCBP) in order to propose considerations in
revising the NCBF beyond 2011 through the application of observations in
terms of the facts obtained through the literature studies of the previous
objectives as well as a validation of these facts through the application of
information obtained during interviews with stakeholders.
1.5 Significance of the research
Although the DCoG and its key stakeholders compiled the NCBF by 2004 and
reviewed it in 2008, no study has yet been made of the effectiveness of the NCBF to
coordinate support, capacity building and training initiatives aimed at local
government and ensure that the necessary impact is achieved. This includes a
detailed exploration of skills development within the realm of capacity building.
Lack of capacity is a recurring theme as is lack of coordination and impact made with
the current initiatives and thus the topic deserves more focused attention.
There is also not yet at least one set of capacity indicators to measure local
government’s capacity against. Further to that, there have also been many new
policy and legislative developments that could add to this study and inform the
revision of the NCBF post 2011 and the regulations on which it should be based.
1.6 Limitations of the study
The limitations and problems that will need to be addressed in revising the NCBF
include:
The envisaged purpose of the NCBF has not yet been achieved nor
regulated, thus, coordination of support, capacity building and training
initiatives aimed at local government are not yet viewed as satisfactory nor is
12
the impact made through the initiatives implemented seen as sufficient and /
or visible.
All information on support, capacity building and training, has not yet been
obtained on the types and number of initiatives implemented by stakeholders,
to allow for the compilation of a comprehensive programme aimed at local
government.
Capacity as a term is used broadly and its relation to skills development is
confusing. The capacity concept, however, relates to other concepts that also
need exploration as they also create confusion, such as skills training, support
and sustainability.
There is not one set of indicators (benchmarks) against which to measure
capacity and seemingly little continuity and integration of processes has been
created over time.
In addressing proposed amendments to the NCBF the following also needs to be
taken into consideration:
The new term of office in local government.
Government’s outcomes-based approach to its work that assisted in
strengthening the NCBF by the inclusion of the requirement of a single
window of coordination for capacity building and interventions in the local
government sphere, as indicated in Output 7 of Outcome 9 of the Minister for
CoGTAs’ Delivery Agreement.
Local Government Skills Audit project reports.
Municipal Demarcation Capacity Assessments.
Local Government Turn Around Strategy (LGTAS) findings and plans.
Green Papers on Cooperative Governance and a Differentiated Approach to
Municipal Support.
The Intergovernmental Monitoring, Support and Intervention Bill (currently
under review).
13
The Department of Performance Monitoring and Evaluation (DPME) in the
Presidency’s Management Performance Assessment Tool (MPAT).
The National Skills Accord.
Sector Departments’ assessments, etc.
1.7 Scientific and methodological approach to the study
This section explains what lies behind the scientific reasoning of the research design
and methodology for the purposes of compiling this thesis. These are assumptions
about the methodological process of research. There are three basic methodological
dimensions namely:
Nomothetic where methodology focuses on an examination of regularities
and relationships to universal laws as in positivism and a quantitative
research approach (see Auriacombe 2013:47).
Ideographic approaches that centre on reasons why individuals create and
interpret their world in a particular way. The social world can only be
understood by obtaining first-hand knowledge of the subject and
understanding his/her innermost experiences as in interpretivism and a
qualitative research approach (see Auriacombe 2013:47).
Pragmatic using both nomothetic and ideographic assumptions (mixed
methods) as in realism and a mixed-method approach (see Auriacombe
2013:47).
In addition to the above, according to Mouton (2001:55) researchers often confuse
the concepts “research design” and methodology. It is important to understand that
"research design" and “research methodology" are two separate aspects of a
research project (Mouton 2001:55).
Researchers, academics and consultants are required, in many different contexts, to
engage in research and provide decision-makers in society and government with
14
valid results. These results often form the basis on which various decisions are
taken (Auriacombe 2005:42 and Webb and Auriacombe 2006:588). It is important for
a researcher and/or a research manager in public administration to understand what
is meant by methodology in research. Methodology considers and explains the logic
and philosophy behind the use of certain methods for research instead of others. For
example, it explains why quantitative methods would be better for a particular project
rather than a quantitative method. Schwandt (2007:193) asserts that methodology
includes the assumptions and values that serve as a rationale for the research and
the standards or criteria the researcher uses for interpreting data and reaching
conclusions.
“Methodology is a theory of how inquiry should proceed” (Schwandt 2007: 193).
There is a wide range of alternate research methodologies that can be utilised in
order to understand social phenomena. These include qualitative and quantitative
methodologies. Commitment to a particular methodological frame of reference will
influence and inform the study in very specific ways (Schram 2002). Therefore there
should be a synthesis between one’s conceptual framework and the methodology
and methods one chosen to gather and analyse data.
According to Schwandt (2007: 193) methodologies explicate and define, inter alia:
what comprises a research problem;
how to frame a research problem;
how to choose the research setting; and
the methods to be used to generate, analyse and interpret scientific data.
There are a number of particular issues confronting the researcher in designing
his/her study. First and foremost, researchers bring their own specific beliefs to a
particular study. This often includes training in a particular field, knowledge of
substantive topics, a particular standpoint, and theoretical approaches or a
conceptual framework. Secondly, depending on their epistemology and ontology
researchers have an idea (or way of reasoning) of how the study should proceed in
order to answer the research question as truthfully as possible.
15
Research designs look at different kinds of questions. Designs are therefore
categorised according to different kinds of studies, in accordance with the kinds of
questions we expect the study to answer. Researchers, academics and consultants
are required, in many different contexts, to engage in research and provide decision-
makers in society and government with valid results. These results often form the
basis on which various decisions are taken (Auriacombe 2005:42 and Webb and
Auriacombe 2006:588).
A research design consists of a clear statement of the research problem as well as
plans for collecting, processing and interpreting the observations intended to provide
answers to the research question or to test the hypothesis (Singleton and Straits
2004 in Webb and Auriacombe 2006:589). Some research designs are specific,
detailed and have specifically formulated decision steps; others tend to be more
flexible, semi-structured and open-ended. While the details would vary based on
what a researcher wishes to study, he/she would face two major tasks in a research
design: firstly, specifying as clearly as possible what it is he/she wants to find out,
and secondly, determining the best way to do it (Babbie 2001 in Webb and
Auriacombe 2006:589).
It is important that researchers consider how they envisage collecting, sorting,
organising, indexing and analysing their collected data. There are various ways of
making sense of ‘soft’ data. While it is not the aim of this chapter to discuss these, it
is important to realise the logical connection between one’s research questions and
one’s selection, data collection and data analysis decisions (cf. Morse 1994: 209-219
and Maxwell 2005: 102-103).
Designing a study within a research approach or paradigm means that it is situated
within a specific framework with interrelated assumptions, concepts, values and
practices that comprise the way the researcher thinks reality should be viewed
(ontology) and studied (epistemology). In reality when designing a research the
focus should be on the research question and the appropriateness of the research
design that could best clarify the research purpose and perspective (Flick 2007).
16
What is important in a research design is to select those research strategies,
methods and techniques that are appropriate to the research goal. In other words,
different studies use different methodologies and the methods appropriate for the
task at hand should be used. The researcher not only selects the methods and
techniques but also the methodological paradigm: quantitative, qualitative or even a
combination of both (Mouton 1996:36-40).
There is a direct relationship between the research question(s) and the theoretical
and methodological frameworks of a study. Therefore the research question is
informed by the theoretical and methodological dimensions to be applied to gain an
understanding of the phenomena under study while decisions about what theory and
knowledge are relevant depend on the research question. Thus this conceptual
framework provides the structure for a coherent study (Babbie 2007).
According to Creswell (2009:5) the basic interrelated dimensions of any research
design (quantitative, qualitative or mixed methods) are the following:
Research approach.
The research problem/the research question.
Strategies of inquiry.
Choosing a research setting.
The research process.
Although all the elements of the research design are interrelated placing the design
within a conceptual framework, two parts can be identified. The first part of the
design forms a close knit unit focusing on the theoretical framework (Maxwell
2005:123). The second part focuses on the methodological framework of the study.
These two parts are interrelated through the research question which forms the core
of the study. The research question thus connects the “what” with the “how”
(Rossman and Rallis 2012:121). Differently stated the first part of the research
design is generally seen as dealing with the “what” of the study and the second part
with the “how”. Although seen as two different units, these units form an integrated
whole.
17
1.7.1 Qualitative research approach to the methodology
The term “qualitative research usually means any kind of research that produces
findings that are not based on statistical procedures, or other means of
quantification” (Cresswell in Auriacombe 2007:89). “Qualitative research is an inquiry
of understanding that is based on distinct methodological traditions of inquiry that
explore social or human problems. The researcher builds a complex, holistic picture;
analyses words or concepts; reports detailed views of informants; and conducts the
study in a natural setting” (Cresswell 1998 in Auriacombe 2007:98).
Notably, qualitative researchers’ perceptions of how to best understand the
subjective meanings and interpretations of the ‘actors’ and the researchers’ beliefs of
how knowledge should be generated are, to say the least, not uniform. Qualitative
researchers differ in their ontological, epistemological, methodological beliefs and in
their choice of specific methods. Denzin and Lincoln (2005: xv) write: “There is no
one way to do interpretive, qualitative inquiry because we are all interpretive
bricolage stuck in the present working against the past as we move into a politically
charged and challenging future”. Therefore, one of the main ongoing issues in
qualitative research is the ethical dilemma that researchers face concerning the
question of how the ‘other’, or subjects, should best be represented to provide the
most truthful picture of their reality.
Therefore, a discussion to understand and learn about qualitative methods requires
a clarification and explication of the respective qualitative-methodological models of
knowledge production (Internet source http://www.qualitative-
research.net/index.php/fqs/article/view/216/477). In fact, the same phenomena are
“investigated, analysed and interpreted differently depending on the researcher’s
beliefs of what social reality is (ontology), as well as how social phenomena can best
be known (epistemology)” (Internet source http://www.qualitative-
research.net/index.php/fqs/article/view/216/477).
Contrary to quantitative researchers’ approach, qualitative researchers believe that
data can only be interpreted effectively when he/she maintains a close relationship
with the object of study and comes as close as possible to it (Mouton in Webb and
18
Auriacombe 2006:597). Qualitative research refers to an approach to the study of the
world, which seeks to describe and analyse the behaviour of humans from the point
of view of those being studied. Rather than observe the behaviour of an object
during experimental research, and thus attempting to control all factors and variables
that might distort the validity of the research findings, the qualitative researcher
seeks to become immersed in the object of study (Webb and Auriacombe 2006:597).
In light of the above, it therefore comes as no surprise that there is no uniform
definition for qualitative research. As Denzin and Lincoln (2005: xv) state: “The open-
ended nature of the qualitative research project leads to a perpetual resistance
against attempts to impose a single, umbrella paradigm over the entire project”.
Denzin and Lincoln (2005:xv) further stated that, “Qualitative research is an
interdisciplinary, trans-disciplinary, and sometimes counter-disciplinary field, it
crosscuts the humanities, social sciences and physical sciences and is many things
simultaneously”. Qualitative research “is multi-paradigmatic in focus and its
practitioners are sensitive to the value of the multi-method approach and they are
committed to the naturalistic perspective and to the interpretive understanding of
human experience. At the same time, the field is inherently political and shaped by
multiple ethical and political allegiances” (Denzin and Lincoln 2005: xv).
Qualitative research displays a number of characteristics. Firstly, this research
method is dedicated to viewing events, norms and values from the point of view of
the people who are being studied. Secondly, such researchers provide detailed
descriptions of the social settings they explore. This enables them to understand the
subject’s interpretation of what is going on. Thirdly, as a participant-observer, the
researcher follows a holistic approach as he/she attempts to understand events and
behaviour in the context in which they occur. This is a significantly different
standpoint from the natural scientist who attempts to isolate the subject from undue
interference. Fourthly, qualitative research views life as streams of interconnecting
events; an interlocking series of events; and as a process of constant change
(Bryman in Webb and Auriacombe 2006:599).
Therefore, qualitative research could be seen as an umbrella term for different
approaches. Notably, each approach has its own theoretical background,
19
methodological principles and aims (Flick 2007:6 in Auriacombe 2011:36). The
manner in which qualitative research methods and methodology are understood is
closely linked to the ways in which qualitative researchers conceptualise the
research they are conducting. In this respect, qualitative research can be arranged
along a continuum, with the one dimension marked by a “holistic – somewhat
paradigm-like – conception and the other by situational pragmatic and opportunistic
methodological practices” (Internet source http://www.qualitative-
research.net/index.php/fqs/article/view/216/477).
Qualitative research has seen something short of an explosion the last couple of
decades. Taylor and Bogdan (1984) emphasise the re-emergence of qualitative
research methods since the 1960s in the following words: "So many powerful,
insightful and influential studies have been published based on these methods ...
that they have been impossible to discount". Swanson and Holton (1997:24) remark
that, "... interest in qualitative research has been growing steadily. Many social
scientists believe in an objective world where researchers can develop and test
hypotheses that yield a body of theory that represents truth". Furthermore, the
authors state “that qualitative researchers study things in their natural settings,
attempting to make sense of, or interpret, phenomena in terms of the meanings
people bring to them”. It appears as if there is a difference in the two research
approaches mentioned above in as far as objectivity is concerned. The ‘truth’ is
researched by studying and developing hypotheses in objective ways, as opposed to
discovering the ‘truth’ where subjective interpretations are allowed.
The researcher opted for a modernist research approach, and particularly as
approached by Patton (in Swanson and Holton 1997); Taylor and Bogdan (1998);
and Schurink (2005a). Patton (in Swanson and Holton 1997) lists the following nine
themes that form part of a qualitative research strategy:
Inductive analysis: Begins with the collection of data that leads to
generalisation.
Holistic perspective: Phenomena are understood in terms of a complex
system.
20
Qualitative information: Detailed descriptions are given.
Personal contact: The researcher has personal discussions with participants
and gets insight.
Dynamic systems: Views the research participants and the study as dynamic
objects that can change during the course of the study.
Unique case orientation: Each research case is unique and special.
Contextual alignment: Aligns findings to the social, historical and temporal
context.
Empathetic neutrality: Although the researcher cannot be completely
objective, he/she should not use the process to advance a personal agenda.
Design flexibility: The inquiry process is adaptive, potentially changing as the
research process is conducted.
Taylor and Bogdan (1998:200) confirm most of what Patton (1990) outlines, but add
that qualitative research is more than just a set of data-gathering techniques. They
express their notion of qualitative research as follows:
It is “concerned with the meanings people attach to things in their lives”
(Taylor and Bogdan 1998:200).
It is inductive.
It views research settings holistically and views people, settings or groups as
part of the whole and not as variables.
It is important how people think and act in their daily lives.
It considers all variables as worthy of the research.
It emphasises the meaningfulness of the study.
It emphasises that there is something to learn in all settings.
It is a craft.
Schurink (2005a) explains that there are four principal features that distinguish
qualitative research from quantitative research, namely:
Description of data: He (Schurink 2005a) quotes Bogdan and Biklen (2003:5):
"The written results of the research contain quotations from the data to
21
illustrate and substantiate the presentation", and, "qualitative researchers do
not reduce the pages upon pages of narration and other data to numerical
symbols".
Process: Qualitative researchers focus on the social process and sequence
and answer questions such as: “How do people negotiate meaning?”.
Context and holism: Schurink (2005a) quotes Babbie and Mouton
(2001:272): "It is not surprising that the qualitative researcher has a
preference of understanding events, actions and processes in their context.
Some writers refer to this as… holistic strategy… the aim is to describe and
understand events within the concrete natural context in which they occur".
Flexibility: Striving for optimal discovery, capturing, describing and obtaining
insight into and understanding of social reality, qualitative research designs
need to remain largely open-ended, by not prescribing their approach and
methods before the inquiry starts (Auriacombe 2008:52).
The researcher is convinced that the preceding features of qualitative research, as
reflected in its modernist tradition, are broadly in line with her social science beliefs.
The qualitative research paradigm provides the researcher with the perspective of
target audience members through immersion in a culture or situation and direct
interaction with the people under study (an “insider” view) (Auriacombe 2013:120).
Qualitative research methods used in social research include observations, in-depth
interviews, focus groups and the analysis of personal documents. It aims to gain
insight into the meaning (“verstehen”) that the subject gives to his/her life world
(Weber in Auriacombe 2013:120). These methods are designed to help researchers
understand the meanings people assign to their innermost experiences. In the
qualitative paradigm, the researcher becomes the instrument of data collection, and
results may vary greatly depending upon who conducts the research.
The advantage of using qualitative methods is that they generate rich, detailed data
that leave the participants' perspectives intact and provide a context for
understanding behaviour. The focus upon processes and "reasons why" differ from
that of quantitative research, which addresses correlations between variables and
22
explanations thereof. A disadvantage is that data collection and analysis may be
labour-intensive and time-consuming (Auriacombe 2011:121).
The methodological paradigm chosen, either the quantitative or the qualitative
research approach, reflects not only those methods and techniques which are to be
used in the project, but also a number of assumptions and values held by the
researcher about the nature of the social world or the researcher’s ontology (Mouton
1996:36-37).
Qualitative researchers mostly use an inductive form of reasoning (arguing from the
particular to the general). Researchers applying the qualitative research approach
believe that the object of study in the social sciences exhibits fundamental
differences compared to the object of study in the natural sciences (Auriacombe
2013:122).
Contrary to the research approach of quantitative researchers, qualitative
researchers believe that data can only effectively be interpreted when the researcher
maintains an intimate relationship with the object of study and comes as close as
possible to it (Mouton 1983:130). Qualitative research refers to an approach in
which the study of the world seeks to describe and analyse the behaviour of humans
from the point of view of those being studied. Rather than observe the behaviour of
an object during experimental research, thus attempting to control all nuisance
factors and variables that might distort the validity of your research findings, the
qualitative researcher seeks to become immersed in the object of study (Auriacombe
2013:122).
Qualitative research displays a number of characteristics. Firstly, qualitative
research is committed to viewing events, norms and values from the perspective of
the people who are being studied. Secondly, such researchers provide detailed
descriptions of the social settings they investigate. This enables them to understand
the subject’s interpretation of what is going on. Thirdly, the scholar attempts to
understand events and behaviour in the context in which they occur, thus following a
holistic approach (Auriacombe 2013:123). This is a significantly different stance
from the natural scientist who attempts to isolate the subject from undue
23
interference. Fourthly, qualitative research views life as streams of interconnecting
events; an interlocking series of events and as a process of constant change
(Bryman 1995:61-66).
Qualitative research follows a research strategy that is relatively open and
unstructured. Even when interview questionnaires are used as a research
technique, the researcher provides minimal guidance to interviewees and allows
considerable latitude when responding to questions. When the interviewee moves
away from the researcher’s designated area, the advantage arises that data is
provided that is central to the interviewee (Bryman 1995:46).
The qualitative researcher starts off with a research question that clarifies the focus
and logic of the study (Schram 2002). This open approach allows social scientists
access to unexpectedly important topics which may not have been visible to them
had they followed a rigid and structured research strategy. Finally, qualitative
researchers often reject the formulation of theories and concepts at the beginning of
their field-work. These researchers prefer to formulate and test theories and
concepts in tandem with the data collection phase. The research strategy is thus not
to impose an alien theoretical framework on their subject of study (Bryman 1995:66-
69). However, this is not to say that qualitative research could and should not be
explanatory. For the purposes of this thesis the researcher did in fact use both
deductive and inductive reasoning in theory development (cf. Hammersley 2010).
1.7.2 Application of key research concepts of the study
It is important to lay a firm foundation for a broader understanding of the nature of
the key conceptual aspects related to the research method utilised for the purposes
of this thesis. The following key concepts are utilised and alluded upon:
24
1.7.2.1 Scientific knowledge
According to Auriacombe (2008:80) the key features of scientific knowledge are:
Scientific knowledge is based on the collective, validated experiences of the
members of the scientific community rather than on the individual experiences
and observations of any single person (Auriacombe 2008:80).
Scientific knowledge is the outcome of rigorous, methodical and systematic
inquiry, as opposed to the haphazard way in which ordinary knowledge is
acquired (Auriacombe 2008:80).
Science rejects the value and importance of any personal authority; the only
“authority” that is accepted is the authority of the evidence (Auriacombe
2008:80).
Science is not based on taking second-hand sources at face value but is
inherently sceptical. It questions all claims, irrespective of the authority and
origin, until they have been tested and, furthermore, stood the test of time
(Auriacombe 2008:80).
These four statements emphasise that scientific knowledge is inherently
collaborative in nature; is based on rigorous and methodical inquiry; is evidence-
based (not authority-based) and inherently sceptical because it treats all knowledge
claims to be “provisional” (as opposed to absolute) (Auriacombe 2013:133).
Social scientists conduct research in order to seek answers and understand (aspects
of) the social world. The social world comprises social (in its broadest sense) beings
(humans); institutions and organisations; actions and events; interventions (such as
policies and programmes) as well as all cultural products of human endeavour
(Auriacombe 2013:134).
Scientific knowledge seeks to be critical, considering any and every piece of
“evidence” with circumspection before accepting it as knowledge. At least three
character traits are evident in scientific knowledge, namely, systematic observation,
control and replication; as further explained below.
25
Systematic observation
Scientific knowledge is obtained by systematic rather than selective
observation. The latter type of observation tends to collect only evidence that
supports predetermined conclusions, ignoring conflicting evidence. Think, for
example, of solutions to social problems that might be ignored by the powers-
that-be on the basis that they were proposed by opposition parties
(Auriacombe 2013:133).
Control
Scientific knowledge must be obtained in a controlled manner, i.e., by
systematic consideration and the careful elimination of alternative
explanations.
Replication
The manner and processes by which knowledge is obtained must be
replicable. This simply means that, should other researchers utilise the same
methods and procedures under other but similar circumstances and
independently of the original researchers, the same results would be
obtained. Scientific knowledge, hence, should be open to scrutiny and critical
evaluation (Auriacombe 2013:135).
1.7.2.2 The relationship between theory and research
The term theory could be defined as “...an explanation of observed regularities”
(Bryman and Bell 2003:7). More specifically a theory is an interrelated set of
definitions/concepts/constructs/propositions/hypotheses presenting a systematic
analysis of a phenomenon (e.g. capacity development, skills development) by
exploring, describing, explaining or predicting it (Auriacombe 2013:136).
“A theory explains how and why the variables are related, acting as a bridge
between or among the variables. Theory may be broad or narrow in scope, and
researchers state their theories in several ways such as a series of hypotheses, if-
then logic statements or visual models” (Creswell 2009:51).
26
Mouton (2004: 137-142) developed a useful framework, namely the Three Worlds
Framework, to explain the concepts of non-scientific and scientific knowledge as well
as theory and research. According to Mouton (2004: 138) the logic of research is
based in three realms, namely the world of everyday life and lay knowledge or World
1, the world of science and scientific research or World 2 and the realm of meta-
science or World 3.
World 1 is the world of social and physical reality made up of social problems such
as poor services, crime, unemployment etc. Using the logic of the first world
researchers are required to focus on applied research. Applied research is problem-
oriented. It aims to understand, explore, describe and explain real life problems in
order to address these problems. The type of research that one will be doing from a
World 1 perspective will mostly inform, among other things, programme
development, policy-making, policy execution and decision-making (Donaldson,
Christie and Mark 2009: 3).
In World 2 the researcher brings in existing knowledge of the world of science and
writings of other scholars. The emphasis is on basic research that is not necessarily
problem-oriented but seeks an extension of scientific knowledge. In such research
the emphasis is on the literature, existing concepts and theories. Researchers
focusing on constructing theories and models, analysing concepts or reviewing the
body of scientific knowledge are doing basic research in the realm of World 2
(Auriacombe 2013:137).
World 3 is the realm of meta-science where through a process of cognitive logical
scientific reasoning; concepts, typologies, models or theories are developed. The
representations of the reality of World 1 and the existing knowledge of World 2 are
thus conceptualised and critically analysed to transform the data gathered into
knowledge that could contribute to scientific knowledge and the solving of everyday
problems (Rossman and Rallis 2012: 6-7).
Listing the most typical entities or units of analysis in Worlds 1 (the non-scientific
world) and 2 (the world presenting scientific knowledge) further helped the
researcher to understand the logic of research (Auriacombe 2013:137).
27
In its broadest terms this thesis falls in the domain of social science research that
can be defined as a systematic process of inquiry aimed at obtaining accurate
answers to significant and pertinent questions in order to increase the sum of
human knowledge. For the purposes of this thesis “research” will refer to the
process in which scientific methods are applied in order to discover and increase
scientific knowledge in local governance, management and administration with the
view to inform policy, theory and practice.
1.7.2.3 Scientific method
Scientific method is a term that refers to the procedures followed by researchers in
arriving at conclusions. The mental processes through which decisions are reached
determine to a large extent the accuracy of the conclusions made. Facts are
essential materials in thinking but must be handled scientifically so as to reach
accurate conclusions. The scientific method therefore has to follow a logical process
of reasoning (Auriacombe 2013:139).
For the purposes of this thesis an inductive and deductive approach of logic and/or
reasoning were followed. Deductive reasoning is used to describe and explain how
and why independent and dependent variables are related to the unit of analysis and
inductive reasoning is used to expand or develop new theories following a
triangulation of data collection techniques (cf. Auriacombe 2013:142).
It is almost impossible to understand logical thinking without using the concept causal
thinking and relationships. Causal thinking comes naturally to the scientific method
used in research. A basis for reasoning in social science research using deductive
logic is making informed “suppositions” relating to the topic, which are still to be
verified or proved wrong by means of logical testing, as well as analyses of data and
information (Auriacombe 2001:48).
Personal experience leads one to believe that all events are the products or results of
other events, which are referred to as their causes. The central idea is that particular
events (poor service delivery) are caused by certain conditions (lack of capacity, poor
28
performance and weak leadership). The relationship between the conditions and
events is called a causal relationship and the product of these causes is referred to as
the effect. The process of solving a problem requires that its cause(s) be logically
determined. This is a complicated process and it is sometimes difficult to distinguish
between causes and events. For example the local government official could reason
that a lack of capacity will lead to poor service delivery knowledge thus ignoring all
other probable causes. This is especially a problem in evaluation research. The
danger is that true cause and effect relationships may be completely reversed in the
thinking of a researcher.
“Some scientists prefer to state that they are seeking to establish systems of
functional relationships rather than causal relationships, hence the reader will see
that the term functional relationship herein refers to a situation in which a relationship
is not directly causal but based on a complex system of interactions” (Travers
1967:41-44).
1.7.2.4 The dimensions of social science research
The following dimensions of social science research for the purposes of application
for this thesis can be distinguished:
Firstly, the sociological dimension. Here the emphasis is on the fact that researchers
operate within a scientific community that adheres to specific mechanisms of control
such as ethical standards reflecting the goals and values of research communities.
Secondly, the teleological dimension of social research refers to the goal driven
nature of social science. On the disciplinary level there are theoretical goals
including theory building, understanding of human behaviour, explanation and
prediction of human behaviour, and gaining insight into the communities’
expectations and social reality; and practical goals: development of programmes or
models aimed at improving the quality of life of people and empowering local
government to achieve its constitutional mandate.
29
1.7.2.5 Types of research
On a theoretical and practical level there are the following types of research in order
to achieve the study objectives: exploratory, descriptive and explanatory, and
evaluation and prediction research. These types are used for the purposes of this
thesis.
Exploratory research
Exploratory research is initial research (e.g. pilot studies) conducted to clarify and
define the nature of the research problem or opportunity by giving ideas or insights
as to how the research problem or opportunity can be addressed (Cant, Gerber-Nel,
Nel and Kotze 2003:28). The purpose of this type of research is to progressively
narrow the scope of the research topic and, consequently, paraphrase the research
problem clearly. According to Cant et al. (Cant, Gerber-Nel, Nel and Kotze
2003:28) exploratory research studies are used for many purposes:
to formulate the research problem or opportunity for more precise
investigation in order to formulate a hypothesis or a guiding research
question;
to establish priorities for further research;
to gather information about practical problems of carrying out the research on
particular conjectural statements;
to increase the researcher's familiarity with the problem or opportunity; and
to clarify some key concepts connected with the research problem or
opportunity.
Exploratory research for the purposes of this thesis will be applied to the NCBF from
2008 to 2011 to determine whether it was effective in facilitating coordination and
ensuring that the envisaged impact was achieved. Exploratory research; as an
approach, will suit this study as according to Auriacombe (cf. Wikipedia in
Auriacombe 2013:56) exploratory research or grounded theory is one of three
purposes for social science research and assists researchers in those cases where
30
there are no earlier studies to refer to and with a focus on gaining insights and
familiarity for later investigations. Although the results of a qualitative research type
such as exploratory research can give some indication as to ‘why’; ‘how’ and ‘when’
something occurs it cannot tell us ‘how often’ and ‘how many’ and it is thus not
usually useful for decision making by itself which is applicable in this case as it could
provide recommendations for consideration in reviewing the NCBF.
Descriptive research
Another major purpose of social science research is to describe situations and
events. This type of research describes aspects that answer the questions: who,
what, when, where and how? Often the researcher will have no formal hypothesis.
Implicit in descriptive research is that researchers already know or understand the
underlying relationships of the problem or opportunity. Researchers may have a
general understanding of the research problem or opportunity, but conclusive
evidence that provides answers to the questions should still be collected to
determine a course of action (Cant et al. 2003:29-30). Cant et al. (2003:29-30) argue
that the purpose of descriptive research is to provide an accurate picture of some
aspects of the specific environment in order to make specific predictions and clear
specifications. Descriptive research can, for example, give information on more
detailed aspects by answering the questions: who, what, why, when, where and
how?
Explanatory research
Explanatory research aims to explain causal relationships. These studies attempt to
provide answers to the ‘why’ and ‘how’ questions. The purpose of these studies
could be to generate hypotheses, as well as test and validate theories (Mouton
1996:104; Babbie 1992:91-92). Through pursuing explanatory studies, not only do
we understand society better, but we are sometimes able to predict the
consequences of certain actions (Bailey 1978:38-39).
31
Exploratory, descriptive and causal research have different uses, and for the
purposes of this thesis the researcher uses the different types of research, as the
stages in the research process overlapped chronologically. “Different types of
research are required during the different stages of the research process. These
stages are functionally interconnected, and not utilised in isolation. Each stage is
linked to another stage on a continuum of research types” (Gilbert and Churchill in
Cant et al. 2003: 35).
1.7.2.6 The ontological, epistemological and axiological dimensions
The term ontology refers to the study of being or reality (Mouton 1996: 11). The
ontological dimension of social research therefore refers to the researcher’s view
regarding the nature of reality. From the ontological dimension arise the following
questions:
To what extent do people have a say in their social world?
Should the researcher take an objective or subjective position?
According to Auriacombe (2013:166) the answer lies in the three basic
ontological/theoretical perceptions, namely that of the:
Objectivist who sees the social world in an objective manner, believing that
the researcher should maintain a detached, objective position (Auriacombe
2013:166).
Nominalist or interpretivist viewing reality subjectively as social constructions
built up from the perceptions and actions of social actors and therefore
believing that reality can only be constructed (Auriacombe 2013:167).
Pragmatist/realist who is not committed to any one system of philosophy
(realist or nominalist). Holds an advocacy and participatory world view. Has a
perspective of historical realism believing that social reality is real but is
shaped by social, political and cultural factors. Reality is interpreted, and
negotiated. It is based on an abductive logic using both a deductive and
inductive form of reasoning (Auriacombe 2013:168).
32
From an ontological position the researcher believes that individuals make sense of
their lives by attaching meaning to their particular circumstances. Local government
capacity building for the researcher resembles a complex managerial cooperative
activity. In a particular context, for example, the NCBF, entails particular components
such as cooperative governance, training, support, responsibility and accountability.
Epistemology refers to the nature of knowing and construction of knowledge and is
divided into positivist and anti-positivist, and realist stances. On the level of
epistemology, the researcher accepts that social knowledge implies obtaining some
understanding of people’s social worlds. Such understanding can only be obtained
by applying approaches and research methods that enable one to capture and
describe the complex ever-changing social worlds of people (cf. Auriacombe
2013:167).
There exist alternative answers to each foundational question. Different beliefs of
ontology, meaning how you see reality; and epistemology, that is, how you think
social phenomena could be studied; will influence the way that you will go about
doing the research. The same phenomenon could thus be investigated, analysed
and interpreted differently depending on your belief of what social reality is (ontology)
and how social phenomena can be known (epistemology) (cf. Auriacombe
2013:172).
Axiology refers to the researcher’s beliefs regarding the role of values and power in
generating knowledge (cf. Auriacombe 2013:169).
1.7.2.7 Unit of analysis
The unit of analysis refers to the object(s) being studied; e.g. individuals, groups,
geographical units, or any other issue on which information can be gathered (e.g. the
NCBF). Research focused on individuals is referred to as the individual level of
analysis. With groups or geographical units, this is called the aggregate level or
aggregate analysis (Auriacombe 2005).
33
The unit of analysis for the purposes of this thesis is the NCBF in order to determine
whether it is effective in facilitating coordination, and ensuring that impact is
achieved.
1.8 Research techniques applied for the purposes of this thesis
According to Hesse Biber and Leavy (in Auriacombe 2011:89), “More than a concept
or a series of techniques that can simply be employed, qualitative research is an
intellectual, creative, and rigorous craft that the practitioner not only learns but also
develops”.
1.8.1 Conceptual analysis
A conceptual analysis refers to the process of developing the empirical study’s
conceptual framework. It encompasses the “system of concepts, assumptions,
expectations, beliefs and theories informing the research and is generally regarded
as an explanation proposed to reach a better understanding of the social
reality/phenomena that is being investigated” (Maxwell 2005 in Auriacombe
2011:96). The conceptual framework’s “assumption is to assess and refine the
goals; develop realistic and relevant research questions; substantiate arguments;
clarify the theoretical framework and logic or reasoning used; define concepts; justify
decisions; and direct data collection and analysis. The conceptual framework is the
operationalisation of the theoretical framework of a study and therefore forms an
intricate part of the research design. Qualitative researchers utilise a conceptual
framework to develop typologies, models and theories from the bottom up” (Eriksson
and Kovalainen in Auriacombe 2011:97).
According to Badenhorst (2007:17) “conceptualising includes the following: A
researchable problem that is relevant...an appropriate research design... and
appropriate conceptual framework”. Furthermore, the conceptual analysis needs to
indicate which interpretations of concepts, theories, phenomena and variables the
researcher believes to be most valid and it must be supported by evidence
(Badenhorst 2007:21 and Auriacombe 2012: 65).
34
The following aspects are important in the application of the conceptual analysis in
order to develop a conceptual framework:
A conceptual framework unpacks the key concepts, theories and phenomena
used in the preparation of the research study in order to determine the
relationships between the concepts and variables to develop themes and
categories (Badenhorst 2007:21 and Auriacombe 2012: 65).
The conceptual framework also provides the basic outline for analysing the
data in order to draw conclusions. This means that it is the golden thread that
runs through the entire study from the beginning to the end where the final
conclusions are made (Badenhorst 2007:21 and Auriacombe 2012: 65).
The conceptual framework is usually unpacked in the content chapters based
on the literature review (Badenhorst 2007:21 and Auriacombe 2012: 65).
1.8.2 Conceptual model
Simply defined, a conceptual model is a pattern or a system of postulation (cf.
Longman New Universal Dictionary 1982:630). De Coning, Cloete and Wissink
(2011:32) provide a more comprehensive discussion of the term. According to them,
a model is “a representation of a more complex reality that has been oversimplified
in order to describe and explain the relationship among variables, and even
sometimes to prescribe how something should happen”. In its most simplistic
connotation, a model is a mental image or a description used to help understand
phenomena.
1.8.3 Categorising
This analytic process in grounded theory research is used to select certain codes. Its
overriding significance lies in the fact that “common themes and patterns are
abstracted into several codes and an analytic concept. During the categorising
process, the researcher raises the conceptual level of the analysis from description
to a more abstract and theoretical level. The researcher then tries to define the
35
properties of the category; the conditions wherein it operates; the conditions under
which it changes; and its relation to other categories” (Charmaz 2007:187).
1.8.4 Coding
Coding is the process of “defining the content of the data” (Charmaz 2007:187).
Unlike the quantitative researcher who applies preconceived categories or codes to
the data, a grounded theorist creates qualitative codes by defining what he/she sees
in the data. Thus, the codes are emergent – they develop as the researcher studies
his/her data. The coding process may take the researcher to unforeseen areas of the
research question. Grounded theory proponents follow such leads and they do not
pursue previously designed research problems that lead to dead-ends (Charmaz
2007:187).
1.8.5 Theoretical sampling
With this type of research technique, the researcher aims to develop the properties
of his/her developing categories or theory. When engaging in theoretical sampling,
the researcher seeks information to illuminate and define the boundaries and
relevance of the categories. As the theoretical sampling’s purpose is to sample in
order to develop the theoretical categories, conducting it can take the researcher
across substantive areas of research (Charmaz 2007:189).
1.8.6 Documentary content analysis
For the purposes of this thesis, a documentary content analysis can be described as
a method of analysing documents. When conducting a content analysis, the
researcher attempts to be objective and systematic by using a quantitative coding
scheme. In this regard, it was used to develop the properties of the regulatory
documentary framework. Documentary content analysis is also a technique for
making references by systematically and objectively identifying and describing
specified characteristics in the documentary texts (Auriacombe 2011:134).
Institutional and environmental capacity building practices will be compared to best
36
practices used in studies conducted amongst others by the African Development
Fund in 2009; by Mizrahi for the World Bank in 2003 and Morgan in 1997 (cf.
Auriacombe 2011:135).
1.8.7 Systems approach
A systems thinking approach will be adopted to explore the holistic approach the
NCBF purports to adopt; an approach not previously adopted in this area of work in
government; to assist in understanding the various ‘layers’ of matters that the NCBF
needs to address, that is, the legislative and policy context at an individual,
institutional and environmental level as well as the number of stakeholders and the
aspects that involve them. Systems thinking is “both a world view and a process and
it can be used for the development and understanding of a system and ... to solve a
problem” (Edson 2008). Systems thinking should thus allow for an understanding of
the NCBF as part of a ‘system’ and assist to evaluate the systems thinking approach
that the NCBF purports to adopt in order to improve on it (Aronson 1996 – 1998). It is
important to determine whether the NCBF that is based on systems thinking is
comprehensive enough to be applied in terms of the following aspects:
to determine the gaps in the system as a whole;
to plan and design the initiative with due regard to the uniqueness of the
municipality;
to coordinate and deliver support, capacity building and/or training initiative;
as per the need of the municipality, through Capacity Building Plans (CBPs);
to monitor and report on progress made; and to
evaluate the impact of the differentiated support, capacity building and/or
training initiative(s).
The secondary data will be approached through systems thinking in order to better
understand the whole system that the NCBF must account for and to determine
whether it does. Edson, (2008) states that systems thinking provides a way of
looking at problem situations and an approach to problem solutions. He (Edson
2008), suggests firstly, viewing the problem as a whole system in a larger world and
37
to secondly approach problem investigation and assessment in a systematic way
where problem solution and assessment functions as a learning system, and the
system thus becomes the lens through which the problem is viewed.
1.8.8 Literature review
The literature review should offer a synthesis of what has already been written on the
topic. It should show where the gaps are and how to fill them. It shares with the
reader the results of related studies and relates the study, the reasoning and the
conceptual framework used to the “… larger, ongoing dialogue in the literature”
(Creswell 2009: 25).
It must also have the goal of clarifying and showing how the researcher's proposal
addresses the 'gap', silence or weakness in the existing knowledge-base. It is a
critical study of the state of the art on a research topic; the researcher does not only
track down what scholars have written about it but the task here is to provide a
personal and professional assessment of both the content and quality of the text
(Creswell 2009: 25).
Key decisions to apply when writing a literature review are the following (Creswell
2009: 25):
Focus. What are the focal elements of the review? These may include
research outcomes, methods or theories.
Forms. What are the forms of the review? Are they integrative, theoretical
or methodological?
Goals. What are the goals of the review? There may be more than one
goal such as synthesising previous research; identifying key issues or
critically analysing previous research.
Perspective. What perspective has been adopted? Does the writer
assume the role of 'honest broker' or that of an advocate arguing for a
particular position?
38
Coverage. To what extent is the literature covered? Pivotal works only;
works representing particular groupings in the literature, or is it an attempt
at exhaustive coverage?
Organisation. Is the review arranged conceptually, historically or
methodologically? Is more than one organisational technique used? (cf.
Auriacombe 2008: 179 and Creswell 2009:25).
More specifically the literature review assisted the researcher to (cf. Auriacombe
2008:37-42):
Become familiar with the subject area of interest;
find evidence in the academic discourse to establish a need for the proposed
research;
ascertain the nature of previous research;
identify gaps in the knowledge of the subject;
develop the context for a proper research problem/question;
identify the issues surrounding the research question (what is already known
about the problem);
identify issues and variables related to the research topic;
identify appropriate research methodologies and techniques;
develop a research problem/question;
establish a theoretical framework upon which to base the research;
keep abreast of ongoing work in the area of interest;
become knowledgeable about the topic; and
develop the research design.
A simple chronological account of previous research will not give a sufficient thrust to
the argument why the research problem is significant and how to continue the
research effort. A good literature review engages one in a dialogue with the scholarly
writings and arguments in the field and helps to set a pattern for critical thinking and
the development of a theoretical framework for the intended research. It forms an
integral part of the thesis and should encourage a reflective approach to research.
One’s philosophical stance should help one to understand the approaches behind
39
the reviewed literature and to discuss the literature review within a theoretical
framework.
Rossman and Rallis (2003: 123) provide sound advice: “Discussing the literature
helps to articulate your perspective and to establish your credibility as a researcher,
indicating that you are familiar with the conversation in your topic area. Although
extensive reviews are not necessary, some discussion is crucial for framing the
study. Try for creative, inductive use of previous research and theory to build a case
for your study”.
The researcher’s theoretical background should thus be connected to the
examination of more detailed writings about ideas and specific research that leads
up to this thesis. The theory assisted the researcher to understand the approaches
behind the reviewed literature and her own philosophical stance to make links across
discipline boundaries as an interdisciplinary review, rather than keeping each
separate and examined in turn (cf. Auriacombe 2008:41).The researcher ensured
that she included some account of how previous research was done, to develop a
model for her own approach to the methodology. The important issues of her
research problem are introduced through the analysis of the literature.
The researcher placed the topic of her research in a historical context to ensure that
she has a clear understanding of the history of developments in the subject. The
background of the subject/topic was traced to present her thinking as well as the
latest research and developments in the topic to find out about the current issues
studied and the latest thinking and practice. This knowledge will enable her to
discuss conflicting arguments, and to detect gaps in present knowledge. The
researcher critically reflected on her research philosophy and theories on the topic to
establish the intellectual context(s) of research related to this subject.
The researcher used the following guidelines of Creswell (2009:29) and Auriacombe
2008:37-42) to capture, evaluate and summarise the literature review in a systematic
way:
Identified key words.
40
Used the key words to search computerised data bases and catalogue
holdings in the UJ library of academic journals and core books.
Developed, planned and outlined a structure for the literature review.
Located about 50 reports/articles/books/dissertations/theses of research on
the topic.
Skimmed the literature and duplicated the reports that are central to
understanding the literature on the topic.
Summarised the main arguments as they relate to the current research topic.
Identified important literature to design a literature map that illustrated how
the study contributed to the literature, what further literature and information
was needed and what line of reasoning was gained from literature studies to
continue doing the research.
Structured the literature review thematically to organise it by means of
important terms that could be identified.
Developed a conceptual framework.
Noted briefly any other areas of arguments/problems the research touched
on.
Formulated questions that the literature review addressed.
Reviewed and critiqued the literature.
Identified and defined terms needed to understand the research.
1.8.9 Validity and reliability
As a rule when doing a qualitative study the literature should be used cautiously,
especially in the beginning, allowing for an inductive design. As indicated earlier, it is
important to understand that there is a distinction between qualitative (non-
numerical) and quantitative (numerical) research analysis. Qualitative measurement
is used extensively in observational studies and in most cases the variable is non-
numerical (Bailey 1994:76). Therefore, this study mainly adopts a qualitative
approach, which is based on acceptable information sources.
Thus, when dealing with non-numerical research, validity and reliability become the
researcher's main – and very important – focus. In the case of this thesis, the
41
research is deemed to be satisfactory due to the use of various data sources.
Measuring the validity and reliability of the research will be based on the general
definition of validity. Validity is defined as “the extent to which an indicator tells you
what you want to know about a concept or that points to relevant aspects of the
concept” (White 1994:427). Validity and reliability are asymmetrical, which means
that validity will provide reasonable reliability but not vice versa. Reliability simply
implies consistency (Bailey 1994:68 and 72). In this dissertation, validity (especially
construct validity) and reliability were strengthened by using a triangulation of data
sources. Construct validity is seen as the strongest or most reliable form of validity,
as it is based on various information sources (Bailey 1994:70). Through this process,
different facts and multiple measures of the same programme were used. This
especially holds true when conducting case study research (Yin 1994:91). Therefore,
the data resources for validity and reliability became a general principle for this
thesis.
1.9 Data collection techniques
The research methodology is quantitative and multiple sources of information have
been used. It is based on an analysis of both primary and secondary sources which
cover a wide spectrum of themes including published core literature on the concept,
theories, approaches of political control over the public service, case studies relating
to political control over the public service from both the international and the South
African contexts; as well as the relevant legislation, regulations, official documents,
archives, policy documents, newspapers, journal articles and internet websites.
Besides the observational method, the literature analysis is supplemented by open-
ended questions during interviews with Senior Management Services (SMS)
personnel in the public sector, officials, specialists and experts on the public service.
The principal means employed to do the research for this dissertation is available
literature and questions posed during informal interviews. Seeing that the activities of
government to achieve sound public administration are concerned with many
aspects of Public Administration and Management, the literature that has been
consulted covered a wide spectrum of themes – state, government and public
administration related concepts, control, responsibility, accountability, organisational
42
structure and design, and case studies and factual information regarding political
control.
The general principle for any research is collecting data from multiple information
sources. This requires more than a single source, but covers the same phenomena.
For the purposes of a case study many sources may be used to access information.
A triangulation of data sources (e.g. documentation and official reports, field
research, structured and unstructured interviews, direct observation, participant
observation, et cetera) were used in order to gather insights for the in-depth literature
review. These different sources also required the researcher to apply different and
adaptable skills (Yin 1994:80-90).
Therefore, the choice of method for this study was based on a triangulation of the
following three data collection methods.
1.9.2 Documentary sources
The importance of document use is to corroborate and argue evidence from various
sources. The use of documentation is to construct interviews, clarify facts, and/or
make inferences from specific arguments or facts (Yin 1994:81). As noted before, in
this research design various sources of documentation were used to understand the
NCBF.
Documentary sources from which secondary data was obtained included:
relevant published textbooks and other literature;
unpublished dissertations and theses;
published and unpublished research reports;
articles from scientific journals, reference works, newspaper articles, media
statements and magazine reports;
official and unofficial government publications and reports;
speeches and papers, where appropriate;
43
unpublished lectures, documented interviews, periodic reports and
documented cases;
national and international conference papers;
legislation;
internet sources; and
annual governmental reports.
The abovementioned specific sources of information tend to be unobtrusive, stable,
and relatively exact, and they cover a broad category of information. Some of the
weaknesses included access, retrievability, incomplete collection or reporting bias
(Yin 1994:80). The document analysis of secondary (qualitative) data complemented
the primary data generated by the interviews. Document analysis helped to verify the
claims that the NCBF serves as an important capacity building policy framework.
However, it is important to note that these research instruments are not mutually
exclusive; rather, they serve to complement each other.
1.9.2 Structured and unstructured interviews
Interviews in most cases complement other sources of information. However, there
are advantages and disadvantages to making use of material gleaned from
interviews. Some of the advantages include: One can be more flexible in clarifying
or probing for information; the response rates are effective; the presenter can
observe non-verbal behaviour; the researcher has better control of the environment;
respondents can be more spontaneous; and the questions can be more complex.
Interviews have a high reliability and validity due to these strengths. The
disadvantages of this form of research are: Interviewee bias; no opportunities to
consult records; the cost of access to respondents; a lack of respondents; or
respondents refusing to be interviewed. Furthermore, one could encounter validity
and reliability errors, especially seeing that the main weakness here is "interviewee
bias"… for instance, when an interviewee endeavours to answer in a manner that he
or she thinks would please the researcher, or that would be more socially or
otherwise acceptable (Bailey 1994:173-175, 194, 212).
44
Interviews were used as a source of information in both structured and unstructured
formats. For this case study, interviews were held on a one on one basis or as part
of field research (informal discussions) and written correspondence, through which
the researcher posed questions ahead of time to which the respondents responded
in writing.
The deductive manner of the study is largely uncharted terrain and the definitive role
that particular points of departure played in the development of the various measures
or guidelines and criteria, called for selecting information as a supplementary and
hence secondary means towards an end. The supplementary data was obtained
from informal discussions with senior local government officials, specialists and
experts from the business sector, academics, as well as persons and associations of
persons from other sectors. Based on the objectives and research questions of this
study, the purpose of the open-ended interviews and discussions was to generate
primary data from the participants, concerning their perceptions of the effects of the
various issues identified through their participation in the NCBF, as well as the
relative importance the participants attached to those issues.
Furthermore, the supplementary data was interpreted and clarified in in-depth
interviews or discussions with key informants. The key informants were senior
officials and citizens that had at some stage been, were or still are, directly involved
with the NCBF.
1.10 Terminology
There is comprehensive conceptual clarification of terms specific to the research in
each appropriate chapter. However, to avoid uncertainty and ambiguity in the
interpretation of the concepts, terms used in the dissertation are also concisely
defined below.
45
Information and knowledge: Information for the purpose of this thesis is defined as
accessible facts/data. Knowledge derives from the coherent organisation and
interpretation of information within a system of ideas (explanatory/theoretical
frameworks). Non-scientific knowledge can be described as the knowledge of lay-
people or knowledge that is accepted without much question of authority, the
opinions of peers, or tradition of debate.
Municipality, local authority and local government: According to Ismail et al.
(1997:3), it is “... that level of government which is commonly defined as a
decentralised representative institution with general and specific powers devolved to
it by a higher tier of government within a geographical area”. Local authorities
comprise that sphere of government consisting of municipalities, and which must be
put in place for the entire country (Craythorne 2003:6).
In terms of Section 151 (1) of the Constitution of 1996, the local sphere of
government consists of municipalities that must be created for the entire South Africa
and derives its powers from the Constitution. A municipality is a "geographical area
of an urban system for which a city council, town council, village council or a similar
local government body has been established to govern and manage local public
activities of the inhabitants …" (Gildenhuys et al. 2000:228). Municipalities have the
right to govern according to their own initiative the local affairs of their communities
(section 152 of the Constitution of 1996). A municipality publishes local laws in order
to govern the local community and it provides and manages local public service
delivery.
A municipality is a political subdivision that has substantial control over local affairs.
This includes the power to impose taxes or to exact labour for prescribed purposes.
In terms of Section 156(1) of the Constitution, it has the right to govern and
administer on its own initiative. However, it is subject to constitutional provisions, as
well as national and provincial legislation. The national and provincial spheres may
not compromise or impede a municipality’s ability to exercise its powers or perform
its functions. For the purposes of this thesis, the terms local government and
municipality will be used interchangeably (see section 4.3).
46
Accountability: Accountability is an obligation to expose, explain and justify actions
within the context of governance (Hanekom 1987 in Clapper 1993;24). Politicians
and public servants must be accountable to the citizens of the particular state for
their actions.
Citizen: A citizen is a legitimate inhabitant of a state or city.
Citizen participation: It is defined as "purposeful activities in which people will take
part in relation to political units of which they are legal residents" (Langton 1978:16 in
Clapper 1993:24).
Community: A community comprises of individuals who form part of a cohesive
group, which cohesion arises from (a) shared interest(s) and in shared government
service(s) or a shared environment.
Decision: A decision is the product of a choice between two alternatives.
Democracy: It is an ideology and a particular form of authority in a state. All the
inhabitants of a state have a direct or representative say in the government of the
state.
Integrated Development Plan (IDP): An IDP is a plan for an area that gives an
overall framework for development. It aims to coordinate the work of local
government and the other spheres of government in a coherent plan to improve the
quality of life for all the people living in the area concerned. The IDP should take into
account the existing conditions and problems, as well as the development resources
available. The plan should look at economic and social development for the area as
a whole. It must create a framework for how land is to be used, what infrastructure
and services are needed and how the environment should be protected (Integrated
Development Plan Internet Source 2006).
Participatory democracy: It is an environment in which citizens may participate and
voice, share and discuss matters of common interest (cf. Fischer 2003).
47
Policy: A policy is a political agreement on the course of action designed to mitigate
problems in terms of a political agenda (or lack thereof) (Fischer 2003:60).
Public participation: It means the process by which stakeholders and citizens
influence and share information within the context of the policy-making process and
governance through participatory spaces.
Transparency: According to Mohaddin (2001:6) transparency means openness in
the processes of government. This implies that the conduct of public servants and
the manner in which they perform their duties should be known and knowable to
those interested. On the other hand, transparency could mean access to information
and freedom of information (Singh 1999:69), i.e. that private individuals and
government bodies can legitimately request information of which government is the
custodian. Such information can be disseminated to the public only if it does not
severely infringe on the primary rights of individuals (Fox and Meyer 1995; and
Baxter 1984:233).
Key performance area (KPA): According to Craythorne (2003:126), a KPA relates
to the core functions of a position where performance is measured.
Key Performance Indicator (KPI): A KPI is an instrument or tool that determines
whether performance is in line with the standards that are agreed upon between the
employer and employee (Craythorne 2003:126-127).
Local government management: Local government management refers to “ ... the
system of managing the affairs of a locally established authority. Local government
management is the action of governing the affairs of a town or city through planning,
directing, controlling and regulating business and industrial activities within a specific
jurisdiction” (Coetzee 1985:27).
1.11 Outline of the chapters of the thesis
Chapter One provides a general introduction and the scientific and methodological
orientation to the research.
48
Chapter Two entails the variables that influences the institutional, regulatory and
policy framework of the South African governmental system.
Chapter Three explains the legislation and related policy frameworks relevant to
developmental local government strategies for capacity building.
Chapter Four analyses the conceptual variables that influences the NCBF in terms
of cooperative governance and support, as well as capacity building and training.
Chapter Five discusses a differentiated approach to support, capacity building and
training for local government.
Chapter Six entails the variables influencing the measurement of local government
support, capacity building and training.
Chapter Seven provides a synthesis and evaluation of the main findings of the
research and recommendations for the successful implementation of the South
African Local Government NCBF of 2011 to be considered for 2016.This chapter
aims at providing a basis for a conceptual framework for the successful management
and implementation of the NCBF within the local government sector.
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CHAPTER TWO
VARIABLES INFLUENCING THE INSTITUTIONAL, REGULATORY AND POLICY
FRAMEWORK OF THE SOUTH AFRICAN GOVERNMENT SYSTEM
2.1 Introduction
This chapter sets out to clarify a secondary research question posed in Chapter One
"What is the nature of the variables influencing the theoretical grounding in
terms of the institutional, regulatory and developmental policy frameworks of
the South African government system?” (See section 1.3) by means of
establishing a clear and meaningful basis for its interpretation and utilisation in the
context of this thesis.
The purpose is to eliminate confusion regarding conceptual and contextual factors
related to South Africa as a democratic developmental state, the role of government
versus the State, the South African government system and the three spheres of
government. It is also imperative to provide the context of state and other institutions
influencing the implementation of the NCBF, the locus and focus of local government
as well as the policy process.
This chapter first aims to provide a context within which the NCBF functions by
initially reflecting on South Africa’s vision towards a democratic developmental state.
Other secondary research questions as noted in Chapter One, “What are the
potentials and challenges that South Africa must consider to achieve its
objectives of being a developmental state?”, “Does the fact that South Africa
is a democratic state influence the State’s ability to be developmental?” and
“Does the Constitution of 1996, in Section 153 capture the central goal of
development, thus creating the potential for South African local government to
assist South Africa in becoming a developmental state?” (see section 1.3) are
also posed in an attempt to provide answers through the application of research.
The focus of this chapter is also to identify the relevant variables influencing the
policy operations of the State (and government) by focusing on South Africa as a
50
democratic developmental state and providing the background to a government
system with specific reference to South Africa. National government, in general;
within the three sphere system of government, and DCoG and its counterparts at
provincial and municipal levels, in particular, are discussed, including local
government transformation and other state institutions.
Also, the policy and policy versus strategy process is dealt with. The idea is to pave
the way for deliberations on the legislation, policies, frameworks and strategies in the
South African government that will be dealt with in Chapter Three and to better
understand the sector for which the NCBF was developed and within which it must
be implemented. Lastly, other concepts associated with the South African
government system are dealt with.
The chapter thus commences with a discussion of South Africa as a democratic
developmental state, also considering what government and a state are and what
the objectives of a state are. The chapter investigates the possibility of fulfilling South
Africa’s vision towards becoming a democratic developmental state. Based on
discussions on developmental states’ pitfalls, challenges, benefits and potentials,
amongst others; in Japan, Taiwan and Korea.
A background to the South African government system is provided, explaining how
citizens have certain perceptions and expectations about the government and how
the Constitution of 1996, as the supreme law of the country, aims to address these.
That discussion is then followed by providing detail on the constitutional structuring
of the South African government system and associated institutions, such as the
South African Local Government Association (SALGA) and how the system functions
in the context of the three branches of government: The legislative, executive and
judiciary.
The three spheres of government are then discussed, in general; with specific
reference to the DCoG and the Ministry for CoGTA at national and provincial levels
of government, in particular.
51
This chapter attempts to clarify the secondary research question posed in Chapter
One: “Do the semantic differences in the names between national DCoG and
provincial departments affect the support that provinces are providing to local
government in terms of creating a difference in the understanding of the
function required of it and thus the capacity made available?” (See section 1.3).
A discussion of local government and its transition through three phases (from 1994
to 2010) follows, to indicate that the comprehensive transformation of municipalities
(as organisations) is a timely process and has not yet reached sustainability.
Next, the chapter discusses the policy process and its terminology and reference is
made to a movement towards integrated policy making, to enable sustainable
development. The influences on policy making in government are described more
fully by further concentrating on the political-administrative interface (a popular
phrase used in government); politics and policy; trade unions and policy; public
administration and management; and governance and policy. Lastly, other concepts
associated with the South African government are discussed.
This chapter thus sets out to position the NCBF within government’s vision (such as
becoming a democratic developmental state) as well as indicating how government,
which implements the NCBF operates by understanding the current policy and the
cycle of public policy making. From a policy perspective the secondary research
question posed in Chapter One is whether “the NCBF from 2011 to 2016 is
comprehensive enough to address the challenges that local government
faces?” (see section 1.3).
2.2 South Africa as a democratic developmental state
South Africa’s vision as a democratic developmental state is examined in the
sections to follow, with a focus on what government and a state are; what the
objectives of a state are; what a developmental state is; as well as the potentials and
challenges for South Africa as developmental state.
The discussion commences by creating an understanding of the concepts ‘state’ and
‘government’, as related terms.
52
2.2.1 Government and a state
The two broad terms under discussion are ‘government’ and ‘state’. The term ‘state’
refers to the whole range of institutions that make and impose collective decisions on
behalf of society. Ministers, judges, legislators, bureaucrats and the police are all
part of a single network of government institutions – this network is known as the
‘State’ while the ‘government’ forms the core of the State (Auriacombe 2001:19-20).
Jowett (2005:42 in Rabie 2011:192) informs that the earliest theoretical thought on
‘government’ and ‘state’ referred to the obligation of the State to ensure the well-
being of the community it served, and failure to meet this obligation was the
motivation for citizen revolutions across the centuries.
Doyle, Naude and Kalema (2007:206) state that the following requirements apply for
a state to have international legal personality –
there must be a permanent population;
living within a specific geographical area;
under effective government; and
with the ability to conduct relations with other states.
Auriacombe (2001:84) states that the role of the State also entails the coordination of
a variety of institutions in the public and the private sector (Rhodes 1996:652-67 in
Auriacombe 2001:84), e.g. governance of cyberspace to set standards and regulate
the internet across governments.
In discussing the term government, Auriacombe (2001:xi) argues that “[o]ur lives are
directed by the actions of public institutions that take place in an extended and
complex variety of circumstances”. There is a political base to most of our everyday
activities and when social groups and organisations become more complex, political
activity displays a repetitive pattern of collective decision making. This regular and
established decision making pattern is called government. In a broad sense,
government also refers to a condition of orderly direction-giving. In Rabie (2011:192)
53
it is stated that Jowett sees “true forms of government (as those) who govern with a
view to the common interests” (Jowett 2005:42 in Rabie 2011:192).
To perform its role the State must thus meet certain objectives through its
government institutions.
2.2.2 The objectives of a state
Dante holds that culture and knowledge are the primary and overriding objectives of
the State which includes information, keeping abreast of developments in the
community, tolerance as a basic orientation, and decency as a basic predisposition
in human interaction (Mulder 1974:21 in Auriacombe 2001:75).
Mulder (1974:21 in Auriacombe 2001:75) lists the objectives of a state as:
The judicial objective that is the right to protect, create new legislation and
amend or even replace existing legislation, in other words the objective is
effective maintenance of judicial order in the State.
Peacekeeping or the maintenance of public safety and security.
Protection, for example against enemies from outside.
The promotion of material welfare.
Various studies currently assist states in determining whether they are achieving
their objectives. This is important in further qualifying the State to be a
developmental state. One such study, the Mo Ibrahim Foundation, released its 2011
Index of Governance in Africa (www.moibrahimfoundation.org). The Index consists
of four main categories that link to the objectives of a state, as discussed above. The
Index measures: Safety and rule of law, participation and human rights, sustainable
economic opportunity, and human development (www.moibrahimfoundation.org).
The following results from the Mo Ibrahim Foundation (Research Weekly e-Alert of
DCoG 2011:1-5) with specific reference to safety and rule of law and sustainable
54
economic opportunity, reflects South Africa’s achievement of its objectives, in
comparison to other African states, in terms of:
Safety and rule of law: Among others, this category focuses on the extent to which
the judicial process or courts are subject to interference or distortion by interest
groups. Safety and the rule of law also take into account transparency and corruption
in the public sector, safety of the person, violent crimes and government involvement
in armed conflict. The Index ranked South Africa 7th and Mauritius 1st in the safety
and rule of law category. South Africa’s poor score for personal safety is attributed to
its low grade for safety and rule of law (www.moibrahimfoundation.org).
Sustainable economic opportunity indicator evaluates the extent to which central
government staff are structured to design and implement state-owned enterprises
and sub-national government. In both 2010 and 2011 South Africa and Mauritius
were respectively positioned 7 and 1 in the area of sustainable economic opportunity
(Research Weekly e-Alert of DCoG 2011:1-5).
In general, South Africa is one of the top performers in the Mo Ibrahim Index of
Governance in Africa. In particular exceptional performance for the country is
reflected in public administration and gender sub-categories. However, poor scores
for personal safety, health, the rural sector and infrastructure create space for further
improvement. Last-mentioned areas are matters that need redress for the South
African State to effectively meet its objectives from the perspective of at least the
study referenced (Research Weekly e-Alert of DCoG 2011:1-5 and
www.moibrahimfoundation.org).
South Africa as a state is focusing on being a democratic developmental state. To
better understand what that will entail the concept ‘developmental state’ is dealt with.
2.2.3 A developmental state
Rabie (2011:195) states that the notion of a ‘developmental state’ is based on the
premise that a state should actively promote and ensure development of the country
and its citizens.
55
Political leaders, possibly a group representing the State, might appropriate the label
of a developmental state and apply it to building an institutional frame that, while
politically expedient, “ducks the difficulties of delivering capability expansion”, with
negative consequences (Edigheji 2010:16). Labelling a state ‘developmental’ does
not necessarily make it so. What matters is building the institutional apparatus within
and outside the State that will enable it to achieve its developmental goal of human
capability expansion, both as a means to achieving development and as an end in
itself. By implication, it is what a state does – rather than a proclamation by policy-
makers – that will qualify it as a developmental state (Edigheji 2010:16).
The development status of a nation (in modern day theory) is “measured by the well-
being of a nation. The past 60 years of development, starting with development
initiatives after the First and Second World Wars, have been a testing period for
many theories on what states should do in order to fulfil their development obligation”
(Simon 2003:130 in Rabie 2011:193). The modernisation theory focused on
technical modernisation, donor assistance and economic development as the drivers
of development. This was based on the assumption that “if economic growth and
modernisation took place, social and other aspects of development would follow
automatically”. The dependency school of thought criticised the modernisation theory
for its ability to deliver development through “capital-intensive industry-led
development and import substitution” (Simon 2003:130 in Rabie 2011:193).
However, the few countries that applied the principle of the dependency school of
thought and ceased interaction with international markets and old colonial trade
relations paid dearly (Simon 2003:130 in Rabie 2011:193).
With further reference to the role of the economy in developmental states, Edigheji
(2010:1) reminds us that by October 2008, the world was witnessing the worst
financial crisis since the great depression in 1929. And by July 2009 it had turned
into a full-blown global economic crisis. The economic crisis is testimony to the fact
that unregulated markets are unworkable and unsustainable in the long run, not only
for the improvement of human wellbeing but also for the markets. It has also
reinforced the proposition that markets are not always self regulating. More
importantly, though, it has brought to the fore the importance of state interventions.
56
The economic crisis has given credence to those who argue for state interventions
and has made the case of the developmental state more compelling.
While Britain and other ‘first’ developed countries adopted a rather laissez-faire
approach to economic development, allowing the free market to steer economic
development of the country, the ‘second’ developing countries had a different
experience. In countries like Japan, Taiwan and Korea, the State played a pivotal
role in determining the nature and direction of the economic development of the
country (Rabie 2011:195). Rabie (2011:193) states that the key to successful
economic development in a post-World War II world perhaps lies in the examples of
China, India, Japan, South Korea and Taiwan. The experience of these countries
“shows that countries do not have to adopt, first and foremost, liberal
trade…policies”. These countries “have experienced relatively fast growth behind
protective barriers, (leading to) rapid trade expansion in capital and intermediate
goods”. As the countries became richer they liberalised their trade policies (Rabie
2011:193). Today, “the narrow, technocratic orthodoxy of modernisation [is rejected]
in favour of [hybrids]…that integrate Western and indigenous…systems” (Simon
2003:132 in Rabie 2011:193). It becomes the challenging task of the State to test
and determine the optimum balance between globalisation and market protection,
and adopting or adapting Western systems versus local innovation and
experimentation.
With due regard to the above, it is not only the economy but also institutional
apparatuses within and outside the State and human capability expansion that must
each receive the necessary attention; as noted in Chapter One (see section 1.3) if
the South African State is to achieve its objectives of being developmental. What
are the potentials and challenges that South Africa must consider?
2.2.4 Potentials and challenges for South Africa as a developmental state
The central goal that the South African State must realise in becoming a
developmental state is the expansion of human capabilities through investment in
health, education and social welfare, both as a means of attaining equitable growth
and as an end in itself; economic policy, including macroeconomic policy; should be
57
expanding human capabilities. In effect, for South Africa to become a developmental
state the potential for its macroeconomic policy should be to serve social objectives
rather than social transformation that is being held hostage by the macroeconomic
policy.
Social policy needs to occupy a prime place as a policy tool in the hands of the
State. Human Capital Development (the National Skills Accord of 2010 may be such
a policy example) is the one way to overcome the Apartheid legacy of dispossession.
There are calls for a massive investment in education and training, health care and
infrastructure, on a consistent and sustained basis (Edigheji 2010:29). “Although the
marginalised masses are largely irrelevant to the macroeconomic health and stability
indicators deemed important by the neoliberal right”, the experience of Venezuela
illustrates that “their increasing potential to disrupt economic adjustment measures
has made their political relevance clear, even in these circles” (Gibbs 2006:265 in
Rabie 2011:197).
Another question that must be posed as noted in Chapter One (section 1.3) is
whether the Constitution of 1996, Section 153 captures the central goal of
development as described above thus creating the potential for South African local
government to assist South Africa in becoming a developmental state? It states the
developmental duties of municipalities as:
A municipality must –
(a) structure and manage its administration and budgeting and planning processes to
give priority to the basic needs of the community, and to promote the social and
economic development of the community; and
(b) participate in national and provincial development programmes.
“...the expansion of human capabilities through investment in health, education and
social welfare...” is possibly not as accurately captured through the words of the
Constitution to improve its focus.
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Should municipalities achieve their developmental goals, Edigheji (2010:16)
highlights the potential benefits of a developmental state, which local government
can also influence, as: A ‘high growth strategy’, its structure features link high growth
with broadly shared returns – in part because it is a naturally labour-intensive-
strategy – and will thus expand employment and will have a ‘light ecological
footprint’, that is, it will have positive ecological consequences (Edigheji 2010:16).
However, a common thread in the literature is that a one-size-fits-all approach to the
construction of a developmental state will not work (Chapter Five will further
deliberate on differentiation in the municipal environment). Hence, the construction of
a developmental state in South Africa, like elsewhere, needs to be contextualised,
taking into account the country’s specific historical, political, economic, ideological
and institutional setting. Some factors that could enhance South Africa’s capacity to
construct a developmental state, are: The string mass party base of the African
National Congress (ANC) and existing organisational architectures such as the
Industrial Development Corporation (IDC), the Development Bank of Southern Africa
(DBSA), a number of state-owned enterprises (SOEs), as well as the Department of
Trade and Industry (DTI).
The IDC and DBSA have significant financial resources and analytical capacities,
which can be mobilised for a developmentalist project in South Africa. The
technological and business capabilities of other SOEs can also be mobilised for a
developmentalist project (Edigheji 2010:19). Former “President Mbeki...rejected
privatisation and accepted that the parastatals particularly must retain a key role in
the economy” (Rabie 2011:197).
In the one-size-does-not-fit-all approach the following matters would further need to
be considered, e.g.:
Transforming the structure of the economy to, among other things, reduce the
dependence on the minerals-energy complex and reverse deindustrialisation
(Edigheji 2010:29).
59
Enhancing human capabilities may require that the service sector be the key
to the success. Promotion of green industries, through adoption of green
technology and promotion of green products, is an important imperative, to
ensure the kind of holistic development that a developmental state needs to
engender. A bold and innovative approach to employment creation, beyond
the current tame approach that relies on public works, also needs to be
adopted (Edigheji 2010:29).
Agrarian reform may also need to be central to the new approach, which
among other things should entail setting up farms which have a number of
positive multiplier effects – creating jobs, reducing poverty and contributing to
food security. That the State currently owns unused land and there are
millions of unemployed offers potential in terms of this proposal. The need to
catch up (driven nationalism), can be a potent normative framework or
ideology to pursue such measures (Edigheji 2010:29).
The above makes reference to potentials while Edigheji (2010:30) argues that the
low degree of capacity, especially as it pertains to planning and implementation, is
among the challenges facing South Africa. There is a need for building institutions
that behave coherently and collectively, as the basis for its capability expansion and
equitable growth. Judging by the Green Paper on National Strategic Planning
(Presidency 2007) which proposes the establishment of a National Planning
Commission (NPC) made up of experts and intellectuals, South Africa is on the
wrong track to constructing a developmental state. Worse still, the high turnover rate
of public servants, especially top public servants, points to the absence of long-term
rewarding career paths in the South African bureaucracy (but there may also be
other factors that are the cause). Challenges to becoming a developmental state
could be overcome by, among others, the State recruiting and retaining the best and
brightest South Africans into the public service (Edigheji 2010:31).
Despite the challenges South Africa can also, by considering the lessons learnt,
adjusting them to the South African context, applying them, constantly tracking
progress and redressing where the necessary progress is not being made; possibly
achieve its vision as developmental state. What needs to be considered next is
60
whether the fact that South Africa is a democratic state would influence its ability to
be developmental as discussed in the following section (see sections 1.3 and 2.1).
2.2.5 A democratic developmental state
A country like South Africa is better positioned than most late developing countries to
construct a democratic developmental state. Prior to the current global economic
crisis that led to the resurgence of the State across the globe, the South African
ruling party (the ANC) and the Government had recognised that addressing the
developmental challenges facing the country – including growing the economy and
reducing the high rates of poverty, inequality and unemployment, as well as
improving livelihoods of South Africans – required a developmental state to be
democratic and socially inclusive. A developmental state with the capacity to
intervene to achieve the aforementioned goals. Specifically, the ANC at its National
General Council in mid-2005 committed itself to constructing a developmental state
that will intervene to restructure the South African economy (ANC 2005 in Edigheji
2010:1). This policy commitment was reiterated at the policy conference (ANC 2007a
in Edigheji 2010:1) and the 52nd National Conference in Polokwane (Limpopo), both
in 2007 as well as in the ANC’s manifesto for the 2009 general election (ANC 2009
in Edigheji 2010:1). At the Polokwane Conference the ANC pledged to build a
developmental state that will play a central and strategic role by directly investing in
underdeveloped areas and directing private sector investment, and will play a critical
role in addressing the challenges of high unemployment, poverty and inequality
(ANC 2007b:19 in Edigheji 2010:1), as well as accelerate economic growth and
address the skewed patterns of ownership and production (2007b:17 in Edigheji
2010:1). The ANC’s conference resolutions link the imperatives for economic growth
with addressing the social challenges (Edigheji 2010:1).
A developmental state that is democratic and engenders social inclusiveness is more
compelling now than ever (Edigheji 2010:29) and in a democratic state
constitutionalism and democratic values are very important. Constitutionalism means
much more than a determination of institutions and their sphere of competence. It
also literally represents the essence of democracy because the Constitution also
stipulates and limits rights and liberties. According to Auriacombe (2001:70) one of
61
the most important differences between constitutions in democratic forms of
government and constitutions in authoritarian forms of government are the effective
use of checks and balances. This concept refers to the need for a counterweight that
can limit the exercise of the government’s power (i.e. the essence of
constitutionalism).
Democratic values, on the other hand “aim to achieve the objectives of democracy
and create conditions under which citizens will be able to achieve the greatest
possible wellbeing” (Vyas-Doorgapersad and Ababio 2006;392). The government
should be organised in a manner that will allow transparent deliberation,
consultation, and the exercising of discipline. In adhering to basic democratic values,
government and political representatives will ensure that the views of different
communities and role-players are considered in order to find reasonable solutions for
conflicting viewpoints. Some of these democratic values are listed below (Vyas-
Doorgapersad and Ababio 2006:391-393 and Van Niekerk, Van der Waldt and
Jonker 2001:119):
Openness and transparency.
Representation.
Responsibility and responsiveness.
Legality / Legitimacy.
It seems that South Africa is not only striving toward democracy and development
through constitutionalism and democratic values but is putting the necessary
mechanisms in place to achieve this. One of the drivers of development and
democracy is the South African government system. To understand how the South
African government works and to establish within which policies such as the NCBF
are implemented a more focused discussion ensues.
The following section highlights the history of a government system to specifically
focus on South Africa.
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2.3 Background to a government system with reference to the South African
government system
The Xhosa idea ‘umuntu ngumuntu ngabantu’ meaning ‘a person is a person through
persons’ indicates that a “person is thus defined by the relationships between him- or
herself and others – in other words, it is the community that defines the person”
(Schutte in Doyle, Naude and Kalema 2008:5). “This implies that it is a natural
tendency for people to group together into associations to satisfy their human needs”
(Doyle, Naude and Kalema 2008:5).
Aristotle (in Doyle, Naude and Kalema 2008:5) was the first to continue this line of
thought with a family (first association) as basis leading into several families living
sustainably in permanent structures in a village (the second association) and when
several villages are formed in a single community large enough to be self-sufficient
the State came into existence (which could be the third association) (Ebenstein and
Cloete in Doyle, Naude and Kalema 2008:5).
Initially states were ruled by monarchs or royal families this changed in the first half
of the fifth century BC when Greeks and Romans showed a new understanding of
the world with systems allowing a large number of adult males to participate directly
in government (Dahl in Doyle, Naude and Kalema 2008:6).
From the above emerged a new political system where sovereign people were not
allowed to govern themselves, but possessed all the resources and institutions
necessary to do so. This core vision remains at the heart of modern democratic
ideas and continues to shape democratic institutions and practices. Modern
democratic government consists of far more than this simple vision, however; it also
comprises other historical experiences. There are four main sources of modern
63
democratic government:
Classical Greece and the concept of rule by the people (direct participation in
decision-making is no longer possible owing to the number of people and the
organisational problems involved).
A republican tradition derived from Rome and the Italian city-states of the
Middle Ages and Renaissance.
The ideas and institutions of representative government (allowing
administrators to continue to exercise the function of government while
ensuring that the community could retain its say without gathering for
meetings all the time and including periodic elections to allow citizens to elect
their representatives).
The logic of political equality (Dahl in Doyle, Naude and Kalema 2008:6-7).
Relations between government and citizens were later captured in a formal written
document that gave rise to constitutionalism setting out the powers and duties of the
authorities – how a country is governed (Doyle, Naude and Kalema 2008:7). As time
passed, population growth, extension of borders and technological development led
to the government having to subdivide its powers. The idea of separating powers
dates back to Aristotle who had the basic idea that if the rules are made by one
group, applied by another and interpreted by a third it is possible to prevent any one
group having too much power (Doyle, Naude and Kalema 2008:7).
Harris (in Doyle, Naude and Kalema 2008:8) states that where there is parliamentary
government there cannot be a true separation of powers because ministers sit in
parliament, that is to say that the people who make up the executive branch are also
involved in the legislative branch. Similarly the judicial function is not truly separate,
as the powers delegated to public officials make no meaningful distinction between
legislative, judicial and executive roles. The separation of powers has in a sense
become a device for dividing government into different units.
Hattingh and Cloete (in Doyle, Naude and Kalema 2008:8) state that “This doctrine
of the separation of powers has led to a horizontal division of powers into legislative,
executive and judicial functions. There was also the need for a vertical division of
64
powers and functions between government and community. The vertical division
took place on a geographical basis, resulting in the formation of regional authorities
exercising powers and performing functions on behalf of central government and
subsequently governmental and semi-governmental institutions being formed to
perform specific tasks”.
Van der Walt and Helmbold (1995:19) explain that despite the division of powers
“Governments are open and dynamic systems with both abstract and concrete
elements. They consist of resources which are converted into inputs for specific
consumers. The processing of these inputs takes place within a particular
environment and is received from the environment which consists of the needs and
wishes of people, physical inputs, financial inputs and information”.
“Many...grew up with the idea that ordinary people determine what government is
and does...(and) were led to understand that the election process placed leaders in
high positions so that they could transform the will of the people into laws, which
were then faithfully executed by administrators” (Auriacombe 2001:ix).
In the government system specific to South Africa, execution by all bodies of
government is, however, subject to the rule of the Constitution, which is the supreme
law in South Africa (Constitution of 1996 Section 2).
The term constitution has two meanings:
First, it means the whole corpus of rules (written and unwritten) whereby the
authority of the State is divided. Here the whole matter of constitutionalism
and the Constitution as a means of expressing the will of the people is at
issue.
Secondly, it means the Constitution which is a written document embodying
some or most of the constitutional rules (Carpenter and Viljoen 1992:10 in
Auriacombe 2001:68).
The Constitution of 1996 introduced a vision for a just, democratic and equal South
Africa, in which the wrongs of the past are addressed, and fundamental human rights
65
are enjoyed by all. The Republic of South Africa is described as “one, sovereign,
democratic state founded on the values of human dignity, equality, human rights and
freedoms, non-racialism and non-sexism, universal adult suffrage, a common voters
role, regular elections, a multiparty system of government that ensures
accountability, responsiveness and openness” (Constitution of 1996 Section 1).
These are the core values from which all South African public institutions derive their
authority, mandate and legitimacy (DCoG (1) 2011:1).
South Africa is thus a constitutional democracy with a three sphere system of
government and an independent judiciary. The national, provincial and local spheres
of government all have legislative and executive authority that is defined in the
Constitution of 1996, Section 40 as "distinctive, interdependent and interrelated".
These terms are dealt with in chapter four of this thesis on cooperative governance.
It is also a stated intention in the Constitution of 1996 that the country is run on a
system of cooperative governance. Chapter 3 of the Constitution of 1996 in Section
41 provides that: “All spheres of government and all organs of state within each
sphere must, amongst other things, secure the well-being of the people of the
Republic; provide effective, transparent, accountable and coherent government for
the Republic as a whole and cooperate with one another in mutual trust and good
faith by fostering friendly relations and… assisting and supporting one another”.
Constitutional recognition of provincial and local government opened the way for
broader participation in the governance of the country through regional and
community-level political representation within a framework for national sovereignty
and unity. The Apartheid system had used provincial and municipal administrative
boundaries as instruments to enforce separate development, white minority privilege,
and the political and economic exclusion of black South Africans. The legacy of that
system remained in the fragmented settlements and a distorted space economy that
the new government inherited. Furthermore, Apartheid entities with their large, often
corrupt administrations had to be absorbed into the new democratic order and
transformed (DCoG (1) 2011:1).
66
In terms of the Constitution of 1996 government is also undertaken by three inter-
connected authorities, the:
Legislative authority: The National Assembly and the National Council of
Provinces (Constitution of 1996 Section 43).
Executive authority: The President, who is both Head of State and Head of
Government (Constitution of 1996 Section 85).
Judicial authority (Judiciary): The Constitutional Court, the Supreme Court of
Appeal, and the High Court (Constitution of 1996 Section 165).
Each of these authorities is deliberated on in more detail below.
2.3.1 The legislative authority
The legislative authority is vested in Parliament, which is bound by the Constitution
of 1996 and must act within its limits, is situated in Cape Town and consists of two
houses. The two houses are, the:
National Assembly that consists of no fewer than 350 and no more than 400
members elected for a five-year term on the basis of a common voters’ roll.
South Africa’s fourth democratic general election was held in 2009. The
number of National Assembly seats awarded to each political party is in
proportion to the outcome of the national election, which is held every five
years. It is presided over by the Speaker who is assisted by the Deputy
Speaker.
National Council of Provinces (NCOP) is a body created to achieve co-
operative governance and participatory democracy (Constitution of 1996
Schedule 6 Section 7). It is through this body that national and provincial
interests are aligned in national legislation that affects the provinces. The
NCOP consists of 54 permanent members and 36 special delegates, and
elects its own chairperson. Each of South Africa’s nine provinces send 10
representatives to the NCOP – 6 permanent members, and 4 special
delegates; headed by the Provincial Premier or a Member of the Provincial
Legislature designated by the Premier. There is a formula to ensure that each
province’s delegation includes representation by minority parties. In addition,
67
local government (municipal) representatives may participate in the NCOP but
not vote – 10 part-time members represent different categories of
municipalities (www.mediaclubsouthafrica.com 2011:1). The SALGA has
represented local government elected representatives since February 1998
(www.southafrica.info 2011:1). SALGA was established in terms of the
Organised Local Government Act 52 of 1997, to assist in the “wholesale
transformation of local government”.
A discussion on the second of the three interconnected authorities, the executive
authority, follows.
2.3.2 The executive authority
While the legislative authority is vested in Parliament, the Cabinet or parliamentary
system is the executive authority composed of the representatives of voters
(Auriacombe 2001:84). The President who is elected by the National Assembly from
among its members is the Executive Head of State and leads the Cabinet (in line
with Chapter 3 of the Constitution of 1996 and www.southafrica.info 2011:1). The
President may not serve more than two, five-year terms in office. According to the
Parliamentary Monitoring Group (2011:2), as contained in the Constitution of 1996,
the President is responsible for –
“(1) appointing the Cabinet;
appointing judges after consulting with the Judicial Services Commission;
appointing the Public Protector, the Auditor-General and members of the
various Commissions on the recommendation of Parliament;
appointing the Military Command of the Defence Force;
appointing commissions of inquiry;
(6) assenting to and signing Bills passed by Parliament so that they can
become laws, or referring Bills back to the National Assembly or to the
Constitutional Court if there are concerns over their constitutionality;
calling special sittings of the Houses of Parliament;
calling a national referendum;
68
receiving foreign diplomats;
designating South Africa’s representatives abroad;
conferring honours;
pardoning or reprieving offenders; and
declaring a ‘state of national defence’ with the approval of Parliament”
(Constitution of 1996).
Bullet one (1) and six (6) are of importance in the context of this thesis.
The President appoints the Deputy President and ministers, assigns their powers
and functions, and may dismiss them. The President, the Deputy President and
(currently) 34 ministers constitute the Cabinet. All but two ministers must be selected
from among the members of the National Assembly. The members of the Cabinet
are accountable individually and collectively to Parliament. Deputy Ministers are also
appointed by the President from among the members of the National Assembly
(Constitution of 1996 Section 93 and www.southafrica.info 2011:1).
The Cabinet in turn serves as the executive institution of government for the
following reasons:
The Head of the Executive is the President.
Cabinet members act as heads of state departments and thus supervise
implementation of legislation.
Cabinet is responsible for formulating the State’s executive policy.
Cabinet controls the legislative programme and takes the initiative in the
legislative process by presenting the most important draft legislation or
amendments to existing legislation to the legislative authority and launching it
through the process of enactment. Because the Cabinet is so closely in touch
with bureaucracy it is particularly well-placed to perform this function (Gey van
Pittius 1997:175 in Auriacombe 2001:87).
In addition, the Parliamentary Monitoring Group (PMG) (2011:1) states that the
responsibility of the Executive (Cabinet) is to run the country and to make policy in
69
the best interest of its citizens and in terms of the Constitution of 1996. They are
empowered to implement legislation, develop and implement policy, direct and co-
ordinate the work of the government departments (such as the DCoG that is
responsible for the NCBF), prepare and initiate legislation and perform other
functions as called for by the Constitution of 1996, or legislation. The executive
authority cannot pass laws, however, but may propose to the legislature new laws
and changes to existing laws.
The cabinet system or executive authority is further based on the principle that the
executive authority must be constantly responsible to the legislative authority.
Because the Cabinet depends on the support of the legislative authority there is no
absolute division between the legislative authority and executive authority under the
parliamentary system (Auriacombe 2001:86).
To improve coordination across government, a Cabinet Cluster System was
instituted as a vehicle for ensuring intergovernmental relations through the
implementation of the Intergovernmental Relations Framework Act 13 of 2005.
Clusters were established to foster an integrated approach to governance that is
aimed at improving government planning, decision making and service delivery
(www.info.gov.za 2011:1). Clusters function at different levels, namely ministerial,
Director-General and communication clusters (www.info.gov.za 2011:1). The five
clusters represent the five key areas of the President’s social contract, which are
(www.mb.com.ph. 2011:1):
Good Governance and Anti-corruption.
Human Development and Poverty Reduction.
Economic Development.
Security, Justice and Peace.
Climate Change, Adaptation and Mitigation.
Improved coordination of government’s work is also part of the outcomes approach
to government performance; led by the DPME in the Presidency, and implemented
70
through Ministers’ Delivery Agreements, Technical Implementation Forums and
Implementation Forums.
Finally, the third interconnected authority, the judicial authority, is considered.
2.3.3 The judicial authority
The judicial authority (also referred to as the judiciary) is independent, non-partisan
and subject only to the Constitution of 1996 (Van der Walt and Helmbold 1995:63
and www.southafrica.info 2012:1). The main objective of the judicial authority is to
guarantee the rights and freedoms of the individual and to preserve the sovereignty
of the law (Van der Walt and Helmbold 1995:49).
This was implemented through amongst others, the Constitution's Bill of Rights that
also provides for due process including the right to a fair, public trial within a
reasonable time of being charged and the right to appeal to a higher court. The
adoption of a Bill of Rights; containing socio-economic rights in addition to civil rights,
laid the foundations for a rights-based approach to service delivery and development
that imposes an obligation on the State to progressively realise fundamental human
rights (DCoG (1) 2011:1).
Other than the Bill of Rights and the Constitution, the country’s legal system is based
on Roman-Dutch law and English common law. Although it was radically
transformed after 1994, many laws unrelated to Apartheid continued to be rooted in
the old legal system. However, the post-Apartheid legal system included new
provisions, such as a prohibition on all forms of discrimination and an emphasis on
individual rights (www.southafrica.info 2012:1).
To implement the legal system, judges in the various courts are appointed by the
President in consultation with the Judicial Service Commission, the leaders of parties
represented in National Assembly, and, where relevant, the President of the
Constitutional Court. The Judicial Service Commission includes the Chief Justice,
the President of the Constitutional Court and the Minister of Justice. It is a widely
71
representative body – among its other members are two practicing advocates, two
practicing attorneys, six members from the National Assembly (including three from
opposition parties) and four from the National Council of Provinces
(www.southafrica.info 2012:1 and Van der Walt and Helmbold 1995:54-55).
The judiciary thus interprets the laws, using as a basis the laws as enacted as well
as explanatory statements made in the legislature during the enactment. To achieve
this, there are four major tiers of courts (www.southafrica.info 2012:1 and van der
Walt and Helmbold 1995:50-54) these are the:
Magistrates Courts – The court where civil cases involving less than
R100 000, and cases involving minor crimes, are heard.
High Courts – The court of appeal for cases from the magistrates courts, as
well as the court where major civil and criminal cases are first heard.
Supreme Court – The final court of appeal for matters not pertaining to the
Constitution.
Constitutional Court – The final court of appeal for matters related to the
Constitution.
Black tribal chiefs and headmen have limited jurisdiction to hear cases in traditional
courts (www.southafricaweb.co.za 2012:1).
In addition, provision is made in the Constitution for other courts established by or
recognised in terms of an act of Parliament. The Constitutional Court, Supreme
Court of Appeal and High Courts have the power to protect and regulate their own
processes, and to develop the common law (www.southafrica.info 2012:1). The
Supreme Court of Appeals is the highest court in all non-constitutional cases. It has
a seat in Bloemfontein, which is considered the country’s judicial capital. The South
African Constitutional Court (introduced in 1994) has a seat in Johannesburg
(www.southafricaweb.co.za 2012:1).
Now that an understanding has been created of the executive, legislative and judicial
authorities of the South African government system, for the purposes of this thesis, a
more in depth discussion of the three spheres of government is necessary. The three
72
sphere structure provides the background to how government functions structurally
and situates local government, for which the NCBF was created, within said
structure. Also, the transformation of local government and other state institutions is
dealt with.
2.4 The three spheres of government
Section 40 of the Constitution of 1996 states that in “the Republic, the Government is
constituted as national, provincial and local spheres which are distinctive,
interdependent and interrelated”, and each of these spheres is discussed below from
a general to a particular perspective (CoGTA and DCoG).
2.4.1 National government departments in general
Section 2.3.2 of the thesis, entitled ‘the executive authority’, discusses the
appointment of the President and Ministers, in general. According to the
Parliamentary Monitoring Group (2011:2), the President allocates specific
responsibilities known as "portfolios" to each Minister to supervise. There are
currently 34 portfolios (national ministries that are also referred to as national
government) of which quite a few directly influence local government affairs
(www.info.gov.za). These are:
1. Agriculture, Forestry and Fisheries
2. Arts and Culture
3. Basic Education
4. Communications
5. Cooperative Governance and Traditional Affairs (directly responsible for local
government, cooperative governance and the NCBF)
6. Correctional Services
7. Defence and Military Veterans
8. Economic Development
9. Energy
10. Finance
11. Health
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12. Higher Education and Training
13. Home Affairs
14. Human Settlements
15. International Relations and Cooperation
16. Justice and Constitutional Development
17. Labour
18. Minerals Resources
19. Minister in the Presidency for the National Planning Commission
20. Minister in the Presidency for Performance Monitoring and Evaluation as well as
Administration
21. Police
22. Public Enterprises
23. Public Service and Administration
24. Public Works
25. Rural Development and Land Reform
26. Science and Technology
27. Social Development
28. Sport and Recreation
29. State Security
30. Tourism
31. Trade and Industry
32. Transport
33. Water and Environmental Affairs
34. Women, Youth, Children and People with Disabilities
Each minister has a ministry which consists of a small team of advisors. The ministry
and a department, headed by a Director-General, assist the minister in developing
and implementing policy and laws. Ministers are accountable to the National
Assembly for their actions and for those of their departments and they must act
according to government policy. They must also provide Parliament with regular and
full reports about matters for which they are responsible (Parliamentary Monitoring
Group 2011:3).
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Ministers (members of the Cabinet) must act according to a code of ethics, created
by the President, pursuant to the principles and framework established by the
Executive Members' Ethics Act 82 of 1998. This Act stipulates that ministers may not
do any other paid work, have conflicts of interests between their official and private
capacities; must not act in any way that is inconsistent with their offices; nor use their
position or any information entrusted to them for the improper enrichment of anybody
(Parliamentary Monitoring Group 2011:3). In 2011, Minister Shiceka, the former
Minister for CoGTA was disciplined accordingly.
Ministers can also be assisted by Deputy Ministers, and the Parliamentary
Monitoring Group (2011:4) also informs that while Deputy Ministers are not members
of the Cabinet they are required to assist the relevant ministers in the execution of
their duties. The President, in consultation with the Deputy President, is responsible
for the appointment of Deputy Ministers from amongst the members of the National
Assembly. Despite not being members of the Cabinet, Deputy Ministers would have
to resign along with the entire cabinet if a motion of no confidence in the President
was successful.
For the purposes of contextualising the environment in which the NCBF operates,
the general discussion on national government departments is now followed by a
more particular focus on a ministry and department that are responsible for the
NCBF.
2.4.2 National government departments in particular
The ministry and department that is directly responsible for the implementation of the
NCBF is the Ministry for CoGTA and the DCoG.
2.4.2.1 The Ministry for Cooperative Governance and Traditional Affairs
(CoGTA)
CoGTA has a Minister and Deputy Minister. CoGTA's mandate is derived from
Chapters 3 and 7 of the Constitution of 1996. As a national department its function is
to develop national policies and legislation with regard to provinces and local
75
government, and to monitor the implementation of the following acts and White
Paper:
The Intergovernmental Relations Framework Act 13 of 2005.
The Municipal Property Rates Act 6 of 2004.
Local Government: Municipal Finance Management Act 56 of 2003 (in
practice the National Treasury formulates and monitors the implementation of
this Act in consultation with CoGTA).
The Traditional Leadership and Governance Framework Act 41 of 2003.
The Disaster Management Act 57 of 2002.
Local Government: Municipal Systems Act 32 of 2000.
Local Government: Municipal Structures Act 117 of 1998.
Local Government: Municipal Demarcation Act 27 of 1998.
White Paper on Local Government of 1998 (About Us www.dplg.gov.za
2011).
CoGTA’s other function is to support provinces and local government in fulfilling their
constitutional and legal obligations (About Us www.dplg.gov.za 2011). CoGTA, like
all other government departments (as required by law) has a Five Year Strategic
Plan: 2007 to 2012 with Annual Performance Plans. The vision of this strategic plan
is: “An integrated, responsive and highly effective governance system, including
communities, to achieve sustainable development and improved service delivery”
and “(the) mission is to facilitate cooperative governance and support all spheres of
government, promote traditional affairs and support associated institutions through:
developing appropriate policies and legislation to promote integration in
government’s development programmes and service delivery;
providing strategic interventions, support and partnerships to facilitate policy
implementation in the provinces and local government; and
creating enabling mechanisms for communities to participate in governance”
(About Us www.dplg.gov.za 2011).
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The values CoGTA aspires to; also contained in its strategic plan, are inter alia the
values of the “Batho Pele (People First) principles of the South African Public
Service and with specific focus on the following:
Professionalism;
Activist approach;
Partnership and collectivism; and
Service excellence” (About Us www.dplg.gov.za 2011).
CoGTA’s primary strategic stakeholders as listed in the strategic plan are, the:
Presidency.
National Planning Commission in the Presidency.
DPME in the Presidency.
National Treasury.
Department of Public Service and Administration (DPSA).
Institution of Traditional Leadership.
Provincial sphere of government.
Local sphere of government (Municipalities).
Municipal Demarcation Board (MDB).
Commission for the promotion and protection of the Cultural, Religious and
Linguistic Communities.
South African Local Government Association (SALGA).
National House of Traditional Leaders (NHTL).
Commission on Traditional Leadership and Claims.
The South African Cities Network (SACN) (About Us www.dplg.gov.za 2011).
CoGTA’s partners in the strategic plan are listed as:
National sector departments.
Professional bodies.
Provincial training academies.
Development Bank of Southern Africa (DBSA).
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Public Service Commission (PSC).
Public Administration Leadership and Management Academy (PALAMA).
Sector Education and Training Authorities (SETAs).
The public.
Communities as (About Us www.dplg.gov.za 2011).
The last two are important in the context of chapter four of this thesis, dealing with
cooperative governance. The following departments support the Ministry for CoGTA.
2.4.2.2 The Department of Cooperative Governance ( DCoG)
It should be noted that the Ministry for CoGTA has two independent but
interdependent national departments under its auspices each with its own Director-
General and staff, that is: The DCoG which is the implementer of the NCBF and the
Department of Traditional Affairs (DTA) which has an independent focus on building
the capacity of traditional leaders and institutions associated with them.
Thus, as the policy implementer of the NCBF it is also necessary to understand how
the DCoG, under the Ministry for CoGTA, is constituted. In practice, the SMS of the
Public Service constitutes senior managers and higher, who head directorates, chief
directorates and branches. The following branches in DCoG, headed by Deputy
Directors-General, strive to achieve the purpose as listed for each, the (About Us
www.dplg.gov.za 2011):
Branch: Policy, Research and Knowledge Management
The purpose of this branch is to provide specialised support services to the
department in the areas of research and knowledge management, policy
formulation, monitoring and evaluation; and information, communication and
business technologies.
Branch: Governance and Intergovernmental Relations
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The purpose of this branch is to improve the framework for cooperative
governance between the three spheres, including more coherent vertical and
horizontal coordination in support of service delivery, promoting public
participation in governance through extending inclusive governance principles
and enhanced regulatory mechanisms; coordinate appropriate oversight,
intervention and support programmes to provinces and municipalities.
Branch: Disaster Response Management
The purpose of this branch is to promote an integrated and coordinated system
of disaster risk management with special emphasis on prevention, mitigation and
preparedness by national, provincial and municipal organs of state, statutory
functionaries, other role players involved in disaster risk management and
communities.
Branch: Provincial and Municipal Government Support (directly responsible
for the NCBF)
The purpose of this branch is to provide oversight, support programmes and
evidence-based regulatory mechanisms for provincial, municipal government and
associated institutions, and to facilitate effective developments and service
delivery.
Branch: Infrastructure and Economic Development
The purpose of this branch is to support provincial and local government
programmes and systems to promote economic and infrastructure development
within the context of national priorities.
There is one internally focused branch: Financial Management and Corporate
Affairs.To further contextualise the responsible unit that implements the NCBF, it
should be noted that the Branch: Provincial and Municipal Government Support
79
is divided into three Chief Directorates (headed by Executive Managers) (DCoG
Organisational Structure 2010): These are: Development Planning, Provincial
Government Support and Interventions and Local Government Support and
Interventions.
Within the Chief Directorate: Local Government Support and Interventions, listed
above, there are three directorates (headed by senior managers) (DCoG
Organisational Structure 2010): These are: Policy and Systems, Local
government Support and Capacity Building and Oversight of Entities.
It is the Directorate: Local Government Support and Capacity Building that is
directly tasked with the implementation of the NCBF. Furthermore, for the
coordination of and impact made with support, capacity building and training,
aimed at local government; to be successful it should start at the source (DCoG)
and ensure that internally (within DcoG) support, capacity and training initiatives
aimed at local government are coordinated through a representative committee.
Assisting national government is the next sphere of government, namely the
Provincial Government.
2.4.3 Provincial government departments
There are currently nine provinces in South Africa (www.info.gov.za December
2011). Provinces are regulated through Chapter 6 of the Constitution of 1996.
According to the Parliamentary Monitoring Group (2011:4), the executive in each
province is called the Executive Council and is headed by the Premier. Members of
Executive Councils (MECs) are accountable to their Legislatures in the same way as
the Cabinet is accountable to Parliament. The Premier is elected by the Members of
that Provincial Legislature (MPLs) from amongst themselves at the first sitting of that
legislature after an election. The Premier appoints the MECs from among the MPLs.
There may be up to ten MECs in each province. (The exception is the Western Cape
whose provincial Constitution allows for the additional appointment of up to two non-
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voting MECs from outside the Legislature). MECs are accountable to their Premiers.
Like ministers, MECs are responsible for departments. These provincial departments
deal only with those matters that provinces are allowed to control or those over
which they share control with national government (as per the Schedules contained
in the Constitution). Currently the following number of departments is registered per
province (www.info.gov.za June 2011):
Table 2.1: Departmental register per province
PROVINCE NUMBER OF DEPARTMENTS
Eastern Cape 13
Free State 11
Gauteng 11
KwaZulu-Natal (KZN) 14
Limpopo 11
Mpumalanga 12
Northern Cape 11
North West 11
Western Cape 13
Source: (www.info.gov.za)
The departments listed above are uneven per province and exclude the legislature
and royal households which are listed as departments by some provinces, like KZN.
It is also noticeable that the names of the departments at provincial level do not
match those at national level and in some cases more than one national department
is combined to constitute one provincial department, e.g. the Department of Housing
and Local Government in Gauteng represents the national departments of Human
Settlements and Cooperative Governance. Political leadership at provincial level is
provided by MECs.
2.4.3.1 MECs for COGTA
Similar parallels to those contained in Table 2.1 between the national and provincial
ministries responsible for CoGTAs. Although not all carry the same name they are
responsible for performing the functions associated with CoGTA at provincial level).
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The information, as provided under the provincial DCoGs in the next item also has
reference to the MECs for CoGTA.
2.4.3.2 Provincial DCoGs
Provincial departments responsible for cooperative governance are known by
different names and are also structured differently, see the comparison between
national and provincial DCoGs in Table 2.2.
Table 2.2: Comparison between national and provincial departments’ names
Province DCoG - name used at national level, versus at provincial level
Eastern Cape Local Government and Traditional Affairs
Free State Corporate (sic.) Governance, Traditional Affairs and Human Settlements
Gauteng Local Government and Housing
KwaZulu-Natal (KZN)
Local Government and Traditional Affairs
Limpopo Local Government and Housing
Mpumalanga Cooperative Governance and Traditional Affairs
Northern Cape Cooperative Governance, Human Settlements and Traditional Affairs
North West Local Government and Traditional Affairs
Western Cape Local Government
Source: (www.info.gov.za 2011)
It is very apparent that there is semantic nonalignment between various provinces to
national DCoG. As noted in chapter one, the question to ask may be whether the
semantic differences in the names between national DCoG and provincial
departments affect the support that provinces are providing to local government, i.e.
does this create a difference in understanding of the function required of it and thus
the capacity made available?
This non alignment is also apparent in terms of provincial support, capacity building
and training units (to implement the NCBF and promote cooperative governance)
and to address this the DCoG has put in place formal coordination structures
involving provincial coordinators and other stakeholders.
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With specific reference to the formal coordination structures of the NCBF, provincial
coordinators that are government officials (at senior and middle management level)
are tasked to coordinate, facilitate and monitor the provision of municipal support,
capacity building and training to local government. These provincial coordinators
represent municipal support and capacity building units; if one can call it that as they
differ in structure from one province to another.
DCoG was, however, asked to advise provinces on the design of a blueprint for
future provincial municipal support and capacity building units and will be doing so
after due consultation with the Department of Public Service and Administration
(DPSA). This will also address the concern by the provincial coordinators that they
do not have the necessary capacity to deliver on their mandate.
As discussed above provincial government has an obligation to support local
government (Section 154 of the Constitution), so ensuring that it achieves its
mandate. To complete the understanding of the three spheres of government,
following is a discussion on local government and its transformation since the first
democratic elections.
2.4.4 Local government
Van der Walt and Helmbold (1995:88) state that “Local government is autonomous
(with due regard to cooperative governance) and entitled to regulate matters relating
to local affairs itself. The powers, functions and structures of local government are
regulated by way of an Act”.
2.4.4.1 Local government in particular
Local government is regulated through Chapter 7 of the Constitution of 1996. The
following extracts from the Constitution aim to provide clarity on what is expected of
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this sphere of government:
Section 151 (1) states that “the local sphere of government consists of
municipalities, which must be established for the whole of the territory of the
Republic (that was referred to as wall-to-wall municipalities by the previous
Minister for CoGTA)”.
Section 151 (2) states, “the executive and legislative authority of a
municipality is vested in its Municipal Council”; (3) that, “A municipality has the
right to govern, on its own initiative, the local government affairs of its
community (thus the maxim of the CoGTA that local government is
everybody’s business), subject to national and provincial legislation, as
provided for in the Constitution” and (4) “National or a provincial government
may not compromise or impede a municipality’s ability or right to exercise its
powers or perform its functions”.
Section 152 (1) states that the objects of local government are –
“(a) to provide democratic and accountable government for local communities;
(b) to ensure the provision of services to communities in a sustainable manner;
(c) to promote social and economic development;
(d) to promote a safe and healthy environment; and
(e) to encourage the involvement of communities and community organisations
in the matters of local government”.
Section 152 (2) states that, “A municipality must strive, within its financial and
administrative capacity, to achieve the objects set out in subsection (1)”.
Section 153 instructs municipalities, “A municipality must –
(a) structure and manage its administration and budgeting and planning
processes to give priority to the basic needs of the community, and to
promote the social and economic development of the community; and
(b) participate in national and provincial development programmes”.
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Section 155 of the Constitution of 1996 states that municipalities can belong to
one of three categories: Metropolitan, district and local (referred to as
categories A, B and C). The Municipal Structures Act 117 of 1998 provides for
the national legislation called for in Section 155 (2) of the Constitution of 1996
to “define the different types of municipalities that may be established within
each category” and will also be dealt with in more detail in Chapter Five of this
thesis, on differentiation.
Of the 278 municipalities there are eight metropolitan (metros or category A)
municipalities. They represent large, densely urbanised regions that encompass
multiple cities and so constitute a metropolis (metro). Currently there are two metros
in the Eastern Cape; one in the Free State; three in Gauteng, one in KZN; one in the
Western Cape and none in Limpopo; Mpumalanga; Northern Cape and North West
(www.cogta.gov.za and Molinyane 2012:145). Msunduzi in KZN is an aspiring metro
but has not yet been granted metro status.
In areas which are primarily rural, the local government is divided into district and
local municipalities. District (or category C) municipalities are the main divisions of
South Africa's provinces and are subdivided into local (or category B) municipalities.
Local municipalities share authority with the district municipality under which they
fall. Of the 278 municipalities, 44 are currently district municipalities and thus 226 are
local municipalities (www.cogta.gov.za and Molinyane 2012:146). Furthermore, the
Minister through his provincial counterparts has identified 108 municipalities that are
to receive targeted focus, as part of the LGTAS. The aspect of vulnerability is what
informs the targeted focus and will be dealt with in more detail in Chapter Five of this
thesis.
In the 278 municipalities in South Africa there are approximately 221 666 municipal
employees, as at December 2011 (South African Local Government Bargaining
Council, SALGBC www.salgbc.org.za/index:1), excluding municipal entities’ staff
(Municipal Entities are dealt with in Chapter 8 of the Municipal Systems Act 32 of
2000). The salary bill is restricted in terms of National Treasury guidelines to 35% of
the operational budget (although municipalities only spend on average 29% of the
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operational budget on salaries according to National Treasury figures (LGSETA
2010:21).
Section 156 of the Constitution of 1996 indicates what the powers and functions of
municipalities are:
“(1) A municipality has executive authority in respect of, and has the right to
administer-
(a) the local government matters listed in Part B of Schedule 4 and Part B of
Schedule 5 (the list is annexed); and
(b) any other matter assigned to it by national or provincial legislation.
(2) A municipality may make and administer by-laws for the effective administration
of the matters which it has the right to administer”.
Sections 157-161 of the Constitution of 1996 explain the composition, election
and other matters related to municipal councils (www.thedplg.gov.za and
Molinyane 2012:150). The Municipal Structures Act 117 of 1998 indicates that
each municipality must have a municipal council and the types of councils are
contained in Sections 8, e.g. in terms of Category A municipalities they may
have the following types; to be determined by the Provincial legislation for each
category of municipality in that category, in the province (Section11), a
municipality with a:
“(a) collective executive system;
(b) collective executive system combined with a sub-council participatory
system;
(c) collective executive system combined with a ward participatory system;
(d) collective executive system combined with both a sub-council and a ward
participatory system;
(e) mayoral executive system;
(f) mayoral executive system combined with a sub-council participatory
system;
(g) mayoral executive system combined with a ward participatory system; and
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(h) mayoral executive system combined with both a sub-council and a ward
participatory system”.
It should also be noted that there are 10 055 council seats and the number of
councillors per council is determined in Section 20 of the Local Government:
Municipal Structures Act 117 of 1998. A municipal council in terms of the Municipal
Structures Act of 1998 Section 19(1) strives to achieve the objectives contained in
Section 152 of the Constitution of 1996 and 19(2) must annually review –
“(a) the needs of the community;
(b) its priorities to meet those needs;
(c) its processes for involving the community;
(d) its organisational and delivery mechanisms for meeting the needs of the
community; and
(e its overall performance in achieving the objectives referred to in
subsection
(1)”.
Section 19(3) of the Municipal Structures Act of 1998 states: “A municipal council
must develop mechanisms to consult the community and community organisations in
performing its functions and exercising its powers”.
The final layer of subdivision of electoral regions in South Africa is electoral wards
that local and metropolitan municipalities are subdivided into. There are currently
4 277 wards (www.thedplg.gov.za). The Municipal Structures Act of 1998 Chapter 4,
Part 4 speaks to this layer of government.
Another important aspect of governance that has a distinct linkage to local
government is Community Development Workers (CDWs) and Thusong Service
Centres. The DPSA and the Government Communication and Information Services,
respectively, are currently responsible for these governance structures in
consultation with DCoG. The structures play a critical role in bringing government to
the people (communities at municipal level). The CDWs and Ward Committees and
municipality on their part should form close alliances with traditional leaders.
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The transformation of the local government system since democracy in 1994 is
deliberated on below.
2.4.4.2 Overview of transformation in local government
The transformation of local government did not occur at the same time or through a
single process, but in three phases of reform, explains DCoG, in its ‘Evaluation of the
effectiveness of the macro-organisation of the State (DCoG 2011:13)’. These
phases, depicted below, were linked to the broader goals of democratising the State
but in each case pursued specific policy objectives that took many years to achieve;
and are not yet sustainable.
Figure 2.1: The phases of municipal transformation
Negotiations between statutory &
Non-statutory sides to form pre-interim
councils
Elections – Transitional Framework
Policy development culminating in
Local Government White Paper in March 1998
Testing of viability of transitional structures
New local government legislation
Passed on local government re-demarcated
Establishment phase: Inauguration of
New system of LG – Elections held in
Terms of legislation
Consolidation phase: full implementation
of developmental local government
systems and practices
Sustainability phase: further support to
Ensure continued stabilisation and
improvement in local government
1994
1995-6
1995-6
1998-9
1997-8
2000-2
2002-5
2005-10
PRE-INTERIMPHASE
INTERIMPHASE
FINALPHASE
Source: (Taken from DCoG (1) 2011:15)
The phases of local government’s transformation follow.
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2.4.4.3 Local government’s transformation: Phase 1
The first act that resulted from the Local Government Negotiating Forum discussions
was the Local Government Transition Act 209 of 1993 (LGTA). This legislation
outlined the process for the transformation of the local government system. It
sketched a long-term 3-phase plan for transforming local government from the more
than 1200 Apartheid local authorities to the current system of non-racial, democratic,
developmental local government (now 278 municipalities) (DCoG (1) 2011:15).
Local government before 1994 versus the new vision for local government post 1994
is captured in table 2.3 (DCoG (1) 2011:13-14).
Table 2.3: Local government during Apartheid compared to the new vision for
local government
Local government during Apartheid New vision for local government
1. Inconsistent structures of local government Consistent structures of local government throughout the country
2. Sub-organ of provincial and Bantustan Administrations
Sphere of government distinctive from, yet interdependent and inter-related with provincial and national governments
3. Racially divided local government structures Non-racial local government structures
4. Undemocratic local government structures:
Not representative of citizens
Did not consult
Illegitimate
National issues dominated local government elections
Local accountability not a priority.
Democratic local government structures:
Representative of all citizens
Duty to consult and involve communities
Legitimate
Distinctive sphere of government with national and provincial government having specific roles and responsibilities in relation to local government
5. Poor or non-existent municipal service delivery for the country’s population
Focus on service delivery to improve the lives of communities
6. System of local government finances assumed each municipality’s capacity to manage its own developmental challenges
New financial system combining own resources, right to equitable share of national collected revenue and grants
Source: (DCoG (1) 2011:15)
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2.4.4.4 Local government’s transformation: Phase 2 (Interim Phase)
Commencing with the 1995 elections, the interim phase of local government’s
transformation coincided with the adoption of the interim and final constitutions of
1996, which established the policy and institutional framework for developmental
local government. During this phase the first policy and legislation to establish
democratically elected local government throughout the country was introduced, the
White Paper on Local Government of 1998 also aimed to find sustainable ways to
meet communities’ social, economic and material needs and improve the quality of
their lives (DCoG (1) 2011:16-17).
In the interim phase, three important developments shaped the transformation of
local government:
a. First, the form and structure of the new system of democratically elected
transitional councils was tested in practice. The new structures included:
i. New Transitional Metropolitan and Metropolitan Local Councils in six of the
largest metropolitan regions in the country (commonly referred to as
Metros).
ii. Transitional Local Councils covering new integrated urban areas in the
larger cities and smaller towns.
iii. Transitional Representative Councils and Transitional Rural Councils with
limited powers in most rural areas (excluding Kwa-Zulu Natal and parts of
the North West). These structures were required to represent the
development needs and interests of rural residents on the District Councils.
iv. District Councils were now more democratically elected and given new
powers and functions by provincial proclamation, covering all parts of the
country. These democratically elected transitional councils governed whilst
the final framework for local government was being defined in terms of –
the final Constitution;
a new policy framework;
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the re-demarcation of municipal boundaries; and
new local government legislation.
b. The second major development was the design of a new policy framework for
local government. This policy process was initiated by the Constitution of 1996
which redefined local government as a sphere of government. This mandate was
more clearly defined in the White Paper on Local Government of 1998, published
in March 1998 after more than a year of research and consultation on the
purpose and structure of South African local government.
c. The third development was the development of new laws to implement the Local
Government White Paper of 1998, and the re-demarcation of local government
boundaries, to prepare for the second local government elections to be held in
terms of this legislation. Most notably, the Municipal Structures Act of 1998 and
the Local Government: Municipal Systems Act 32 of 2000 (MSA) defined new
institutional arrangements and new administrative systems to constitute
developmental local government. The MDB reasoned that developmental local
government could not be realised within the irrational and fragmented
boundaries drawn for the previous local government elections, and rationalised
843 municipalities into 284 (now 278) more functional and viable jurisdictions
(DCoG (1) 2011:17-18).
After nearly a decade of debate, negotiation and planning, the first two phases finally
culminated in the achievement of the first democratic local government elections,
held on 5th December 2000, as indicated in Table 2.4 on the next page.
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Table 2.4: Key levers of the transformation process (1995-2000)
Date Political environment and local democracy
Infrastructure and service delivery
Institutional transformation
Policy and legislation
1995 – 2000 The interim phase
1. Negotiations 2. 1995 Local
government elections - 843 new local authorities.
3. New laws to implement the Local Government White Paper of 1998, and the re-demarcation of local government boundaries.
4. The first democratic elections under the new system on 5 December 2000. These concluded the transitional nature of municipal councils elected in the 1995 / 1996 elections.
Still poor or non-existent municipal service delivery for the majority of the country’s population.
1. Democratically elected Transitional Councils
2. The new structures included:
a. New Transitional Metropolitan and Metropolitan Local Councils in six of the largest metropolitan regions in the country;
b. Transitional Local Councils covering new integrated urban areas in the larger
c. cities and smaller towns;
d. Transitional
Representative Councils and Transitional Rural Councils with limited powers in most rural areas.
e. District Councils, now more democratically elected and given new powers and functions by provincial proclamation, covering all parts of the country.
3. The process to amalgamate municipalities eliminated the old Apartheid boundaries and assisted the process of transition.
1. New policy framework for local government initiated by the Constitution.
2. 3. The Constitution of 1996 gave
local government a new developmental mandate.
4. 5. The White Paper on Local
Government (March 1998) put forward a vision of developmental local government.
6. 7. The MDB rationalised 843
municipalities into 284 more functional and viable jurisdictions than before. Legislation adopted pertaining to local government:
1. Constitution of 1996. 2. Electoral Commission Act 51 of
1996. 3. 4. Organised Local Government
Act 52 of 1997. 5. 6. Independent Commission for the
Remuneration of Public Office Bearers Act 92 of 1997.
7. 8. Public Funding of Represented
Political Parties Act 103 of 1997. 9. 10. Municipal Structures Act of
1998; 11. 12. Local Government: Municipal
Demarcation Act 27 of 1998, established the MDB.
13. 14. Transfer of Staff to
Municipalities Act 17 of 1998. 15. Local Government: Municipal
Systems Act 32 of 2000. 16. 17. Local Government Municipal
Electoral Act 27 of 2000. 18. 19. Redetermination of the
Boundaries of Cross Boundary Municipalities Act 69 of 2000.
Source: (DCoG (1) 2011:18-19)
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2.4.4.5 Local government’s transformation: Phase 3 (Final Phase)
In December 2000 the new system of local government, consisting then of 284 (now
278) democratically elected municipalities, came into being. It was acknowledged
that for the first two years after the 2000 elections the establishment of new local
government structures and systems would be characterised by a high degree of
reliance on the support from the other two spheres, followed by a period of
consolidation when local government would begin to take on its mandate in full.
Although the three-sub phased approach to local government transformation since
2000 (establishment, consolidation, sustainability) was conceptually sound, meeting
the predetermined milestones was much more complex than was initially foreseen.
Specific challenges included establishing some municipalities from a zero base;
amalgamating previously segregated municipalities; standardising institutional
systems in terms of the new policy and regulatory regime as required by the White
Paper of 1998, and promulgating relevant legislation. Such constraints make the
advances in social cohesion, civil and political equality and access to services
achieved to date in municipal areas, in less than ten years, all the more remarkable
(DCoG (1) 2011:20).
What has also continued to be satisfactory was voter turnout in local government
elections although well below turnout rates were expected for national elections.
However, the lower voter turnout for local elections is not unusual by international
standards, and comparable with turnout in many developed countries (DCoG
2011:20).
An important indicator of local government transformation is the representation of
women in government and it is a cornerstone of the Bill of Rights and government
policy. It is clear that important progress has been made on the representation of
women in municipal councils. As can be seen from Table 2.5, women now constitute
33% of ward councillors and 43% of PR councillors.
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Table 2.5: National representation of women at the local government level
Year PR List Ward Overall
1995 / 6 28% 11% 18.5%
2000 38% 17% 28.2%
2006 42% 37% 40%
2011 43% 33% 38%
Source: (Gender Links 2011 in DCoG (1) 2011:20-21)
Thus, the first term of local government (2000 – 2005) would be a period of
experiment, testing and supporting municipalities to settle into their new mandates.
To accommodate this reality, the final phase was divided into three sub-phases –
establishment (2001), consolidation (2002 – 2005) and sustainability (2005
onwards), the purpose of which was to coordinate and focus state support for the
new sphere of government. The three-sub phased approach is referred to in the
NCBF as the Transformation Continuum and is depicted in Table 2.6.
Table 2.6: Key levers of the transformation process (2001-2005)
Date Political environment
and local democracy
Infrastructure and
service delivery
Institutional transformation
Policy and legislation
2001 – 2005 Final Phase
1. First two years post 2000 elections:
establishment of new local structures and systems, followed by a period of consolidation.
2. The local government
1. Wide range of approaches to transforming municipal service delivery systems proposed in the White Paper.
2. Development of a regulatory
1. Orientation to developmental outcomes.
2. Administrative systems to assist municipalities in developmental approach include:
Integrated Development Planning.
Performance measurement
1. New vision for local government places emphasis on structures for citizen participation.
2. Citizen participation is built into the basic structure of municipal government to provide a platform for communities to influence local government, and to call elected officials to account.
3. Intergovernmental Relations Framework to establish a framework to promote and facilitate intergovernmental relations. Legislation adopted pertaining to local government:
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Source: (DCoG (1) 2011:21-22)
The first NCBF was published in 2004 and re-launched in 2008, to include PC and
the Local Government Strategic Agenda. It provided important guidelines and broad
strategic directions for capacity building aimed at municipalities in South Africa. In
the dynamic period since its publication and re-launch there have however been
developments/progress made in strengthening municipalities to deliver South
Africa’s developmental priorities, lessons learnt and challenges remaining that need
redress. The imperative for support, capacity-building and training coordination is
further emphasised through the LGTAS developed during 2009. Later, it was also
strengthened by the inclusion of the requirement to improve coordination for capacity
building initiatives in the local government sphere; indicated in Output 7 of Outcome
9 of the Minister’s Delivery Agreement (NCBF: 2012 to 2016:4).
In view of the fact that local government is not yet sustainable, work still continues to
achieve this goal, such as the Green Paper on Cooperative Governance, the
political landscape dominated by government’s initiatives to strengthen policy frameworks.
framework for municipal public-private partnerships.
and management.
Development of structures and systems to enable the active involvement of citizens and communities in the affairs of municipalities.
3. Introduction of municipal accountability via systems and processes.
1. Constitutional amendments to
make provision for:
municipal borrowing powers
financial matters
floor-crossing
regulation of provincial interventions
re-determination of the areas of the nine provinces
2. Amendments to the Municipal Structures Act of 1998 to regulate the effect of a change in the type of municipality.
3. Amendments to the MSA of 2000 to complement the MFMA 56 of 2003.
4. Amendments to the MFMA 56 of 2003, to establish treasury norms and standards.
5. Local Government: Municipal Property Rates Act 6 of 2004.
6. Re-determination of the Boundaries of Cross-boundary Municipalities Act 69 of 2000.
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Monitoring and Interventions Bill, Meta-Framework on Differentiation, the Municipal
Infrastructure Support Agency (MISA) and the revision of the local government
model. In summary, national government provides policy and oversight (this chapter
of the thesis has not reflected on what each sector department contributes to local
government), provinces support and monitor progress made by local government
that implements the policy and is the direct link to the community.
However, other than the three spheres of government mention must also be made of
other state institutions that play an important role in the South African government
system.
2.4.5 Other state institutions
Chapter 9 of the Constitution of 1996 contains the establishment and governing
principles of other state institutions. The aim with the following state institutions is to
strengthen constitutional democracy in the Republic:
The Public Protector.
The South African Human Rights Commission.
The Commission for the Promotion and Protection of the Rights of Cultural,
Religious and Linguistic Communities.
The Commission for Gender Equality.
The Auditor-General.
The Electoral Commission.
Further information of these other state institutions, in terms of Chapter 9 of the
Constitution of 1996:
“These institutions are independent, and subject only to the Constitution of
1996 and the law, and they must be impartial and must exercise their powers
and perform their functions without fear, favour or prejudice.
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Other organs of state, through legislative and other measures, must assist
and protect these institutions to ensure the independence, impartiality, dignity
and effectiveness of these institutions.
No person or organ of state may interfere with the functioning of these
institutions.
These institutions are accountable to the National Assembly, and must report
on their activities and the performance of their functions to the National
Assembly at least once a year”.
Similarly, as the system of cooperative government was developed in
acknowledgement of the diversity of the needs and concerns of the population of
South Africa, so in Chapter 12 of the Constitution of 1996, the right of communities
living under traditional law and custom was established to influence the way in which
the country is run. Houses of Traditional Leaders have been established at a national
level and in some provinces to carry out an advisory role in government. There are
Provincial Houses of Traditional Leaders (PHTL) in six provinces: Eastern Cape,
Free State, Kwa-Zulu Natal, Limpopo, Mpumalanga and North West. Each provincial
house nominates three members to the NHTL which elects its own office-bearers.
The NHTL advises the national government on the role of traditional leaders and
customary law. It may also conduct its own investigations and advise the President
(www.southafrica.info 2012:1).
Now that an understanding has been created about South Africa as a democratic
developmental state; the South African government system and how it is structured,
with specific focus on DCoG and the Ministry for CoGTA including its provincial
counterparts, it is necessary to discuss the policy process that influences
government’s operations.
2.5 The policy process
Craythorne (1990:58) states that “No public body can operate without one or more
policies”. He then turns to the definition of policy and quotes from the Concise Oxford
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Dictionary that defines ‘policy’, inter alia, as: “prudent conduct, sagacity; course of
action adopted by government, party, etc.” and the New Collins Concise English
Dictionary (2012) defines ‘policy’, inter alia, as: “a plan of action adopted or pursued
by an individual government, party, business, etc.; wisdom, shrewdness”. Based on
the two definitions he states that “one thing that emerges is that the term ‘policy’
does not just mean an intended plan of action; it also has a strong element of
wisdom, and this can only mean that before policy is adopted, there must be careful
thought and investigation before there can be action” (Craythorne 1990:58).
Craythorne then also refers to Cloete (in Craythorne 1990:59) who defines public
policy in the context of setting objectives which are made public, and which indicate
what is intended, how the objectives are to be achieved, who will take action, what
resources will be used, and where and when action will be taken. Craythorne
(1990:59) argues that it follows that policies are concerned with future events arising
from or based on events in the present or past. He further states that “it also follows
that before a policy can be adopted, there must be a recognised issue; that issue
must be considered or investigated; a decision must be taken, and that decision
must be translated into action”. The word issue he indicates has been used in
preference to the word need the reason being that there has been a tendency to
equate the provision of services with a need for those services whereas a community
may face other challenges. The word issue therefore has a wider meaning and
encompasses both the governing and representative functions of local government
from his perspective. The following section describes the phases in the policy
process.
2.5.1 Phases in the policy process
Cloete (2010:1) indicates that the policy process has several phases, these are:
Policy initiation
Policy design
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Policy analysis
Policy formulation
Policy dialogue and advocacy
Policy implementation
Policy evaluation
He explains the terminology and actions associated with each phase of the policy
process, as follows (Cloete 2010:1-24):
2.5.1.1 Policy initiation
During the policy initiation phase policy can be seen as an interpretation of the
values of society and is usually followed by pertinent project and programme
management actions (Cloete 2010:1). These actions are: policy agenda setting; a
process within this phase that refers to a deliberate planning process through which
policy issues are identified, problems defined and prioritised, support mobilised and
decision-makers lobbied to take appropriate action (Cloete 2010:6 and Malan 2005).
Policy agenda setting according to Cloete (2010:7-8):
Is both a procedural and substantive matter.
Refers to both formal and informal methods and procedures of gaining
access to and influencing policy processes and substance in government.
In the narrow sense, is preceded by problem identification and the ability to
articulate those problems before they reach the agenda stage; suggesting
that not all problems reach the agenda setting stage and that there is a pre-
screening. Once a policy issue has been identified as of sufficient interest or
significance to justify policy attention, it forms the focus for further clarification
formulation and structuring, before the importance of acting on it by the policy
system is conveyed to policy makers.
Can therefore also be defined in a wider sense as a deliberate planning and
action process through which policy issues and problems are defined and
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prioritised, support mobilised and decision-makers lobbied to take appropriate
action. The difference between policy issues, - problems and - definition are
(Cloete 2010:7-8):
Policy issues are conflicts or disagreements about the nature and origin of
policy problems and consequently there is a difference in approach to
problem solving.
Policy problems on the other hand, are those needs and non-use of
opportunities that may be constructively addressed through identified public
action, and that have a detrimental effect on at least one segment of society.
Problem definition implies that causal linkages must be established between
policy issues that cause problems detrimental to certain causes and
stakeholders and that need to be addressed through deliberate public policy
interventions at the appropriate level by the most appropriate policy agent. A
second important aspect of problem definition is the way in which the policy
problem has been structured (e.g. as need, opportunity, challenge or threat).
The problem structuring approach will have a significant influence on the
contents and processes of policy programmes designed to deal with such a
problem.
Is a crucial phase in public policymaking for two main reasons, it determines:
How stakeholders influence the policy agenda.
Who influences or controls the policy making process.
Policy initiation is followed by policy design but as will be noted this may not
necessarily be a linear process.
2.5.1.2 Policy design
Cloete (2010:12) indicates that for the purpose of policy design, goals express broad
purposes while objectives set forth specific aims. Goals are rarely expressed in the
form of operational identifications – that is, definitions which specify the set of
operations necessary to measure something. In other words while goals are not
quantifiable, objectives may be and often are measurable in quantifiable terms.
Where statements of objectives could be linked to a period of time in which policy
alternatives are expected to achieve desired consequences, statements of goals do
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not. For the policy analyst to be able to develop a hierarchy of goals and objectives,
in practice it implies that some effort should be made to prioritise goals. To be able to
determine such priorities attention should be paid to the other aspects of priority
setting, namely, the (Cloete 2010:12):
selection of criteria for determining priorities;
dimension of choice in which the priorities are expressed;
type of resources in which allocations are denominated;
mechanism by which priorities are actually implemented; and
identification of alternative policy programmes and strategies, to attempt to
achieve the stated policy goals and objectives.
This is thus the option generation and comparison stage and logically leads to policy
ranking, preferences and choices that culminate in specific policy decisions. Options
generation can be facilitated by the application of one or more approaches like
instinctive, garbage can, incremental, rational or a combination of such policy
consideration models (Cloete 2010:12 and Malan 2005).
Policy design on its part is followed by policy analysis - as already stated this may
not be a linear process.
2.5.1.3 Policy analysis
Cloete (2010:1) states that policy analysis can be defined as a systematic analysis of
the different dimensions and variables influencing public policy. Policy analysis is an
indispensable part of policy management (Cloete 2010:1). The objective of policy
analysis is to find the best policy option available which implies a best alternative
(Cloete 2010:13). Where goals and objectives are concerned with statements of a
desired future, alternatives imply statements of an expected future, or various
alternative futures. Determining the most probable future can be called forecasting.
The specific roles that forecasting can play in improving the quality of decisions, are
as follows, forecasts (Cloete 2010:13) –
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identify limits to achievements;
establish rates of progress, so that timeous planning can be done to take full
advantage of such rates;
describe alternatives that are open for choice;
indicate possibilities that might be achieved if desired;
provide a reference standard for a plan (in other words, plans can be
compared with the forecast at any given time to determine whether it can be
fulfilled or, for any reason, has to change); and
furnish warning signals which can alert the decision maker that it will not be
possible to continue present activities.
Once the most realistic policy options have been identified, they must be compared
and assessed in terms of the most appropriate criteria relevant to the policy
objectives that are pursued. These criteria normally include the relative political,
economic, financial, social, cultural, environmental, technological, costs, benefits and
risks. The technique of cost-benefit / effectiveness / utility analysis is normally a very
useful technique to assist policy analysis (Cloete 2010:14).
Policy analysis leads to policy formulation (and is not necessarily a linear process, as
already mentioned).
2.5.1.4 Policy formulation
In the case of the NCBF, this entailed the actual writing up of the policy; and in view
of the fact that there had been a policy in place it implied that the existing policy
would be used as basis to determine what needed to be improved or reviewed to
address challenges and aligned to current related policy positions (the outcome from
the phases already discussed influence the outcome of this phase). This process is
also aligned with the next (policy dialogue and advocacy).
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2.5.1.5 Policy dialogue and advocacy
An integral part of the policy formulation is policy dialogue and advocacy. This
ensures the involvement and inputs from all stakeholders active in local government
at a political and administrative level so that once the policy is approved for
implementation its contents have been comprehensively deliberated on and agreed
to. Once a policy has been approved, implementation can commence (however,
sometimes implementation had already been embarked on to improve processes
and approval obtained for changes only, as was the case with the NCBF).
2.5.1.6 Policy implementation
Cloete (2010:17) states that policy implementation means to carry out, accomplish,
fulfil, produce or complete a task. Policy formulation and policy implementation are
inevitably the result of interactions among a plurality of separate actors with separate
interests, goals and strategies. Not only is implementation influenced by multiple
actors, it operates at multiple levels. The following variables emerge (in the
implementation process) which are important causal factors (Cloete 2010:17-18):
Divergent perspectives (top-down or bottom-up).
Working on differing issues (environment, education).
Working in different political systems (federal, unitary).
In countries at various levels of economic development (industrialised or
developing).
Each variable is linked to and influenced by the other to varying degrees, depending
on the specific implementation situation (Cloete 2010:18). Once a policy is
implemented one enters into the policy evaluation phase to prepare for a possible
policy review or complete change to policy (depending on the findings). In the case
of the NCBF, the policy is reviewed (evaluated and reformulated) every five years; to
align with local government election periods.
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2.5.1.7 Policy evaluation
Cloete (2010:23) argues that systematic policy planning, design and implementation
for the purpose of improving the quality of policy outputs and outcomes will be to no
avail if one is unable to assess whether one has hit the intended target or not.
Assessment or evaluation is needed in order to decide whether to continue with a
policy project or programme or to curtail, terminate, or expand it. Policy evaluation or
assessment is a hybrid between applied social science research and practical policy
planning. Policy evaluation or assessment is normally undertaken for one or more of
the following reasons (Cloete 2010:24):
To measure progress towards the achievement of policy objectives.
To learn lessons from the project or programme for future policy review,
redesign or implementation of strategies.
To test the feasibility of an assumption, principle, model, theory, proposal or
strategy.
To provide political or financial accountability.
To advocate for a better cause.
For public relations purposes.
Different types of evaluation can be undertaken and can be distinguished according
to different criteria. The criteria include the stage of the policy process linked to the
focus of the exercise, the time frame of the project or programme and the scope of
the evaluation. Evaluation entails determining, measuring and assessing changes
which occur in specific target groups, regions and sectors. In order to measure
change, you need both a start and an end point. Evaluation thus requires data both
about the status quo and at the cut-off point (the evaluation period). Observable
impacts can be measured and assessed directly through the application of various
quantitative and qualitative analytical techniques (Cloete 2010:24).
Lastly, Cloete (2010:1) informs that the phrase policy management is a deliberate
way of dealing with the policy issues and the process, from start to finish (which is
usually a continuous process to address the targeted issues or changes).
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To ensure that the policy process is sustainable it is necessary to adopt an
integrated approach to policy making within which the phases already discussed still
exist but appear to be more intertwined.
2.5.1.8 Integrated policy making
Fritzen, Howlett, Ramesh and Xun (2009:3) state that “Most of the problems facing
the world today – from financial crises to climate change – result directly from human
activities...conditioned...not only by norms and habits, but also to a significant extent
by public policies – rules, regulations, interest rates, taxes, subsidies, etc.” It is
argued that “an integrated approach to policymaking will assist policymakers to avoid
solving one problem while creating another. Integrated policy making, is said, to also
“contribute to a society’s multiple objectives – including social, economic and
environmental” matters. Sustainability must thus be an integral part of the
policymaking process. According to Fritzen et al. (2009:11) integrated policymaking:
Locks sustainable development into a policy process from the beginning,
before a policy issue is even brought onto the government agenda and
certainly before any policy proposal is put on the table.
Internalises sustainability-oriented assessment without identifying it
separately so as to make the assessment a natural and integral component of
the policy process.
Integrated policymaking is important for at least three reasons (Fritzen et al.
2009:11):
“A policy that addresses one issue can affect other issues which may not be
less important.
Synergies among different issues exist and a policy intervention can be
designed to achieve multiple benefits.
Successful implementation of a policy relies on the support from a range of
stakeholders who may have diverse values and interests that need to be
harmonised”.
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In the integrated policymaking for sustainable development policy cycle, policy
analysis is a separate stage and is regarded as a continuum throughout the whole
policy process. Integrated policymaking focuses on three levels of integration
according to Fritzen et al. (2009:13), it:
Considers significant economic, social and environmental implications and
interactions associated with a policy problem and its potential solutions. The
focus is on enhancing complementarities.
Factors economic, social and environmental considerations into the
continuous policy cycle, especially at early stages. Policymaking whether
segmented or integrated can be disaggregated into stages and sub-stages
which make up the policy cycle: agenda setting; policy formulation; decision
making; implementation and evaluation (analysis and an integration filter is
applied at each stage).
Addresses policy constraints in terms of:
o Political support.
o Administrative capacity.
o Analytical capacity.
There are, however, also other factors that influence policy making in government,
as alluded to below.
2.5.2 Factors influencing policy making
Cloete (in Craythorne 1990:59) states that a policy needs to be adapted as
circumstances change. The factors that influence policy-making are circumstances
(the total environment of time and place), public need, party-political policies, the
activities and representation of interest groups, the personal views of political office-
bearers and research and investigations by public officials, as well as their views and
expectations. The following factors that influence policy are highlighted in more detail
in this thesis:
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Politics and policy.
The political-administrative interface and policy making.
Public administration, - management, governance and policy.
Trade Unions, politics and policy.
Public participation and policy.
2.5.2.1 Politics and policy
What is the role of politics and the politician? Auriacombe (2001:11) states that
“there are different definitions of the concept ‘politics’...it can refer to the exercise of
power, the exercise of authority, the taking of joint decisions, the allocation of scarce
resources or the practice of deception and manipulation, however, most views
indicate that politics refers to all the actions in the State that have an effect on
government decision making”. According to Nnoli (1986:2-7 in Auriacombe 2001:11-
12) the essence of politics - the art of the possible - includes:
That it is practiced by actors, i.e. politicians, political parties and influential
groups, such as organised labour and trade.
The actors act in a particular ‘environment’ with specific features. These
features or characteristics include, amongst others, the physical and
psychological given or context in which they act.
The actors formulate specific goals. These goals must provide for the needs
of the polity.
Auriacombe (2001:12) indicates that an objective can only be achieved or a public
policy implemented if the actors have the necessary abilities (and are not hampered
in doing so). The following are among the qualities that determine an actor’s abilities:
Economic ability (financial sources), social ability (mass support), a structural and
organisational ability (group structures and activities), leadership ability and
legislative ability.
In South Africa an ‘actor’ that we refer to as a politician may be a member of one of
seven major political parties (all active in municipal councils): The ANC, African
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People’s Convention (APC), Azanian People’s Organisation (AZAPO), Congress of
the People (COPE), Democratic Alliance (DA), Inkatha Freedom Party (IFP) and
United Democratic Movement (UDM). A survey on the party manifestos and stg
elections 2011, revealed the main themes in those of the ANC, COPE, DA and UDM
to be –
a) Local Economic Development (LED);
b) improving access to municipal service delivery;
c) community safety;
d) community participation and involvement;
e) curbing corruption; and
f) strengthening local governance (as compiled by Ntliziywana and Bosire
2011:8).
Politicians besides determining policy must also think of effective implementation of
policy aimed at achieving essential goals. The politician must devise programmes for
the achievement of these objectives. As a result of this considerably more matters
are becoming politically sensitive. Every transaction involved in implementing a
programme is currently a momentous political matter these days (Auriacombe
2001:166).
In practice currently, at “municipal level, a mutually destructive relationship is
emerging between politicians; who some occupy administrative municipal posts, and
members of political Regional Executive Committees. The power struggle within one
party is thus being translated into municipalities and serves to undermine good
governance and service delivery in municipalities. But also, power struggles within
municipalities get transferred to party structures and serve to weaken the party...it is
not for the party structures to micro-manage councillors – especially as this has
sometimes less to do with ensuring that councillors perform effectively and more to
do with influencing tenders and narrowly interfering in appointment of managers and
staff...This needs to be fully discussed within the ranks of the ANC and Alliance and
a policy framework needs to be developed that clearly defines the relationship
between the ANC structures and municipal structures”, argues Deputy Minister
Yunus Carrim (2009:6).
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Within municipal structures politicians are in a relationship with and are supported by
the Municipal Manager and his / her officials who also influence policy making.
2.5.2.2 The political-administrative interface and policy making
The political-administrative interface is a phrase coined to refer to the relationship
between (interface) councillors (political) and municipal officials (administrative)
within the local government system.
Auriacombe (2001:xiii-xv) explains that “there is a relation between politics and
administration. The actors, institutions and processes in the political and
administrative system continually interact with each other. The relation between the
political and administrative institutions in a Western democracy is difficult, in
principle. It is precisely the idea of a politically independent government service, and
especially the relation between the political heads and the top officials in a
government department, that is complex and frequently rouses controversy. The
ministers and top officials each have their own occupation and professional
tendencies. In many cases they also derive their power and authority from different
statutory sources. The fact that governments change but the administration stays
may be a cliché but it is nonetheless true. In countries where there has been no
constitutional stability not only governments but regimes... (leave) while the
administration goes on. The government and administration do not shape every
aspect of our public life, but, as individuals, we are subject to them every day. Their
rules constitute the framework of what we may or may not do and we constantly
make use of their services – schools, hospitals, roads – the list is endless. We are
dependent on them for licences, permits, allowances, subsidies and other benefits,
which they can dispense or hold back and we are continually paying for all these
things by means of various taxes”.
Auriacombe (2001:124) also argues that: “Political bureaucracy implies that
politicians make policy which is administered by civil servants; that politicians make
choices while civil servants offer choices...(and that) It would be more accurate to
say that state officials are just as involved in politics as politicians themselves, only in
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different ways”. State officials at higher levels work silently behind the scenes, for
example, they also negotiate with relevant interest groups. Elected politicians,
however, have to visibly promote themselves and their party’s image with the
general populace. But there is no doubt that both have political tasks in the sense
that they shape collective decisions”.
At local government level, the Municipal Structures Act of 1998 provides for a Code
of Conduct for Councillors and, amongst others, it states that: “Councillors must
recognise the importance of implementing policy. They need to be fully informed
about national and provincial plans so that effective and sustainable development,
poverty alleviation and economic growth are translated into commitments in
municipal spaces”.
According to the President (Jacob Zuma), “the blurred political and administrative
roles have hampered service delivery at the local level” (in Ayaele 2010:11) while the
Deputy Minister for CoGTA, Yunus Carrim, (2009:5) states that “uncertainty in the
roles of the various municipal organs is common and widespread, in particular
between politicians and managers...It appears that in far too many cases the
problem is caused by political interference in the appointment or suspension of
municipal managers...There are clearly problems at the political-administrative
interface...We intend to amend the Municipal Systems Act 32 of 2000 (to address
some of these matters)”. The DCoG has amended the Act accordingly, as referred to
here by the Deputy Minister, and are drafting regulations to strengthen the
amendments contained in the Act. However, only time will tell; through monitoring
compliance, whether the amendments are being implemented and whether the
amendments were the solution to some of the political-administrative interface
challenges identified.
The Presidency’s NDP (The National Development Plan 2011:366-371) proposes
the following options to stabilise the political–administrative interface, a:
Head of Public Service (to deal with operational matters).
Strengthened PSC (to build an experienced leadership cadre).
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Hybrid between the two points above (to address policy matters that ministers
are responsible for).
Purely administrative approach to lower-level appointments with senior
officials given full authority to appoint staff in their departments.
Just as politically elected officials represent very specific political (policy) interests so
too appointed administrative officials influence policy from their perspectives on
matters, e.g. if they are not fully informed to provide advice or are subjective in the
advice they may negatively influence the policy options they propose. Administrative
officials operate within an administration that should have the appropriate
governance mechanisms in place and be managed effectively.
2.5.2.3 Public administration, - management, - governance and policy
Cheema (2005:2) states that “Public administration is an essential link between
citizens and governments. Over the past 50 years, its practice and conceptual terrain
have undergone four phases, namely, traditional public administration, public
management, new public management, and, most recently, governance. Each phase
reflected the changes in its internal and external environment”.
Public administration as a democratic institution must be built on structures and
processes that are accountable, transparent, decentralised, able to manage
legitimate elections and the administration of justice, and operate under the oversight
of the parliament. Furthermore, it should combat exclusion, protect public goods,
actively engage civil society and the private sector, use the power of Information and
Communication Technology (ICT) to promote e-participation, and strengthen
partnerships among sectors, groups, and levels of government. Revitalizing public
administration for people-centered development would require reform efforts that
incorporate these characteristics (UJ Internal Handbook 2010:45).
Rabie (2011:193-194) explains that “trends in the management of a state create the
milieu within which the (economic) development of a country takes place. One such
trend focuses on the management of public organisations. In analysing public
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management theory and practice, the management of public organisations has
progressed from public administration, to public management, to managing the
‘developmental state’, to a contemporary focus on public governance...Public
administration is characterised by procedures and processes in a bureaucratic
system that promoted standardisation and efficiency. However, within the fast
changing environment of the 21st century, bureaucratic systems have become less
effective vehicles for managing development(al) needs. Some general critique that
may be made against bureaucracies include slow adaptation to changing needs and
political will; large, expensive and, at times, inefficient staff components; and an
inability to cope readily with exceptions”.
New Public Management (NPM) intensified the focus on financial effectiveness and
efficiency of public institutions, reforming the civil service through reductions and
restructuring and increasing the focus on performance measurement and results
(Barzelay 2001:3 in Rabie 2011:194). Kettl (in Frederickson and Smith 2003:215 in
Rabie 2011:193) describes the core principles of NPM as:
Increased productivity to do more with less.
Leveraging market mechanisms to overcome problems with traditional
bureaucracy.
Increased service orientation connecting the State to customers.
Decentralisation of decision-making powers to lower state levels.
Improved government capacity to create, implement and administer policy.
Increased accountability of government for promises made.
The governance state does not only use market-based management and private
sector management techniques, but increasingly relies on private and non-
government sector partnerships to deliver services and to downsize the
administration and decentralise government service delivery (Frederickson and
Smith 2003:208 in Rabie 2011:199). Frederickson and Smith (2003:208 in Rabie
2011:199) further state that governance reform does not only change the nature of
government, leaving the administrative state “less bureaucratic, less hierarchical and
less reliant on central authority to mandate action”, but also questions the underlying
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division of powers and responsibilities between the State, subordinate government
spheres, citizens and the private sector. The concept ‘public’ needs to be redefined
to include an ever expanding variety of institutions and organisations traditionally
outside the realm of government. The governance reform shares many
characteristics of former government reforms such as NPM (Peters and Pierre in
Frederickson and Smith 2003:217 in Rabie 2011:199-200).
The next group of ‘actors’ that is discussed and influence policy, are trade unions
that also have links to politics.
2.5.2.4 Trade unions, politics and policy
Trade unions are essentially organisations that are formed by workers in the
workplace to advance their collective interests (Webster et al. 2003 in
www.opPapers.com 2011:1). The basis of trade unions is to regulate the inequality
of power relations in the workplace amongst employers and employees. The
sociological role of trade unions according to Webster is to regulate workplace
relations in a manner that is beneficial to its members. Webster goes on to say that
regulating workplace struggles does not take the defensive dimension only but it also
takes a radical one (Webster et al. 2003 www.opPapers.com 2011:1). A radical
change seeks to change the balance of power in favour of the workers. The radical
change also highlights that a further role of trade unions is in politics or political
movements.
The position taken by a union thus influences the policy environment in which it
operates. According to the 2001/02 South Africa Yearbook, there were about 17
trade union federations at the end of 2000. There are, however, three prominent
trade union federations with affiliates operating in the different sectors of the
economy. These are the Congress of South African Trade Unions (COSATU), the
Federation of Unions of South Africa (FEDUSA), and the National Council of Trade
Unions (NACTU) (www.southafrica.info 2011:1).
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Although the three federations and their respective affiliates compete for
membership they cooperate in forums such as the National Economic Development
and Labour Council (NEDLAC). They have also embarked on joint campaigns,
including demonstrations against amendments to the Labour Relations Act 66 of
1995 (www.southafrica.info 2011:1).
COSATU, one of the three federations, became part of the triple alliance with the
ANC and the SACP when they were unbanned in 1990, informs Johnson
(www.africa.fnst-freiheit.org:1). In practice, the South African Communist Party
(SACP) soon recruited not only the COSATU leadership but the general secretaries
of most of the constituent unions, so that today COSATU occupies a position vis-a-
vis the SACP; very much like that historically occupied by the French and Italian(s)
towards their local Communist Parties. This has had a variety of results. On the one
hand COSATU benefits from government patronage and many of its activists have
been upwardly socially mobile through the ANC, becoming Members of Parliament
(MPs) and even Ministers. In addition, the biggest single union, the National Union
of Mineworkers (NUM) has provided the ANC with its last three general secretaries,
all of them Communists; at least at the time of their election. However, in power
COSATU found itself increasingly frustrated by the ANC's assumption that it alone
ruled and pressed, unsuccessfully, for a more equal alliance – which would
effectively give the SACP a two-thirds vote – and a more left wing economic policy.
COSATU's key bargaining card is that it has 1.8 million members and is by far the
largest active organisation within the alliance. This means that it often provides the
ANC with most of its organisational muscle at election time.
Johnson (www.africa.fnst-freiheit.org:2) goes on to explain that such considerations
led COSATU to support Jacob Zuma in his struggle against Thabo Mbeki and
Zuma's victory was very much theirs. They then confidently expected Zuma to make
a sharp leftward turn upon his election as President – which, however, Zuma failed
to do, so that COSATU, to its frustration, found itself in much the same oppositional
situation as under Mbeki. At the same time COSATU cast all disguise to the wind
and has openly embraced dialectical materialism (Marxist theory that political and
historical events are due to a conflict of social forces caused by man’s material
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needs) and proletarian dictatorship (working class has control over the political
power) as its key objectives.
On paper it may seem difficult to see how any ANC leader can stand up to COSATU
but in important respects the organisation is weaker than it seems (www.africa.fnst-
freiheit.org:2):
First, it has lost members in the recession and its true membership is now
probably less than 1.6m.
Secondly, it has lost much of its industrial muscle – with white collar and
public sector workers now providing the bulk of its membership.
Third, at least as many workers again belong to other, non-political trade
unions unaffiliated to COSATU.
Above all, South Africa has a real rate of unemployment of around 40%, so
that the unions really represent a small labour aristocracy. They have pushed
strongly both for high wages and very restrictive conditions of employment,
both of which cause employers to shrink their workforces so that COSATU
often finds itself claiming to represent the masses while actually advancing
the interests of the employed against the unemployed.
As illustrated, in South Africa trade unions have played a key role in the
democratization process of the country as this affords them a mass following and
political clout (Wood 2002 in www.opPapers.com 2011:1). However, essentially if
South Africa is a democracy, political actors should represent communities’ interests,
and thus the views of communities must find their way into policy decisions.
2.5.2.5 Public participation and policy
Bekker (1994:4 in Auriacombe 2001:8) discusses ‘the public’ as a term, as:
Referring to a grouping aimed at particular interests and / or point at issue, for
example, a newspaper’s readership, vehicle owners and consumers.
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A loose collection of individuals as opposed to an institution, like a trade
union, which has a structured leadership and membership requirements.
Interaction with each other, for example, by reading the same magazines,
despite the absence of physical contact between them.
Their influence or the effectiveness of their actions differing, in view of the size
of different public groupings (numbers).
Having an interest or issue that guides them even though it may be of short or
long duration.
Through the participation/involvement of the public “...sustainable service delivery
requires the involvement of various stakeholders and role-players. Public service
beneficiaries ought to participate in policy-making, implementation and evaluation of
any service delivery strategy. Such participation is expected to pool together locally
available resources, experiences, creativity and energy from a diversity of partners
and stakeholders. However, municipalities often find it difficult to involve the
community in participatory processes. This is mainly due to limited capacity levels
and resource availability. Furthermore, communities often find the process
challenging due to low confidence levels, illiteracy, physical isolation and poverty.
Importantly, community participation in development(al) matters cannot be left to
chance. In particular, rural-based municipalities require unique interventions to
benefit from both decentralisation and participation. Although the policy and
legislative framework provides a supportive environment, this alone will not ensure
public participation. Municipalities and other service providers should make a
concerted effort to communicate with communities directly. In this regard, the role of
community development workers, or similar agents, cannot be overemphasised”.
“Community development workers are uniquely placed both within communities and
within government to observe, reflect and document experiences with regard to
public participation. They are trained to mobilise and gain communities’ trust.
Furthermore, they are ideally placed to articulate crucial service delivery issues in a
manner that is accessible to the majority of people in the community” (Mubangizi
2009:162-163).
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According to Auriacombe (2001:12) because people (i.e. the public, politicians such
as councillors, the administration and community development workers, amongst
others) are interdependent this leads to complex interaction. Politics is irrevocably
connected with the phenomena of conflict and cooperation. The existence of
conflicting opinions, diverse wishes, competitive needs and opposing interests
guarantees that there will not be agreement or consensus on the rules by which
people should live. At the same time, people admit that they have to cooperate with
one another to make and adapt such rules and to ensure that their rules are obeyed.
Furthermore, the way people ‘conduct politics’ is affected by psychological, historical,
cultural, religious, economic and institutional factors as well as society’s ‘rules’
(Bekker 1994:5 in Auriacombe 2001:9).
Currently, “Councillors are sometimes perceived as inward-focused and too
preoccupied with the political goings on within the council and the technicalities of
the municipal administration. As a result there is a serious breakdown between
councillors and communities”, argues de Visser (2009:18). DCoG Research Weekly
e-Alert, April 2011, Slides 8 – 9 have analysed South Africans’ voter views during the
last local government elections and also found that the satisfaction with democracy
has declined slightly over the past decade, with nearly an equivalent share that is
satisfied and dissatisfied in 2010. There should thus be constant monitoring whether
communities are satisfied that they are being heard if democracy is seen to be
practiced.
Now that the matters that influence policy have been dealt with and in view of the
fact that chapter five of this thesis touches on the indicators developed for the
National Capacity Development Strategy for Local Government that originates from
the NCBF (the policy) it may be proper to also discuss what a strategy is and how it
relates to a policy.
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2.5.3 Policy versus strategy
In Section 2.5.1 of this thesis policy is described as a course or plan of action while
Ungerer, Pretorius and Herholdt (2011:8) state that “in looking for a metaphor for
thinking about strategy, landscaping seemed appropriate due to its links with nature,
as an example of a living system. Human energy flows, much like water, along the
path of least resistance. The role of strategy is to create a strategic architecture for
the movement of organisational (policy) energy and the removal of obstacles”.
Betts (in www.dtic.mil 2001-2002:1) says “No subject generates more concern within
the military than strategy. Yet policymakers are often indifferent to it. Some find the
demand for more and better strategy to be naive resistance to inevitable ad hocery.
Why is the subject never settled enough to allow leaders to get on with other
business? Why do senior officers insist on clear strategy more than do civilian
officials? What Clausewitz said of friction in war applies to strategy: it ‘is very simple,
but the simplest thing is difficult’. The trouble begins with the term strategy which is
a buzzword that covers a multitude of sins. Many were content with a limited
conception in earlier times - planning and directing large-scale military operations.
Clausewitz, however, injected politics when he defined strategy as ‘the use of an
engagement for the purpose of the war (which could also be translated into reaching
the goal).’ This definition properly pushes the concept to higher levels”
(www.dtic.mil).
Following this reflection on policy versus strategy is a discussion on other concepts
not yet discussed but associated with the South African government system.
2.6 Other concepts associated with the South African
government system
Before commencing with the next chapter focusing on relevant legislation, policy,
frameworks and strategies in the South African government system it is important to
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reflect on other concepts that reference will be made to such as:
Unitary system
Federal system
Decentralisation
Centralisation
Governmental relations
Coordination
Constitutional interventions
Dimensions found in government
Span of control
Following is a discussion on each of the concepts listed above.
2.6.1 Unitary system
Craythorne (1990:33), in describing a unitary state, makes reference to the
Westminster system or model that consists of the following elements and also
depicts South Africa’s system of government:
“Universal elections in which the party which can capture the most
constituencies forms the government of the day.
A head of state (sovereign or president).
A chief executive or Prime Minister.
A parliament, which may consist of one or two houses, and which is the
supreme or sovereign legislative body of the state and all other legislative
bodies and their legislation, are subordinate to the parliament.
A cabinet as the head of the executive arm, and which is accountable to the
parliament.
A civil service which carries out the will of the executive.
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An independent judiciary but a judiciary which does not have the power to rule
on the validity of laws passed by the parliament.
The idea of equality of all before the law, and of the rule of law”.
In the modern state, unitary government can be defined as a government in which
authority is centralised on a national level and the power levels of government have
little or no autonomy (Du Toit and Hattingh in Doyle, Naude and Kalema 2007:48).
What then is a federal system of government?
2.6.2 Federal system
In terms of federal and unitary government, the South African government structure
has a basic unitary system but with very strong and broad federal characteristics. An
important reason for this is that the Constitutional Assembly, in an attempt to
democratise South African society by bringing government closer to the people,
conferred specific constitutional mandates on provinces and local authorities.
However, the government has kept a component of central control to regulate and
improve this transformation or democratisation, and to facilitate and coordinate the
reconstruction and development of disadvantaged communities. This is what makes
South Africa’s governmental structure unique and difficult to classify in terms of
traditional differentiation between federal and unitary states (Du Toit in Doyle, Naude
and Kalema 2007:51).
Du Toit (in Doyle, Naude and Kalema 2007:46) states that federal government can
be defined as a government in which authority is decentralised to sub-national units
and relationships are characterised by both unity (cooperative and uniform action by
units) and independence such as states in the United States (US).
2.6.3 Decentralisation
Decentralisation is when there is a clear movement towards delegated state
functions away from central government control. Some functions are delegated to
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subordinate government levels, while other powers and functions are horizontally
transferred and outsourced to private sector enterprises and community agencies.
The trend characterises both developed and developing countries. In South Africa,
particularly, the trend away from a state-led, interventionist approach to
development, to a focus on cooperative governance, is evident in the Constitution,
where independent functions and powers are transferred to the local government
sphere (Simon 2003:141 in Rabie 2011:200). “This type of planning may be more
challenging to implement, but holds out the prospect of more sensitive and
responsive local environments where individual circumstances, rather than national
blueprints, determine outcomes” (Simon 2003:141 in Rabie 2011:200).
2.6.4 Centralisation
On the other hand centralisation “occurs when an organisation’s decisions are
primarily made by a small group of individuals at the top of its organisation while it
delegates little or no authority to the lower levels of its organisation. A centralised
organisation can be described according to Max Weber as bureaucracy”
(Auriacombe 2011:1).
Auriacombe (2011:1) further states that in the system of government of South Africa
national government’s decision-making power may be centralised in Parliament, but
certain powers are delegated to provincial and local spheres.
2.6.5 Governmental relations
Governmental relations are influenced by the horizontal and vertical division of
powers and functions (Doyle, Naude and Kalema 2007:8). As the responsibilities of
government increased and the number of government institutions expanded to carry
out the new responsibilities, the regulations controlling orderly relations between
government bodies became more complex and comprehensive (Doyle, Naude and
Kalema 2007:9).
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The classification of governmental relations in Doyle, Naude and Kalema (2007:18-
26) is as follows: however informally, it is people who are needed to create these
relationships and maintain them, in terms of the provisions set out by legislature;
governmental relations can be positively or negatively affected by the actions and
behaviour of people (e.g. it can lead to the establishment of an informal organisation
and channels):
Intergovernmental relations (between governments – vertical, that is in
different spheres and horizontal, that is in the same sphere – as specified in
the Constitution and other legislation).
Intra-governmental relations (within government institutions).
Extra governmental relations (between the government and the community).
Interstate or international relations.
With the focus in this thesis being more on intergovernmental relations the following
is also important. Relations at the horizontal intergovernmental level differ from
vertical relations in three respects (Hattingh, Levy and Tapscott in Doyle, Naude and
Kalema 2007:20):
There is no formal concept of power, although power may still be a factor in
relations between a smaller and larger body even if only perceived in terms of
size.
There should be no difference in negotiating ability and powers of
governmental authorities on the same level of government.
Although there is still interdependence on the horizontal level, it differs in terms
of the resources needed. In vertical relations resources such as policy and
finance are relevant, while at the horizontal level resources such as information
and physical assistance are more applicable.
The next concept that is discussed can also be seen as an activity that forms part of
intergovernmental relations, that is, coordination.
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2.6.6 Coordination
Coordination can be defined as “a process which ensures that the activities of public
managers and institutions across the spectrum of the public sector do not overlap
and that all institutions work together to achieve the objectives set by legislation”
(Van der Walt and Du Toit 2002: 322). Honadle and Cooper (in Brinkerhoff
2002:339) state that one way to think about coordination is in terms of three types of
activities: Information sharing, resource-sharing and joint action.
Van der Walt and Du Toit (2002: 322) point to the need for coordination to address
the growth of government institutions which causes services to expand and their
organisational and departmental structures to grow. The management of each
department or division must make concerted effort to have their division or
department function as an integral and interdependent segment of the whole
institution through coordination. The plans, objectives and activities of the division or
department must coincide with those of the other divisions or departments so that
objectives are achieved jointly.
Hjern, Porter, Gage and Mandell (in Brinkerhoff 2002:338) indicate that coordination
is just as important when it comes to the “multi-actor, cross sectoral, nobody-in-
charge features of policy implementation (that) create linkages among various
organisations, civil society groups, Non-Government Organisations (NGOs) and
private sector entities with a role in the implementation process”.
Approaches to achieve coordination (Van der Walt and Du Toit 2002: 322) are:
Basic management that refers to the definition of relationships so that
acceptable channels of communication are clear and plans and objectives also
achieve coordination by ensuring that all direct their efforts at the same main
objectives.
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Increasing the potential for coordination through information systems that
convey information with lateral relationships and direct contact between
people.
Reducing the need for coordination can be done by centralising functions or
dividing functions into a smaller scale, meaning that fewer functions need
coordination.
Formal coordination mechanisms in the South African public sector are:
The Cabinet.
The Treasury of the Department of State Expenditure.
The Auditor-General.
The PSC.
Other centralised support institutions, such as the Government Printer and the
State Tender Board (Van der Walt and Du Toit 2002: 322).
Informal coordination measures include communication between colleagues,
informal discussions and inter- and intradepartmental forums (Van der Walt and Du
Toit 2002: 322).
Also, the Constitution provides for interventions by another sphere of government (in
Sections 100 and 139) in those cases where a sphere is not able to meet the
mandate that it is responsible for. In the case of municipalities this should happen
after legislative and other measures to support and strengthen the capacity of
municipalities to manage their own affairs, to exercise their powers and to perform
their functions, have been undertaken and fail (Section 154 of the Constitution).
2.6.7 Constitutional interventions
As stated in the Constitution Section 100, “it is the responsibility of national
government to build the administrative capacity of the provinces”. According to the
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Parliamentary Monitoring Group (2011:4), if a province is not performing adequately,
national government can take over a province's responsibilities to maintain
established service standards, economic unity or national security, or to prevent a
province from acting in ways which harm the interests of another province or the
country as a whole. If the Cabinet intervenes in a province, it must table notice of
this in the NCOP within 14 days of having intervened. There are a number of
provisions outlined in section 100 that ensure that national supervision of a provincial
administration is strictly monitored by the NCOP.
In the same way, provincial governments are allowed to administer the affairs of
local governments that are not performing properly. Here, too, the NCOP is
responsible for monitoring such an intervention (Section 139 of the Constitution
refers) (Parliamentary Monitoring Group 2011:4).
COGTA is also currently working on the Intervention in Provinces and Municipalities
Bill of 2010 to strengthen the application of sections 100 and 139 of the Constitution.
The multi-dimensional nature of government is explained next.
2.6.8 Dimensions found in government
Government, including local government is multi-dimensional. Craythorne (1990:12)
views ‘dimension’ “to mean aspect, i.e. (it has) a number of distinct features...local
government (and government) is not simply a legal phenomenon; it also operates
within the political, social, economic, administrative and service-rendering
dimensions or aspects”. Whilst Swanepoel (1992:25) refers to this as “the
environment – A community does not exist in vacua. It is part of a living, vibrant
environment in which it plays various roles. This environment manifests itself in the
natural, political, social, economic, cultural and psychological level...(a) living
environmental system”. According to Craythorne 1990;14-15) in a developmental
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state:
The political and administrative dimensions have been comprehensively
discussed in the context of policy making.
In discussing the social dimension it is referred to as the demographic and
sociological discourse.
The economic dimension is referred to as ‘means’ and it is explained how the
municipality takes money out of circulation by means of tax (rates) and fees;
returns the money to the economy when they pay staff and buy goods and
services; and by their policies can encourage or discourage development.
The service-rendering dimension indicates ‘activity’ and this dimension is
dependent on the other dimensions discussed above for it is... “the extent to
which that (municipal) council is aware of the political, social, economic and
administrative dimensions, and how it reacts to them (through service
delivery)” and this will also be further discussed in the chapter on cooperative
governance in the context of public participation (Craythorne 1990:14-15).
In addition, according to Swanepoel (1992:26, 28 and 30):
Sustainable development can only be sustainable if development efforts are in
harmony with the natural environment. Also, the cultural environment is
perceived as one of the biggest stumbling blocks to development and three
matters are frequently mentioned in this regard:
o The place and role of traditional leaders.
o The place and role of women in society.
o Norms and beliefs.
The psychological environment which is abstract and not easily observable is
very important for any development effort. It is important to know the history of
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a community because what has happened to them will have an influence on
the psychological environment.
All the dimensions influence the relationships that government is involved in and
plays a role in its span of control.
2.6.9 Span of control
In the context of public administration and public management, Craythorne
(1990:260) explains that the “concept of span of control has an effect on
organisational structure because it is concerned with the number of subordinates
that a supervisor should have to deal with...the narrower the span, the steeper the
organisational pyramid, and the longer the internal lines of communication. Although
a wider span ‘spreads’ out or flattens the organisation, it will not necessarily always
shorten the lines of communication”.
Botes, Brynard, Fourie and Roux (1992:347) state that important to span of control is
“organisation (which) is the process whereby a field of activity is divided into
manageable working areas. To ensure that duties are performed in a coordinated
and properly controlled way, it is essential to appoint a supervisor. The following
factors usually play a guiding role when the span of control is determined:
The competence of a supervisor and the standard of training of subordinates
would determine how may subordinates can be controlled by a supervisor
(supervisor and subordinate are negatively viewed in the work environment as
being one above the other and not working together to achieve a goal).
The degree of interaction and the intensity and quality thereof between the
supervisor and his subordinates, would determine the span of control.
The extent to which a supervisor can give his full attention to subordinates
and not be influenced by interruptions and other work, would also affect the
span.
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The nature of the work he/she is supervising is also a determining factor, for
example it is easier to control similar kinds of work than diverse kinds.
The extent to which the work can be standardised and replaced by modern
technology, would also determine the span.
The degree of complexity, as well as the constant attention that the work
requires, would determine the span of control”.
Other views expressed on span of control; with communication and minimising
organisational levels highlighted as important to the process, are according to
Robbins (in Craythorne 1990:260-261) that the question of span of control has
received considerable attention from academics and practitioners during the last 50
years...(He) adds that in practice there is no scientific manner in which an exact
optimal span of administration can be determined, and he also makes a distinction
between the executive span and the operational span, i.e. the span should become
smaller as one moves up in the organisation.
Self (in Craythorne 1990:260-261) argues that a desirable span of control is
influenced by the time available to the supervisor, the technical and personal
assistance available to the supervisor, the quality and intelligence of the staff at all
levels, the nature of the work being supervised, and psychological and social
judgements about desirability or otherwise of close supervision.
Pigors and Myers (in Craythorne 1990:260-261) suggest that the principle of span of
control, which used to postulate that a manager could not effectively supervise more
than half a dozen subordinates, has been found to conflict with another principle, that
of job enlargement, whereas in a ‘flat’ organisational structure increasing
responsibilities are delegated from one manager to a large number of subordinates
who are not constantly reporting to and checking with their immediate supervisor.
According to Baker (in Craythorne 1990:260-261), the span of control doctrine is
confusing and misleading. Reduced to a numeric formula (e.g. one manager to six
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subordinates)...The reduction of span of control to a numeric formula arose from a
manager’s assumed need to exercise control not only over his/her own subordinates
but also over all their subordinates...The fundamental problem is not concerned with
maintaining detailed control but rather a fair degree of communication within any
large organisation.
Simon (in Craythorne 1990:260-261) supports Baker’s view and states that the
mathematical notion of span of control is a contradictory proverb of administration.
Administrative efficiency is enhanced by keeping at a minimum the number of
organisational levels through which a matter must pass before it is acted upon.
2.7 Summary
In this chapter the NCBF was positioned within South Africa’s vision as a
developmental, democratic state. The chapter discussed South Africa in terms of its
conception as a democratic developmental state as well as what government, a state
and the objectives of a state entail. The pitfalls, challenges, benefits and potential of
a developmental state, amongst others, were discussed.
A background to the South African government system was provided. The chapter
explained how citizens have certain perceptions and expectations about the
government and how the Constitution of 1996, as the supreme law of the country,
aims to address these. Detail on the constitutional structuring of the South African
government system and associated institutions, such as SALGA, were provided. The
chapter explained how the government system functions in the context of the
legislative, executive and judiciary branches, as well as the three spheres of
government. Attention was also given to the national government departments as
well as to the DCoG and CoGTA at the national and provincial levels of government.
A discussion of local government and its transition through three phases (from 1994
to 2010) indicated that the comprehensive transformation of municipalities (as
organisations) is a timely process and has not yet reached sustainability.
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In view of the fact that the NCBF is a policy framework some discussion was also
provided on the policy process and its terminology. Consideration was given to a
movement towards integrated policy making to ensure sustainable development. The
influences on policy making in government were described more fully by further
focusing on the political-administrative interface; politics and policy; trade unions and
policy; public administration and management; and governance and policy. Finally,
other concepts associated with the South African government were explained. These
concepts included the unitary and federal systems, decentralisation, centralisation,
governmental relations, coordination, constitutional interventions, dimensions found
in government and span of control.
The next chapter provides an overview of the legislative, policy and strategy context
within which the NCBF operates.
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CHAPTER THREE
LEGISLATION AND RELATED POLICY FRAMEWORKS RELEVANT TO
DEVELOPMENTAL LOCAL GOVERNMENT STRATEGIES FOR CAPACITY
BUILDING
3.1 Introduction
Chapter Two provided information on South Africa’s vision towards a democratic
developmental state, government’s structure in general and particularly the DCoG
and its provincial and local government counterparts, including the transformation of
local government. Chapter Two also provided information on policy, the policy
process, what influences policy and policy versus strategy, in general. Lastly, other
concepts within the South African government system were reflected on.
Chapter Three addresses the secondary research question: “What is the nature of
the interaction among the variables influencing the legislative and policy
frameworks as well as the strategy positions in developmental local
government and capacity building?”
The aim with Chapter Three is to provide an integrated documentary analysis of
relevant legislation, the legislative function and processes, in general, and expand on
South African Local Government Law in particular. This chapter also highlights the
legislation specific to local government from the perspective of both a sphere-wide
and specialised or sector-specific authority and capacity building. The variables
influencing the above aspects are coded and categorised in order to provide a
holistic and integrated perspective of the legislative and policy frameworks governing
skills development and capacity building needs in local government. Furthermore,
ethics and legislation as well as current policy frameworks and strategies that
influence local government and capacity building are discussed.
The chapter commences with a definition of legislation and the legislative function
and is followed by an explanation of delegated legislation and an overview of the
legislative processes. Thereafter improvements to the legislative processes and
legislation at the three spheres of government are discussed.
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Next, the principles and norms of South African Local Government Law; the legal
nature of local government and the statutory framework for local government are
discussed.
An overview of the legislative process specific to local government both in terms of
sphere-wide, specialised or sector-specific authority that impacts on capacity
building as well as the broadened legislative scope for capacity building follows. An
argument is also provided on the gap in legislation relevant to local government
support, capacity building and training. Ethics and legislation and current policy,
frameworks and strategy positions in South Africa: specific to local government and
capacity building, are discussed.
This chapter thus sets out to position the NCBF within relevant legislation, policies,
frameworks and strategies within government in general and local government and
support, capacity building and training in particular; commencing with the focus on
legislation, the legislative functions and processes.
3.2 Overview on legislation, the legislative functions and processes
Hanekom, Rowland and Bain (1987:182) state that “No country in the world can
operate effectively without specific rules and regulations. In a democratic country
these rules and regulations are derived from laws passed by a parliament or
parliaments. In practice, a large number of institutions and individuals are needed to
implement the rules and regulations embodied in legislation”.
A “law”, according to the Reader’s Digest Illustrated Oxford Dictionary (1998:457), is
a “rule enacted or customary in a community and recognised as enjoining or
prohibiting certain actions and enforced by the imposition of penalties”.
Rautenbach and Malherbe (2009:160) define the “legislative process” in particular as
“the series of actions by which a proposal for a law is formulated and considered,
refined, and approved according to the prescribed procedures by competent
government institutions and functionaries in order for it to have the force of law”. The
above institutions that reflect on the three authorities (i.e. the legislative, executive
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and judicial) in the South African government system were discussed in Chapter Two
(see section 2.3)
3.2.1 Contextualising legislation and the legislative function
Van der Waldtet al. (2007:40) define legislation as “a collection of rules devised by
and enforced by a government that has authority over its citizens. It does not only
establish punishments for individuals who break the government’s rules, but also –
more importantly – ensures that government bodies, such as municipalities, adhere
to the spirit and stipulations of particular legislation in the design and execution of
policy programmes”.
Cloete (1992:62) explains that every modern democratic state has a national
institution (legislature, state president and Parliament) that exercises the highest
authority over the whole country and that the legislative function consists of the
making of laws for ordering community life in such a manner that the population can
live under conditions of physical and social well-being. In addition the legislature will
have to arrange for:
Money for financing the implementation of its laws.
Control over the activities of the functionaries who have to implement the
laws.
Democratic states make the implementation of legislation work through, amongst
others, delegated legislation.
3.2.2 Delegated legislation
In view of the fact that “All subjects in a democratic state are legally bound to abide
by the rules and regulations passed by Parliament through legislation. Governmental
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activities are highly specialised and intricate. Provision cannot be made in the
statutes for all possible eventualities, and Parliament is therefore empowered to
delegate its powers to an executive authority. An executive authority can only
exercise delegated powers within the boundary stipulated in the enabling Act”
(Hanekom, Rowland and Bain 1987:192). This is referred to as delegated
legislation.
Hanekom, Rowland and Bain (1987:183) explain that “delegated legislation
constitutes legislation enacted by government officials and ministers in accordance
with the relevant enabling act (e.g. the Municipal Systems Act) ...or to the aggregate
of rules and regulations promulgated in the exercise of the delegated legislative
authority”. This means that ministers and public officials have law-making powers.
There are individuals who have depicted this state of affairs as “an abdication of
Parliament from its principal role in favour of the executive” (Foulkes 1976:13-16 in
Hanekom, Rowland and Bain 1987:183). Hanekom, Rowland and Bain (1987:183)
agree that “In a sense this assumption is correct, because Parliament’s main
function is to pass laws and to see to it that these laws are carried out; in other
words, to determine the guidelines of legislative policy. It is however, not clear how
broad or narrow these guidelines should be. In practice there is a tendency for the
guidelines to become very wide, with the result that there is a vast quantity of
delegated legislation on the law books”.
Baxter (1984:199 in Hanekom, Rowland and Bain 1987:185) states that there is a
universally accepted system according to which delegated legislation is classified:
Legislative authority exercised on behalf of Parliament.
Legislative powers to supplement enabling acts.
Legislative powers of professional bodies.
Objects (refers to the contents or purpose of the delegated legislation).
Procedure (refers to the specific procedures to make the regulation
enforceable).
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Nomenclature (different types of delegated legislation can be identified, e.g.
proclamations, regulations, by-laws, rules and schemes).
Furthermore, there are both parliamentary and judicial control measures over
delegated legislation (Hanekom, Rowland and Bain 1987:187-188) to address the
concerns of those individuals who deem Parliament to have abdicated its functions.
3.2.3 Overview of the legislative processes
The Constitution of 1996 sections 73 to 80, indicates the process as follows
(www.justice.gov.za/legislation/legprocess 2012):
3.2.3.1 Preparing draft legislation
“Parliament, as the national legislature, considers draft pieces of legislation in order
to exercise its power to make laws. A draft piece of legislation (called a Bill) must
formally be submitted to Parliament before Parliament can consider making it a law.
Most Bills are prepared by government departments under the direction of their
Ministers or Deputy Ministers”. The preparation of a Bill involves a number of steps,
including consultation with interested parties
(www.justice.gov.za/legislation/legprocess 2012).
3.2.3.2 Obtaining cabinet approval
“The next step is for the relevant government department to submit a cabinet
memorandum and draft Bill (containing the legislative proposals that are supported)
to the Minister in order to obtain cabinet approval for the introduction of the Bill in
Parliament” (www.justice.gov.za/legislation/legprocess 2012).
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3.2.3.3 The role of state’s law advisers
“After Cabinet has approved the introduction of a Bill in Parliament the relevant
Minister must submit a copy of the draft Bill to the Speaker of the National Assembly
and the Chairperson of the National Council of Provinces. However, before a Bill can
be formally submitted to Parliament the State’s law advisers must be approached to
certify the draft Bill. The role of the State’s law advisers in this regard is to ensure
that a draft Bill is in line with the existing law and the provisions of the Constitution. If
the State Law Advisers are satisfied that the Bill is technically correct and its
provisions are legally sound they approve the Bill” (this process is called the
certification of a Bill). The relevant Bill is then ready to be formally submitted to
Parliament (www.justice.gov.za/legislation/legprocess 2012).
3.2.3.4 Introduction of a Bill in Parliament
“Submitting a Bill to Parliament is better known as the introduction of a Bill in
Parliament. Although any Bill may be introduced in the National Assembly, only
certain Bills may be introduced in the National Council of Provinces. Only a Cabinet
member (Minister), a Deputy Minister, a Committee or an individual Member of the
National Assembly may introduce a Bill in the Assembly, and only a Committee or an
individual Member of the NCOP may introduce a Bill in the Council”
(www.justice.gov.za/legislation/legprocess 2012).
“At least 30 days before a Constitution Amendment Bill is introduced in Parliament, it
must be published in the Gazette for public comment and submitted to the Provincial
legislatures for their views. Furthermore, a Constitution Amendment Bill must also be
submitted to the NCOP for a public debate if the Bill is not a Bill that is required to be
passed by the NCOP. Comments from the public and the Provincial legislatures
must be tabled together with the Bill. All other Bills may be introduced in Parliament
only after prior notice of the introduction of the Bill has been given in the Gazette,
which notice must be accompanied by an explanatory summary of the Bill. If the Bill
itself (instead of an explanatory summary thereof) is published in the Gazette, the
notice must contain an invitation to interested persons to submit written
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representations on the Bill to the Secretary of Parliament”
(www.justice.gov.za/legislation/legprocess 2012).
The Constitution of 1996 also prescribes the Parliamentary processes in terms of
each category of Bill that must go to Parliament to become law (an Act of
Parliament) and distinguishes between four categories of Bills
(www.justice.gov.za/legislation/legprocess 2012), namely:
Section 74 Bill: “A Constitution Amendment Bill which aims to effect changes to the
basic values of the Constitution requires a supporting vote of at least 75% of the
members of the National Assembly and of at least six provinces in the NCOP in
order to be passed. Proposed changes to the Bill of Rights require a supporting vote
of at least two-thirds of the members of the Assembly and of at least six provinces in
the NCOP in order to be passed. If a Constitution Amendment Bill affects the NCOP;
or changes the boundaries, powers, functions or institutions of a province; or
amends a provision specifically dealing with a provincial matter, such a Bill requires
a supporting vote of at least two thirds of the members of the Assembly and of at
least six provinces in order to be passed; any other proposed amendment of the
Constitution only requires a supporting vote of at least two-thirds of the members of
the National Assembly in order to be passed”
(www.justice.gov.za/legislation/legprocess 2012).
If a Constitution Amendment Bill affects specific provinces, the NCOP may not pass
the Bill unless it has been approved by the relevant provincial legislature.
Section 75 Bill: “Once an ordinary Bill that does not affect the provinces has been
passed by the National Assembly, it is referred to the NCOP. The Council must pass
the Bill, pass the Bill subject to amendments proposed by the Council or reject the
Bill. If the Council passes the Bill without proposed amendments, the Bill must be
submitted to the President for assent. If the NCOP passes a Bill subject to proposed
amendments or if the NCOP rejects a Bill, it goes back to the National Assembly.
The National Assembly must then reconsider the Bill by taking any amendments
proposed by the NCOP into account and may pass the Bill again (with or without the
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NCOP proposed amendments) or may decide not to proceed with the Bill”
(www.justice.gov.za/legislation/legprocess 2012).
A Bill that has been passed by the National Assembly must next be submitted to the
President for assent (www.justice.gov.za/legislation/legprocess 2012).
Section 76 Bill: Once an ordinary Bill that affects the provinces has been passed by
the National Assembly, it must be referred to the NCOP. The Council must pass the
Bill or pass an amended Bill or reject the Bill. “A section 76 Bill must, if it was passed
by the Council without any amendment, be submitted to the President for assent. If
the Council passes an amended Bill it goes back to the National Assembly and if the
National Assembly passes the amended Bill, it must then be submitted to the
President for assent. If the Council rejects a Bill or if the National Assembly refuses
to pass the NCOP amended version of the Bill, the matter must be referred to the
Mediation Committee. If the Committee is unable to secure an agreement on a
section 76 Bill introduced in the National Assembly within 30 days, the Bill may be
passed by the National Assembly with a two-thirds majority. If the Committee is
unable to secure an agreement on a Bill that was introduced in the NCOP the Bill
lapses” (www.justice.gov.za/legislation/legprocess 2012).
Section 77 Bill: “A money Bill (Bills that deal with appropriations, taxes, levies or
duties) must be introduced in Parliament by the Minister of Finance. All money Bills
must be considered in accordance with the procedure established by section 75 of
the Constitution” (www.justice.gov.za/legislation/legprocess 2012).
The first important step, after a Bill has been introduced, is for the relevant Bill to be
referred to the Joint Tagging Mechanism (JTM) for classification into one of the
above categories of Bills. If a Bill does not clearly fit into one category, or if it fits into
more than one category, it is usually redrafted or split into more than one Bill
(www.justice.gov.za/legislation/legprocess 2012).
“The next step in the Parliamentary process is for the Bill to be referred to the
relevant Portfolio Committee for consideration. If there is great public interest in a
Bill, the Portfolio Committee may organise public hearings to allow interested parties
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to submit written comments and sometimes make oral representations on the
provisions of the Bill. The members of the relevant Portfolio Committee are then
tasked with considering and debating the Bill in order to determine whether they are
satisfied with the provisions of the Bill. If the Portfolio Committee is not satisfied with
the provisions of the Bill, the Bill is amended to reflect the version which the Portfolio
Committee prefers. At the conclusion of its work the Portfolio Committee submits the
Bill, together with a report, to the National Assembly for debate (called the second
reading debate) and a vote. If the National Assembly passes the Bill, it is referred to
the NCOP for its consideration” (www.justice.gov.za/legislation/legprocess 2012).
3.2.3.5 Signing a Bill into law
“A Bill is referred to the President after it has passed through the National Assembly
and NCOP. The Constitution requires that the President must assent to and sign a
Bill”. However, if the President has reservations about the constitutionality of a Bill
(whether the provisions of a Bill are in line with the Constitution or not), he or she
may refer it back to the National Assembly for reconsideration. If the Bill affects the
provinces, the NCOP must participate in the reconsideration of the relevant Bill. If a
reconsidered Bill accommodates the President’s reservations, the President must
assent to and sign the Bill. However, if a reconsidered Bill does not fully
accommodate the President’s reservations, the President must either assent to and
sign the Bill or refer it to the Constitutional Court for a decision on its constitutionality.
If the Constitutional Court decides the Bill is constitutional, the President must sign it”
(www.justice.gov.za/legislation/legprocess 2012).
“A Bill that has been assented to and signed by the President becomes an Act of
Parliament and must be published shortly thereafter in the Gazette. An Act takes
effect (becomes binding on everyone) when it is published in the Gazette or on a
date determined in terms of the Act” (www.justice.gov.za/legislation/legprocess
2012).
Sometimes an Act may require certain actions to be taken by the Department before
it can be implemented, for instance subordinate legislation (regulations,
determinations, rules, etc.) may have to be prepared and promulgated to further
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regulate aspects in terms of an Act. In such instances an Act contains a provision
that provides that the Act comes into operation on a date determined by the
President by proclamation in the Gazette. “Once the necessary actions have been
finalised, the President is approached and requested to put the Act into operation on
a certain date. After the President has assented to the implementation of the Act, a
proclamation is published in the Gazette and the Act comes into operation on a date
determined in the proclamation” (www.justice.gov.za/legislation/legprocess 2012).
In its submission to Parliament on the Budget in 2004, the South African Chamber of
Business (SACOB) made a plea for all national legislation and associated
regulations to be accompanied by a Regulatory Impact Assessment (RIA) (Society of
Business Practitioners (SBP) 2005:7).
3.2.4 Improvements to the legislative processes
Government has not been inactive in regard to improving legislative processes; other
than each department reviewing its legislation, the White Paper on Small Business
Promotion of 1995 notes that government is also committed to ensuring the
appropriateness of rules and regulations for the small business sector. To this end, it
tasks the DTI to closely monitor and, where possible or necessary, coordinate and
assist the regulatory reform process. Included in this role are investigations by
central government on the appropriateness of existing and proposed legislation in
areas such as taxation, labour, health and occupational conditions, with a view to
assessing how these can be made more suitable for small businesses. The DTI is
also charged with responsibility for monitoring steps taken by provincial and local
government to reduce restrictive legislative and regulatory conditions (SBP for the
Presidency and the National Treasury 2005:7).
Further, in August 2004, the DTI’s Lionel October announced that a mechanism
would be created to review all new laws for their impact on small and medium
businesses. October also referred to a new RIA mechanism to be introduced on
completion of the regulatory review (SBP for the Presidency and the National
Treasury 2005:7). The justification for RIA is, of course, not limited to the possible
contribution it may make to the promotion of the small business sector or business
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interests generally. In theory, at least, RIA is an interest-group-neutral tool for
improving the effectiveness and efficiency of regulation. Neither the Basic Conditions
of Employment Act 75 of 1997 (BCEA) nor the Employment Equity Act 55 of 1998
(EEA) would thus have been blocked by the application of RIA. The point is rather
that prior application of RIA may have made it possible for government to achieve
the policy goals pursued in these statutes more effectively and at lower cost to the
fiscus and the economy. For the same reason, the scope of RIA is not necessarily
limited to economic regulation. Both social and environmental regulation are also
amenable to RIA, although, the cost-benefit analysis component of RIA is less suited
to deliberately redistributive regulation than it is to ‘pure’ economic regulation (SBP
for the Presidency and the National Treasury 2005:7).
In short, the call for RIA in South Africa should not be interpreted as an attempt on
the part of business to prioritise its interests by stealth in the policy formulation
process. Rather, the call is for South Africa to improve its regulatory system in
keeping with modern trends to ensure that government achieves its pro-poor
transformation objectives (SBP for the Presidency and the National Treasury
2005:7).
Thus the legislative process leads to South African legislation, however, the application
differs from one sphere to the other.
3.2.5 Legislation at the three spheres of government
Van der Waldt& Helmbold (1995:84) inform that the new system of government is
based on a formula which divides the governmental authority among the central
government and nine provincial governments. It therefore attempts to introduce
elements of a federation in this regard. Provincial laws and executive authority apply
only in respect of the province’s land use. Each province has its own premier and
executive councils.
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The legislative authority across the spheres is captured in the Constitution of 1996,
Section 43: “In the Republic, the legislative authority -
(a) of the national government is vested in Parliament, as set out in section 44;
(b) of the provincial sphere of government is vested in the provincial legislatures,
(c) of the local sphere of government is vested in the Municipal Councils, as set
out in section 104; and in section 156”.
3.2.5.1 National legislative authority
The Constitution of 1996 Section 44 states that –
“(1) the national legislative authority as vested in, Parliament –
(a) confers on the National Assembly the power -
(i) to amend the Constitution;
(ii) to pass legislation with regard to any matter, including a matter within a
functional area listed in Schedule 4, but excluding, subject to subsection
(2) a matter within a functional area listed in Schedule 5; and
(iii) to assign any of its legislative powers, except the power to amend the
Constitution, to any legislative body in another sphere of government; and
(b) confers on the National Council of Provinces the power -
(i) to participate in amending the Constitution in accordance with Section 74;
(ii) to pass, in accordance with section 76, legislation with regard to any
matter within a functional area listed in Schedule 4 and any other matter
required by the Constitution to be passed in accordance with section 76;
and
(iii) to consider, in accordance with section 75, any other legislation passed by
the National Assembly.
(2) Parliament may intervene, by passing legislation in accordance with section
76 (l), with regard to a matter falling within a functional area listed in Schedule
5, when it is necessary –
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(a) to maintain national security;
(b) to maintain economic unity;
(c) to maintain essential national standards;
(d) to establish minimum standards required for the rendering of services; or
(e) to prevent unreasonable action taken by a province which is prejudicial to the
interests of another province or to the country as a whole.
(3) Legislation with regard to a matter that is reasonably necessary for, or
incidental to, the effective exercise of a power concerning any matter listed in
Schedule 4.
(4) When exercising its legislative authority, Parliament is bound only by the
Constitution, and must act in accordance with, and within the limits of, the
Constitution”.
Also, the Constitution of 1996 Section 45 –
“(1) The National Assembly and the National Council of Provinces must establish a
joint rules committee to make rules and orders concerning the joint business of the
Assembly and Council, including rules and orders –
(a) to determine procedures to facilitate the legislative process, including setting a
time limit for completing any step in the process;
(b) to establish joint committees composed of representatives from the Assembly
and the Council to consider and report on Bills envisaged in sections 74 and
75 that are referred to such a committee;
(c) to establish a joint committee to review the Constitution at least annually; and
(d) to regulate the business of –
(i) the joint rules committee;
(ii) the Mediation Committee;
(iii) the constitutional review committee; and
(iv) any joint committees established in terms of paragraph (b).
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(2) Cabinet members, members of the National Assembly and delegates to the
National Council of Provinces have the same privileges and immunities before
a joint committee of the Assembly and the Council as they have before the
Assembly or the Council”.
3.2.5.2 Provincial legislative authority
The Constitution of 1996 Section 104 states that –
“(1) the legislative authority of a province is vested in its provincial legislature, and
confers on the provincial legislature the power -
(a) to pass a constitution for its province or to amend any constitution passed by it
in terms of sections 142 and 143;
(b) to pass legislation for its province with regard to –
(i) any matter within a functional area listed in Schedule 4;
(ii) any matter within a functional area listed in Schedule 5;
(iii) any matter outside those functional areas, and that is expressly assigned to
the province by national legislation; and
(iv) any matter for which a provision of the Constitution envisages the
enactment of provincial legislation; and
(c) to assign any of its legislative powers to a Municipal Council in that province.
(2) The legislature of a province, by a resolution adopted with a supporting vote of
at least two-thirds of its members, may request Parliament to change the
name of that province.
(3) A provincial legislature is bound only by the Constitution and, if it has passed
a constitution for its province, also by that constitution, and must act in
accordance with, and within the limits of, the Constitution and that provincial
constitution.
(4) Provincial legislation with regard to a matter that is reasonably necessary for,
or incidental to, the effective exercise of a power concerning any matter listed
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in Schedule 4, is for all purposes legislation with regard to a matter listed in
Schedule 4.
(5) A provincial legislature may recommend to the National Assembly legislation
concerning any matter outside the authority of that legislature, or in respect of
which an Act of Parliament prevails over a provincial law”.
3.2.5.3 Municipal by-laws
Van der Waldt& Helmbold (1995:88) state that a local government is autonomous and is
entitled to regulate matters relating to local affairs itself, and the powers, functions and
structures of local government are regulated by way of an Act. By-laws are delegated
legislation, i.e. municipal government cannot function without it being able to legislate on the
safety and comfort of the inhabitants of the municipal area, and also in order to ensure that
certain kinds of antisocial behaviour are prohibited and punished if the prohibitions are not
observed (Craythorne 1990:424).
“(1) A municipality has executive authority in respect of, and has the right to
administer –
(a) the local government matters listed in Part B of Schedule 4 and Part B of
Schedule 5; and
(b) any other matter assigned to it by national or provincial legislation.
(2) A municipality may make and administer by-laws for the effective
administration of the matters which it has the right to administer.
(3) Subject to section 151 (4), a by-law that conflicts with national or provincial
legislation is invalid. If there is a conflict between a by-law and national or
provincial legislation that is inoperative because of a conflict referred to in
section 149, the by-law must be regarded as valid for as long as that
legislation is inoperative.
(4) The national government and provincial governments must assign to a
municipality, by agreement and subject to any conditions, the administration
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of a matter listed in Part A of Schedule 4 or Part A of Schedule 5 which
necessarily relates to local government, if –
(a) that matter would most effectively be administered locally; and
(b) the municipality has the capacity to administer it.
(5) A municipality has the right to exercise any power concerning a matter
reasonably necessary for, or incidental to, the effective performance of its
functions” (Constitution of 1996 Section 156).
3.2.5.4 Traditional leaders and legislation
In terms of Section 211 of the Constitution of 1996 –
“(1) The institution, status and role of traditional leadership, according to
customary law, are recognised, subject to the Constitution.
(2) A traditional authority that observes a system of customary law may function
subject to any applicable legislation and customs, which includes
amendments to, or repeal of, that legislation or those customs.
(3) The courts must apply customary law when that law is applicable, subject to
the Constitution and any legislation that specifically deals with customary law”.
The discussion now moves from legislation in general to legislation specific to local
government.
3.3 South African local government law
In this section the principles and norms of South African local government law; the
legal nature of local government and the statutory framework for local government
are dealt with respectively.
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3.3.1 The principles and norms of South African local government law
Bekink (2006:9) states that “the entire local government dispensation had to be transformed
and restructured under constitutional instructions...municipal governments have also been
invested with unique features and principles that underpin the new local government legal
dispensation. The unique features and principles have been specifically designed to facilitate
a restructured and transformed local government dispensation that would achieve
constitutionally defined objects and that would adhere to certain constitutional demands”.
Bekink (2006:9-14) lists the principles and norms of South African local government
law as follows:
The creation of a non-racial and democratic local government
dispensation.
The nature, rights and duties of restructured municipal governments.
Local government within a system of cooperative governance.
The new structure and internal framework for local government.
New boundaries for local government institutions.
Compliance with the founding values of the Constitution and the
obligations under the Bill of Rights.
The role and importance of the institutions of traditional leadership in local
government.
The allocations of specific powers and functions to municipal
governments.
Internal functioning and new leadership requirements for local
government.
Sustainable municipal service delivery.
A new personnel corps for local government.
Municipal fiscal management and the exercise of fiscal powers.
Municipal governance and core principles of a new public administration.
Principles of municipal development planning, performance management,
capacity building and public participation.
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The new status and relative autonomy of local governments.
The essential objects of local governments.
Developmental duties of local governments.
The Constitution of 1996 is the basic framework of the new local government
structure. This framework was to be completed in terms of various national, or
sometimes, provincial legislation. Various pieces of legislation were enacted to
complete and fulfil this constitutional requirement. Together with the basic provisions
in the Constitution of 1996, these acts provide the core legislative basis of the new
local government system in South Africa and should be studied in conjunction with
one another. With reference to the specific legal nature and general rights and duties
relevant to the local government sphere, the Municipal Systems Act 32 of 2000
(MSA) is of importance (Bekink 2006:79-80).
3.3.2 The legal nature of local government
Bekink (2006:81) says that “to understand the legal nature of a local government
fully it is necessary to briefly investigate the basic characteristics of such a sphere of
government. Apart from being a constitutionally recognised and protected sphere of
government, a municipality also has the following general characteristics:
It is a public institution.
It functions and performs its powers under the direction and control of an
elected municipal council.
It is a corporate body with legal personality, which exists separately and
independently from the person who heads the municipal council.
It is created to give the residents / local community of the area a say in the
local government affairs that affect them.
It is vested with specific powers and functions.
It is also an institution / sphere of government that is constitutionally obligated
to be a democratic entity”.
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On the other hand the legal nature of a municipality is explained in terms of the MSA
as follows (Bekink 2006:82-83):
A municipality is an organ of state within the local sphere of government
exercising legislative and executive authority within an area determined in
terms of the Local Government: Municipal Demarcation Act 27 of 1998.
A municipality consists of (i) the political structures and administration of the
municipality and (ii) the local community of the municipality.
A municipality functions in its area in accordance with the political, statutory
and other relationships between its political structures, political office bearers
and administration, and its community.
A municipality has a separate legal personality which excludes liability on the
part of its community for the actions of the municipality.
The above is important as it not only explains the basic composition of a municipality
but also provides for significant responsibilities in terms of political and administrative
structures. Each component has its own rights and duties and strong interactions
and coordination between the various components is important for political stability,
community participation, regular payment for services and a committed and effective
local government. Confirmation of these responsibilities is again in compliance with
the constitutional foundation of a government based on values of accountability,
responsiveness and openness (Bekink 2006:83 and 87).
To implement the constitutional principles, further legislation specific to local
government was developed.
3.3.3 The statutory framework for local government
Van der Waldt et al. (2007:40) state that the “current developmental local
government framework is based on recognition of the importance of local citizen
participation in service delivery and development initiatives”.
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The Constitution of 1996 provides municipalities with the mandate to ensure that all
citizens receive the services they need to satisfy their basic needs. Municipalities are
also encouraged to involve communities and community organisations in the affairs
of local governance. Municipalities must further promote the Bill of Rights, which
reflects the nation’s values regarding human dignity, equality and freedom, and
upholds the principles enshrined in the Constitution (Van der Walt et al.2007:40).
Following is “a synopsis of some of the most significant legislation pertaining to local
democracy in general and community participation in particular” (Van der Walt et al.
2007:40-42):
3.3.3.1 The Reconstruction and Development Programme (RDP) White
Paper of 1994
The central theme of the RDP was to reduce poverty by redressing the inequalities
and injustices of Apartheid (RDP White Paper 1994:84 in Molinyane 2011:102 and
Nemvumoni 2009:86).
Three basic local government programmes formed the basis of the RDP, namely:
The rehabilitation of collapsed infrastructure, systems and facilities to ensure
basic municipal services delivery.
The Municipal Infrastructure Investment Framework (MIIF) to extend
infrastructure, systems and facilities so that new areas receive basic
municipal services.
Creating institutional and financial capacity to operate and maintain new and
restored services (Swilling 1997:22, Molinyane 2012:103 and Nemvumoni
2009:87).
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Unfortunately, the RDP was abandoned because of difficulties in meeting its
demands (Chikulo 2003:3 in Molinyane 2012:102). While a specific ‘office’ for the
RDP no longer exists, a number of government ministries and offices are charged
with supporting the RDP goals (Flonnet in National Certificate in Municipal
Governance 2011:58).
3.3.3.2 White Paper on Transforming Public Service Delivery of 1997
Van der Walt et al. (2007:40-41) state that this White Paper of 1997 is better known
as the Batho Pele (People First) White Paper and promotes mechanisms to enable
state machinery to optimise the provision of services to all citizens. To this end, the
White Paper spells out eight principles for transforming public service delivery, these
are:
Consultation: citizens should be consulted about their needs.
Standards: all citizens should know what service to expect.
Redress: all citizens should be offered an apology and solution when
standards are not met.
Access: all citizens should have equal access to services.
Courtesy: all citizens should be treated courteously.
Information: all citizens are entitled to full, accurate information.
Openness and transparency: all citizens should know how decisions are
made and departments are run.
Value for money: all services provided should offer value for money.
3.3.3.3 White Paper on Local Government of 1998
This White Paper provided a new vision of a developmental local government
system. This vision centres on the working relationship of local government with
local communities to find sustainable ways to meet their needs and improve the
quality of lives. It also provides three approaches that can assist municipalities to
become more developmentally-oriented, namely (Van der Walt et al. 2007:41):
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Integrated development planning and budgeting.
Performance management.
Working together with local citizens and partners.
The White Paper on Local Government of 1998 was the precursor to the following
two pieces of legislation (DCoG and Evaluation of the Effectiveness of the Macro-
organisation of the State 2011:18).
3.3.3.4 The Local Government: Municipal Structures Act 117 of 1998
The Act provides “for the establishment of municipalities in accordance with the
requirements relating to categories and types of municipality; to establish criteria for
determining the category of municipality to be established in an area; to define the
types of municipality that may be established within each category; to provide for an
appropriate division of functions and powers between categories; to regulate the
internal systems, structures and office-bearers of municipalities; to provide for
appropriate electoral systems; and to provide for matters in connection therewith”
(Local Government: The Municipal Structures Act 117 of 1998).
3.3.3.5 The Local Government: Municipal Systems Act 32 of 2000 (MSA)
The provision of this Act are the core principles, mechanisms and processes that
are necessary to enable municipalities to move progressively towards the social and
economic upliftment of local communities, and ensure universal access to essential
services that are affordable to all; to define the legal nature of a municipality as
including the local community within the municipal area and working in partnership
with the municipality’s political and administrative structures (Local Government:
MSA 32 of 2000).
It also provides for the manner in which municipal powers and functions are
exercised and performed; to provide for community participation; to establish a
simple and enabling framework for the core processes of planning, performance
management, resource mobilisation and organisational change which underpin the
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notion of developmental local government; and to provide a framework for local
public administration and human resource development (Local Government:
Municipal Systems Act 32 of 2000).
It further empowers the poor and ensures that municipalities put in place service
tariffs and credit control policies that take their needs into account by providing a
framework for the provision of services, service delivery agreements and municipal
service districts; to provide for credit control and debt collection; to establish a
framework for support, monitoring and standard setting by other spheres of
government in order to progressively build local government into an efficient,
frontline development agency capable of integrating the activities of all spheres of
government for the overall social and economic upliftment of communities in
harmony with their local natural environment; to provide for legal matters pertaining
to local government; and to provide for matters incidental thereto (Local
Government: Municipal Systems Act 32 of 2000).
3.3.3.6 The Promotion of Access to Information Act 2 of 2000 (PAIA)
“The purpose of the Act (PAIA) is to foster a culture of transparency and
accountability in public institutions and any municipality in the local sphere of
government. A secondary purpose of the Act is to promote a society in which
citizens have access to information, in order to empower them to exercise and
protect their democratic rights” (Van der Walt et al. 2007:42)
To adhere to this act, municipalities should make provision for the availability of
documentation and records, as well as the appointment of information officers (Van
der Walt et al. 2007:42).
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3.3.3.7 Traditional Leadership and Governance Framework Act 41 of 2003
(TLGF)
This Act provides for the recognition of traditional communities; the
establishment and recognition of traditional councils; a statutory framework for
leadership positions within the institution of traditional leadership, the recognition
of traditional leaders and the removal from office of traditional leaders; for
houses of traditional leaders; for the functions and roles of traditional leaders;
for dispute resolution and the establishment of the Commission on Traditional
Leadership Disputes and Claims; for a code of conduct; for amendments to the
Remuneration of Public Office Bearers Act of 1998; and to provide for matters
connected therewith (Traditional Leadership and Governance Framework Act 41 of
2003).
In the section to follow the focus moves to legislation created for local government
from a sphere-wide authority, in particular.
3.4 Legislation specific to local government and linked to departments with
sphere-wide regulatory jurisdiction
The Green Paper on Cooperative Governance of 2011 (2011:18) indicates that there
are really two types of regulatory responsibility: Sphere-wide regulatory jurisdiction
and specialised or sector-specific authority. The discussions on legislation specific to
local government are thus divided into both these regulatory jurisdictions. Sphere-
wide regulatory jurisdiction discussed next refers mainly to the legislation of CoGTA,
the DPSA and the National Treasury. Specialised or sector-specific authority is
discussed in the next section.
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3.4.1 The Constitution of 1996
The Constitution of 1996 laid the basis for other local government legislation and the
following extracts are important:
3.4.1.1 The objects of local government (Section 152)
The Constitution outlines a vision for developmental local government which entails
a local government committed to “work with citizens and groups within the
community to find sustainable ways to meet their social, economic and material
needs and improve the quality of their lives” (quoted from the White Paper on Local
Government of 1998). It places an obligation on the other spheres of government to
play a role in building local government capacity to ensure that it meets its objects,
to:
Provide democratic and accountable government for local communities.
Ensure the provision of services to communities in a sustainable manner.
Promote social and economic development.
Encourage the involvement of communities and community organisations in
the matters of local government.
Provide a safe and healthy environment.
3.4.1.2 The powers and functions allocated to local government
Tables 3.1 and 3.2 depict the constitutional powers and functions allocated to local
government (Schedule 4 and 5 Part B).
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Table 3.1: Powers and functions of local government
Air pollution
Building regulations
Child care facilities
Electricity and gas reticulation
Fire-fighting services
Local tourism
Municipal airports
Municipal planning
Municipal health services
Municipal public transport
Municipal public works only in respect of the needs of municipalities in the discharge of their responsibilities to administer functions as specifically assigned to them under this Constitution or any other law
Pontoons, ferries, jetties, piers and harbours, excluding the regulations of international and national shipping and matters related thereto
Storm-water management systems in built up areas
Trading regulations
Water and sanitation services limited to potable water supply systems and domestic waste-water and sewage disposal systems
Source: (Constitution of 1996 Schedule 4 Part B)
Table 3.2: Local government matters
Beaches and amusement facilities
Billboards and the display of advertisements in public places
Cemeteries, funeral parlours and crematoria
Cleansing
Control of public nuisances
Control of undertakings that sell liquor to the public
Facilities for the accommodation, care and burial of animals
Fencing and fences
Licensing of dogs
Licensing and control of undertakings that sell food to the public
Local amenities
Local sport facilities
Markets
Municipal abattoirs
Municipal parks and recreation
Municipal roads
Noise pollution
Pounds
Public places
Refuse removal, refuse dumps and solid waste disposal
Street trading
Street lighting
Traffic and parking
Source: (Constitution of 1996 Schedule 5 Part B)
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Other acts compiled to support the Constitution of 1996 in directing the functionality
and service delivery expected of the local government sphere through financial and
institutional systems, and matters addressing powers and functions are:
3.4.2 The Intergovernmental Fiscal Relations Act 97 of 1997 (IGFR)
This Act aims to promote cooperation between the national, provincial and local
spheres of government on fiscal, budgetary and financial matters; to prescribe a
process for the determination of an equitable sharing and allocation of revenue
raised nationally; and to provide for matters connected therewith.
3.4.3 The Organised Local Government Act 52 of 1997 (OLG)
This Act provides for the recognition of national and provincial organisations
representing the different categories of municipalities; to determine procedures by
which local government may designate representatives to participate in the National
Council of Provinces; to determine procedures by which local government may
consult with national and provincial government; to determine procedures by which
local government may nominate persons to the Financial and Fiscal Commission;
and to provide for matters connected therewith.
3.4.4 The Local Government: Municipal Demarcation Act 27 of 1998
Van der Walt et al. (2007:54) inform that the “Act had to be promulgated quickly in
order to set the task for the establishment of new municipalities. It makes provision
for the appointment of an independent Demarcation Board with its main function to
determine and if necessary re-determine all municipal and ward boundaries
throughout South Africa according to established criteria and procedures”.
3.4.5 The Local Government: Municipal Structures Act 117 of 1998
This Act was discussed in sections 3.4.4 and 3.6.2 as part of the legislation specific
to local government.
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3.4.6 The Local Government: Municipal Systems Act 32 of 2000 (MSA)
This Act was also discussed in sections 3.4.6 and 3.6.3 as part of the regulatory
framework specific to local government.
3.4.7 The Disaster Management Act 57 of 2002
The purpose of the Act is to provide for –
an integrated and coordinated disaster management policy that focuses on
preventing or reducing the risk of disasters, mitigating the severity of
disasters, emergency preparedness, rapid and effective response to disasters
and post-disaster recovery;
the establishment of national, provincial and municipal disaster management
centres;
disaster management volunteers; and
matters incidental thereto.
3.4.8 The Municipal Finance Management Act 56 of 2003 (MFMA)
The objective of this Act was to modernise budget and financial management
practices in municipalities to maximise their capacity to deliver services to all their
residents, customers and users. It also gives effect to the principle of transparency
(Van der Walt et al. 2007:61).
Van der Walt et al. (2007:61) also inform that the MFMA supplements the Municipal
Structures and Municipal Systems acts which aim to transform municipalities to
become more participatory, transparent and accountable.
The National Treasury has also developed the Municipal Finance Management Act:
Minimum Competency Levels Regulations of 2007 to address capacity challenges.
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3.4.9 The Municipal Property Rates Act 6 of 2004 (MPRA)
The MPRA aims to regulate the power of a municipality; to impose rates on property;
to exclude certain properties from rating in the national interest; to make provision for
municipalities; to implement a transparent and fair system of exemptions, reductions
and rebates through their rating policies; to make provision for fair and equitable
valuation methods of properties; to make provision for an objections and appeals
process; to amend the MSA of 2000, to make further provision for the serving of
documents by municipalities; to amend or repeal certain legislation; and to provide
for matters connected therewith (MPRA 6 of 2004).
3.4.10 The Intergovernmental Relations Framework Act 13 of 2005 (IGRF)
The aim of this Act is to establish a framework for the national government,
provincial governments and local governments; to promote and facilitate
intergovernmental relations; to provide for mechanisms and procedures to facilitate
the settlement of intergovernmental disputes; and to provide for matters connected
therewith (The Intergovernmental Relations Framework Act 13 of 2005 (IGRF)).
3.4.11 The Division of Revenue Act 10 of 2014 (DORA)
This Act provides for the equitable division of revenue raised nationally among the
national, provincial and local spheres of government for the 2011/12 financial year
and the responsibilities of all three spheres pursuant to such division; and to provide
for matters connected therewith (The Division of Revenue Act 10 of 2014 (DORA)).
As stated in section 3.4 it is not only sphere-wide regulatory jurisdiction but
specialised or sector-specific legislation that applies to local government. Next
follows a discussion on specialised or sector-specific legislation.
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3.5 Legislation linked to departments with specialised or sector-specific
authority
The concept specialised or sector-specific authority is discussed in the next chapter
but refers mainly to national sector departments, excluding those already discussed
in the previous section. In this section the focus is on –
(a) the Constitution of 1996 that prescribes the powers and functions for all spheres
but in this section, what it commands of national sector departments and public
administration, is highlighted;
(b) national sector departments’ legislation that impacts on local government;
(c) professions that are legislated and found within municipalities; and
(d) legislation that provides a context for human resources.
3.5.1 The Constitution of 1996
The Constitution of 1996 directs other legislation and the following extracts are important to
define specialised or sector-specific authority related to local government:
3.5.1.1 Schedules 4, 5 and 6
In Schedule 4: Functional areas of concurrent national and provincial legislative
competence; Schedule 5: Functional areas of exclusive provincial legislative
competence; and in Annexure B, Schedule 6: Government of national unity: The
National sphere is discussed and in the latter it states that –
“(10) the president after consultation with the executive deputy president and the
leaders of the participating parties must –
(a) determine the specific portfolios to be allocated to the respective participating
parties in accordance with the number of portfolios allocated to them in terms of
subsection (9);
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(b) appoint, in respect of each such portfolio, a member of the national assembly
who is a member of the party to which that portfolio was allocated…as the minister
responsible for that portfolio;” The portfolios at the national sphere provide policy in
the areas that they are mandated to and the policy is implemented within the local
government sphere.
3.5.1.2 Legislative context for public administration
Local government like the national and provincial sphere must also adhere to “the
basic values and principles governing public administration” (Section 195 of the
Constitution of 1996). These principles are:
“A high standard of professional ethics must be promoted and maintained.
Efficient, economic and effective use of resources must be promoted.
Public administration must be development-oriented.
Services must be provided impartially, fairly, equitably and without bias.
People's needs must be responded to, and the public must be encouraged to
participate in policy-making.
Public administration must be accountable.
Transparency must be fostered by providing the public with timely, accessible
and accurate information.
Good human resource management and career development practices, to
maximise human potential, must be cultivated.
Public administration must be broadly representative of the South African
people, with employment and personnel management practices based on
ability, objectivity, fairness, and the need to redress the imbalances of the
past to achieve broad representation”.
With the Constitution of 1996 as basis various pieces of national legislation have been
drafted to strengthen its intention.
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3.5.2 National sector departments’ legislation impacting on local government
Several national sector departments are given responsibility for functions which also
fall within the Constitution’s definition of municipal functions (municipal health,
transport and tourism are only some of the functions that straddle national, provincial
and local boundaries; as further discussed in the next chapter). The legislation listed
below and not discussed stretches beyond the mandate of the DCoG and refers to
specialised or sector-specific authority of various national sector departments. It
should however be managed as projected in the Constitution of 1996 (Section 41)
through a system of cooperative governance. This is especially true if government is to
ensure the successful implementation of legislation within the municipal sphere. To
illustrate the comprehensive nature of the specialised or sector-specific authority,
Table 3.3 below contains –
(a) the portfolios / national sector departments (as captured in Chapter Two) in
column one;
(b) the Schedule 4 and 5 Part B powers and functions; allocated to local government
by the Constitution of 1996 in column two; and
(c) in the last column some (it may not be comprehensive) national legislation that
impacts on local government relevant to column two and / or comments on
column one’s relevance to local government where no power and function is
listed.
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Table 3.3: National sector departments’ legislation that impacts on local
government
Portfolio / National
sector department
Constitution of 1996
Schedules 4 and 5 Part
B (Local government
powers and functions)
Acts that impact on local
government (Comments on
relevance to local government)
35. Agriculture, Forestry and Fisheries
Facilities for the accommodation, care and burial of animals Fencing and fences
Licensing of dogs Municipal abattoirs Pounds
Agriculture: Animals Protection Act 71 of 1962 Fencing Act 31 of 1963 Cooperatives Act 91 of 1981 Animal Health Act 7 of 2002 Liquor Products Act 60 of 1989 South African Abattoir Corporation Act 120 of 1992 Societies for the Prevention of Cruelty to Animals Act 169 of 1993 Subdivision of Agricultural Land Repeal Act 64 of 1998 Meat Safety Act 40 of 2000 Animal Health Act 7 of 2002 Forestry: National Forests Act 84 of 1998 National Veld and Forest Fire Act 101 of 1998 Fisheries: Marine Living Resources Act 18 of 1998
36. Arts and Culture Although not a constitutional
power and function local
government is involved in
some arts and culture
activities, e.g. libraries and
museums and language is a
cross cutting matter
Heraldry Act 18 of 1962
Culture Promotion Act 35 of 1983
Pan South African Language Board Act
59 of 1995
National Archives of South Africa Act 43
of 1996
National Arts Council Act 56 of 1997
South African Geographical Names
Council Act 118 of 1998
National Council for Library and
Information Services Act 6 of 2001
37. Basic Education - Local Government is involved in providing
infrastructure and services
38. Communications - Local Government is involved in providing
infrastructure and services and must
adhere to the Acts as South African
institution
39. Cooperative Governance and Traditional Affairs
Firefighting services
Municipal planning
Already discussed in item 3.4
40. Correctional Services - Local Government is involved in providing
infrastructure and services
41. Defence and Military Veterans
- Local government is involved in providing
infrastructure and services
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42. Economic Development - “Municipalities may play a connector role
in respect of Local Economic
Development (LED) whereby they draw
on resources locked in a range of different
support instruments into their localities”
(DPLG 2005:9)
43. Energy Electricity and gas
reticulation
Street lighting
The National Energy Act 34 of 2008
National Energy Regulator Act 40 of 2004
44. Finance - Already discussed in item 3.4
45. Health Municipal health services Licensing and control of undertakings that sell food to the public
The National Health Act 61 of 2003.
46. Higher Education and Training
- Local government is involved in providing
infrastructure and services
47. Home Affairs - Local government is involved in providing
infrastructure and services. There are also
newly established Multi-Purpose Centres
which are supposed to be a one-stop
shop for government services such as the
issuing of birth certificates.
48. Human Settlements Storm-water management
systems in built up areas
Water and sanitation
services limited to potable
water supply systems and
domestic waste-water and
sewage disposal systems
Housing:
The National Housing Act 107 of 1997
Rental Housing Act 50 of 1999
Social Housing Act 16 of 2008
Sanitation:
The White Paper on Basic Household
Sanitation of 2001
Department of Water Affairs and Forestry
(DWAF)
Also refer to Van der Linde’s (2006)
Compendium on Environmental
Legislation
49. International Relations and Cooperation
- Local government benefits from donor
funding
50. Justice and Constitutional Development
Traffic and parking Local government is involved in providing
infrastructure and services but there are
metros with municipal courts that: Provide
for information on traffic fines and by-laws;
give results on the public representation
on their traffic fines; provide assistance
from the public prosecutor; check
outstanding fines of the individual;
prosecute traffic and by-law offenders;
and provide good customer service
through answering enquiries via
telephone and public counter
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51. Labour - Local government like all other institutions
must adhere to employment legislation,
discussed in the next section
52. Minerals Resources - Local government is involved in providing
infrastructure and services
53. Minister in the Presidency for the National Planning Commission
- The NDP of 2011 is discussed in section
3.9.4
54. Minister in the Presidency for Performance Monitoring and Evaluation as well as Administration
- The Performance Monitoring and
Evaluation Framework
Source: (Coded from various legislation in national sector departments – See
Bibliography section for references to legislation, frameworks and strategies)
It is not only municipal powers and functions that are legislated, but to
professionalise some critical occupations, they have also been legislated.
3.5.3 Professions that are legislated and found within municipalities
Although the Minister for CoGTA’s Delivery Agreement (2010:23) aims to ensure that
there is “a professional core team that is able to plan and administer essential
services”, it is once again various Ministries that are directly responsible for “the
professional councils that identify and support critical actions to ensure not only
registration but ongoing training for those already qualified in the respective
professions. This should allow for the retention of skills but also improve quality
based innovations and technological improvements”. The professions that have been
regulated in South Africa and that are administered by statutory professional bodies
are:
The Health Professions Act 56 of 1974
The Engineering Profession Act 46 of 2000
The Auditing Profession Act 26 of 2005
The Professional and Technical Surveyors Act 40 of 1984
The Planning Professions Act 36 of 2002
The National Archives and Records Service of South Africa Act 3 of 1996
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Another important aspect of municipalities is the management and development of
their human resources and administration. This thesis focuses on capacity building
of which one aspect focuses on individuals, the other on the institution (municipality)
and the third on the environment in which the institution operates (a systemic
approach to capacity building).
3.5.4 Generic human resources and public administration legislation
What is of importance in terms of legislation that local government must adhere to
are that the management of human resources and administration should be
practiced in an integrated manner in local government.
The Basic Conditions of Employment Act 75 of 1997
The Labour Relations Act 66 of 1995
The Employment Equity Act 55 of 1998
The Occupational Health and Safety Act 85 of 1993
The Promotion of the Administrative Justice Act 3 of 2001
It is necessary to further legislatively contextualise capacity building specifically in
view of the focus of this thesis.
3.6 Legislation impacting on capacity building
The following extracts provide a perspective for the system of capacity building in
local government:
3.6.1 Constitution of 1996
In terms of capacity building the constitution refers to the following:
Section 125 indicates what provincial executive authority is and the
administrative capacity it needs to assume effective responsibility. It also
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states that national government by legislation and other measures must assist
provinces to develop administrative capacity required for executive powers
and performance of their functions.
Section 155 informs that each provincial government must promote the
development of local government capacity to enable municipalities to perform
their functions and manage their own affairs.
Section 156 states that national and provincial governments must assign to
municipalities; by agreement and subject to conditions, the administration of a
matter listed in Schedules 4 and 5 Part A if, amongst others, the municipality
has the capacity to administer it.
Section 214 informs that when considering equitable share and fiscal revenue
a municipality’s fiscal capacity and efficiency and that of the province must be
considered.
3.6.2 Municipal Structures Act 117 of 1998
In terms of capacity building the Municipal Structures Act of 1998:
Defines capacity in relation to municipalities as including administration,
finance and infrastructure that enables a municipality to collect revenue and
govern on its initiative the local government affairs of its community.
Section 19 states that a municipal council must strive within its capacity to
achieve the objectives set out in Section 152 (objects of local government) of
the Constitution of 1996.
Section 83 informs that a district municipality must seek to achieve the
integrated, sustainable and equitable social and economic development of its
areas as a whole by amongst others building the capacity of a local
municipality in its area to perform its function and exercise its powers where
such capacity is lacking.
Section 85 states that an MEC for local government may allocate a function or
power only if the municipality in which the function and power is vested has
the capacity to perform that function or exercise that power and the MEC has
consulted the MDB and considered its assessment of the capacity of the
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municipality concerned. The MDB must consider the capacity of a district or
local municipality to perform its functions and exercise the powers vested in
the municipality. The MEC may furnish reasons if he/she disagrees with the
MDB’s capacity assessment. The MECs for local government in a province
must assist a district municipality to provide support services to a local
municipality.
3.6.3 Municipal Systems Act 32 of 2000 (MSA)
In terms of capacity building the MSA determines:
In Section 4, that the Council of a municipality, within the financial and
administrative capacity and having regard to practical considerations, must
carry out its duties.
That a cabinet member, MEC or organ of state initiating an assignment of a
function or power to a municipality must take appropriate steps to ensure
sufficient funding and such capacity building initiatives as may be needed for
performance of the assigned function or power by the municipality (Section
10).
In Section 16, that a municipality must develop a culture of municipal
governance that complements formal representative government with a
system of participatory governance and must for this purpose, amongst
others, contribute to building the capacity of the local community to enable it
to participate in the affairs of the municipality, councillors and staff, to foster
community participation.
That when making regulations or issuing guidelines; in terms of Section 120,
the Minister must, amongst others, take into account the capacity of
municipalities to comply with those matters and differentiate between different
kinds of municipalities according to their respective capacities (Sections 22,
49 and 72 also refer to the above).
In Section 25, states that each municipal council must within a prescribed
period after the start of its elected term adopt a single, inclusive and strategic
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plan for the development of the municipality which, amongst others, aligns the
resources and capacity of the municipality with the implementation of the plan.
That a municipality must develop its human resource capacity to a level that
enables it to perform its functions and exercise its powers in an economical,
effective, efficient and accountable way and for this purpose must comply with
the Skills Development Act 97 of 1998 and Skills Development Levies Act 9 of
1999 (Section 68 (1)).
In Section 72, the Minister may, subject to labour legislation and after
consultation with the bargaining council for local government make
regulations to regulate, amongst others, capacity building within municipal
administration.
Section 78 states that when a municipality has to decide on a mechanism to
provide for a municipal service for the municipality or part thereof or to review
any existing mechanism it must first assess, amongst others, the
municipality’s capacity and potential future capacity to furnish the skills,
expertise and resources necessary for the provision of the service through an
internal mechanism; and the extent to which the re-organisation of its
administration and the development of the human resources capacity within
that administration could be used.
In providing a service through an internal mechanism, processes and
procedures according to Section 105, the MEC must monitor the development
of local government capacity in the province and assess the support needed
by municipalities to strengthen their capacity, to manage their own affairs,
exercise their powers and perform their functions.
Section 108 states that when establishing standards the Minister or other
cabinet members must take into account the capacity of a municipality to
comply with those standards and differentiate between different kinds of
municipalities according to their respective capacities.
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3.6.4 Intergovernmental Framework Relations Act 13 of 2005 (IGRFA)
The Intergovernmental Framework Relations Act of 2005 determines that:
An implementation protocol must be considered when an organ of state to
which primary responsibility for implementation of the policy, the exercise of
statutory function, or provision of the service has been assigned, lacks the
necessary capacity.
Interprovincial and inter-municipal consultative forums for the participatory
province / municipality to discuss and consult on matters of mutual interest,
include: information sharing, best practices and capacity building.
However, enforcement needs to be strengthened as the Parliamentary Standing
Committee on Appropriations (supported by the Chairperson of the Portfolio
Committee on Cooperative Governance) at a meeting held in August 2010 again
raised concerns about the lack of coordination and impact made on capacity building
initiatives targeting municipalities (NCBF 2012 to 2016:3). Capacity is not tightly
defined and in practice is used in a broad and loose fashion as the cause for
challenges arising (NCBF 2012 to 2016:5). To further illustrate this, various concepts
used to refer to capacity building also found in legislation, are discussed.
3.6.5 Broadened legislative scope for capacity building
To make matters even more complicated, lately, when reference is made to capacity
building it may also mean ‘support’ or to ‘assist’ municipalities as well as skills
development (which could also mean training, development, human resource
development, education or refer to competence). The afore-mentioned concepts are
considered approaches to capacity building and there are very specific references to
these concepts in the following legislation.
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3.6.5.1 Reference to ‘support’ or ‘assist’ in terms of the Constitution of 1996
In terms of support or assistance to strengthen local government capacity building
the Constitution stipulates in:
Section 41 that all spheres of government and all organs of state within each
sphere must cooperate with one another in mutual trust and good faith by
amongst others assisting and supporting one another.
Section 154 that: “the national government and provincial governments, by
legislative and other measures, must support and strengthen the capacity of
municipalities to manage their own affairs, to exercise their powers and to
perform their functions.”
Section 155 that each provincial government must provide for monitoring and
support of local government in the province.
3.6.5.2 Reference to ‘support’ or ‘assist’ in the Municipal Structures Act 117 of
1998
In terms of support or assistance to strengthen local government capacity building
the Municipal Structures Act of 1998 stipulates:
In Section 88 that a district municipality and the local municipality within the
area of that district municipality must cooperate with one another by assisting
and supporting each other.
That, a district municipality on request by a local municipality may provide
financial, technical and administrative support services to that local
municipality to the extent that, that district municipality has the capacity to
provide those support services (the same principle may be implemented in
terms of a local to a district municipality and a local to a local municipality as
referred to in Section 88).
That the MEC for local government must assist a district municipality to
provide support services to a local municipality (Section 88 (3)).
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3.6.5.3 Reference to ‘support’ or ‘assist’ in the MSA 32 of 2000
In terms of support or assistance to strengthen local government capacity building
the MSA stipulates:
In Section 3 (3) for purposes of effective cooperative governance, organised
local government must seek to amongst others enhance cooperation, mutual
assistance and sharing of resources among municipalities.
In Section 24 that if a municipality is required to comply with planning
requirements, in terms of national and provincial legislation, the responsible
organ of state must, amongst others, take reasonable steps to assist the
municipality to meet the time limit applicable to integrated development
planning.
In Section 31 that a MEC for local government must assist a municipality with
the planning, drafting, adoption and review of its IDP.
In Section 78 the national government or relevant provincial government may
assist municipalities in carrying out feasibility studies in terms of municipal
services or in preparation of a service delivery agreement.
In Sections 86 E and J that a municipality may establish a private company or
acquire an interest in one or in a service utility, respectively, only for the
purpose of using the company/entity as a mechanism to assist in the
performance of its powers and functions.
In Section 108 that provinces should monitor municipalities to assess the
support needed by municipalities to strengthen their capacity to manage their
own affairs and exercise their powers and perform their functions.
In the purpose of the Code of Conduct of Councillors that, councillors
amongst others, should “support the municipality in the achievement of its
objectives”.
3.6.5.4 Reference to ‘support’ or ‘assist’ in the IGRFA 13 of 2005
In terms of support or assistance to strengthen local government capacity building
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the Intergovernmental Framework Relations Act 13 of 2005 stipulates that:
IGR structure means, amongst others, a technical support structure.
An implementation protocol must be considered to materially assist the
national or provincial government in complying with its constitutional
obligations to support the local sphere or build capacity in that sphere.
3.6.5.5 Reference to skills and capacity development related concepts in the
Constitution of 1996
The variables ‘training’, ‘education’, ‘human resource (HR) development’ (part of HR
management), ‘skills development’ and ‘competence’ are considered to influence
approaches to capacity building and there are very specific references to these
concepts in the Constitution of 1996.
Section 29 states that everyone has the right to:
o A basic education including adult basic education.
o Further education, which the State through reasonable measures must
make progressively available.
o Education in an official language or language of choice.
The SA Human Rights Commission must require information on amongst
others education from state organs (Section 184 (3)).
Section 195, requires the cultivation of good human resource management
and career development practices, to maximize human potential.
Competence is related to the powers and functions of the sphere of
government as per the constitutional schedules (which differ from the MSA of
2000 in which competence focuses on human resource competence).
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3.6.5.6 Reference to skills development and capacity building in the Municipal
Structures Act 117 of 1998
The Municipal Structures Act 117 of 1998 also refers to ‘training’, ‘education’, ‘human
resource development’ (HRD) (part of human resource management (HRM), ‘skills
development’ and ‘competence’ as important variables for capacity building and
developing skills in local government.
Section 82 (2) states that a person appointed as a Municipal Manager must
have the relevant skills and expertise to perform the duties associated with
that post.
In its reference to fire fighting services in terms of serving the area of the
district municipalities as a whole, reference is made to the training of fire
officers.
3.6.5.7 Reference to skills development and capacity building in the MSA 32 of
2000
The MSA of 2000 refers to ‘training’, ‘education’, ‘human resource (HR)
development’ (part of HR management), ‘skills development’ and ‘competence’ as
follows:
Section 54 allows the Minister to determine competence criteria.
In Section 67, a municipality in accordance with applicable law and
subject to any applicable collective agreement, must develop and adopt
appropriate systems and procedures to ensure fair, efficient, effective and
transparent personnel administration, including any other matter
prescribed by regulation in terms of Section 72 (capacity building and
training).
In Section 72, the Minister may, subject to labour legislation and after
consultation with the bargaining council for local government, make
regulations to regulate amongst others training of staff members,
including in-house training subject to skills development legislation.
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It states that a municipality may in addition to the provision for a training
levy in terms of the Skills Development Levies Act 9 of 1999 make
provision in its budgets for the development and implementation of
training programmes (Section 68 (2)).
In Section 68 (3), a municipality which does not have the financial means
to provide funds for training programmes may apply to the SETAs.
In summary, although the legislative focus on capacity building seems
extensive, the above legislative extracts broadly address the following
matters, achieving:
o The five objects of local government.
o Municipal financial capacity.
o Municipal administration capacity.
o Municipal infrastructure capacity.
o Cooperation between the three spheres and between municipalities.
o The conduct of assessments to determine municipal capacity.
o Community participation capacity.
o Viable regulations and standards (with due regard to the capacity of
municipalities).
o Consultation with the bargaining council on relevant regulations.
In South Africa legislation to strengthen the address of individual capacity is provided
for extensively through skills development legislation at a national level.
3.6.6 National sector legislation related to skills development and education
As explained previously, individual capacity building approaches relate to skills
development and related terms (such as education and development) and thus it is
necessary to also understand the scope of this legislation.
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3.6.6.1 The National Qualifications Framework Act 67 of 2008
The purpose of the Act is to provide for the National Qualifications Framework; the
responsibilities of the Minister for Higher Education and Training; the Minister for
Labour; the South African Qualifications Authority (SAQA); Quality Councils; for
transitional arrangements; to repeal the SAQA Act of 1995; and matters connected
therewith.
3.6.6.2 The Skills Development Act 97 of 1998
The Act has been amended to define certain expressions; broaden the purpose of
the Act; provide anew for the functions of the National Skills Authority and its
composition; provide anew for the function of the SETAs; provide for
apprenticeships; make further provision in respect of the implementation of
employment services; increase the quality and quantity of artisans; repeal remaining
sections of the current Manpower Training Act 56 of 1981; provide for Skills
Development Institutes and the Quality Council for Trades and Occupations; clarify
the legal status of Productivity South Africa and the legal and governance status of
the National Skills Fund; and matters connected therewith.
3.6.6.3 The Skills Development Levies Act 9 of 1999
The Act provides for the imposition of a skills development levy; and for matters
connected therewith
3.6.6.4 The Higher Education Act 101 of 1997
This Act regulates higher education to provide for: the establishment, composition
and functions of a Council on Higher Education (CHE), the establishment,
governance and funding of public higher education institutions; the appointment and
functions of an independent assessor; the registration of private higher education
institutions and quality assurance and quality promotion in higher education;
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transitional arrangements and the repeal of certain laws; and matters connected
therewith.
3.6.6.5 The Adult Basic Education and Training Act 52 of 2000 (ABET)
This Act aims to establish public and private adult learning centres, funding for ABET
provisioning, the governance of public centres and quality assurance mechanisms
for the sector.
3.6.6.6 The Basic Education Laws Amendment Act 15 of 2011
The aim of the Act is to:
amend certain definitions and define "loan" in the National Education Policy
Act 26 of 1996 and the South African Schools Act 84 of 1996;
provide for consultation with the Minister of Finance before uniform minimum
norms and standards are determined;
ensure that there is no unfair discrimination in respect of official languages;
provide for the imposition of a suitable sanction if an appeal by a learner who
had been expelled from a public school has been upheld by the Member of
the Executive Council;
provide for public schools that provide education with a specialised focus on
talent;
provide for additional functions of a principal of a public school and the
training of governing bodies by recognised governing body associations;
prohibit political activities during school time;
empower the Member of the Executive Council to identify additional schools
that may not charge school fees;
further regulate the liability of the State for certain damages;
amend certain definitions to the Employment of Educators Act 76 of 1998, the
South African Council for Educators Act 31 of 2000 and the General and
Further Education and Training Quality Assurance Act 58 of 2001;
regulate afresh the application of the said acts;
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amend certain definitions and empower the council to manage a system for
the promotion of the continuing professional development of all educators;
provide the council with funding from money appropriated by Parliament; and
provide for matters connected therewith.
3.6.6.7 Green Paper for Post School Education and Training of 2012
“The Green Paper provides a vision for a single, coherent, differentiated and highly
articulated post-school education and training system. This system will contribute to
overcoming the structural challenges facing our society by expanding access to
education and training opportunities and increasing equity, as well as achieving high
levels of excellence and innovation. Key problem areas which prevent the system
from playing its potential role are outlined, and solutions are proposed. In some
cases options are presented for discussion. Although progress in transforming the
post-school institutions has been made since 1994, the system still bears the marks
of Apartheid. This manifests itself in inequalities, poor quality of education in former
black institutions and lingering discrimination” (The Green Paper for Post School
Education and Training 2012:x).
3.7 Ethics and legislation
Van der Waldt& Helmbold (1995:157,59) confirm what has already been stated, that
“at all levels of government in South Africa, policy is issued by legislatures and left to
public officials for implementation. This is so that services can be rendered to the
community. In the rendering of these services, the conduct of public officials must
always be in the public interest in order to promote the community’s interest. These
officials are subjected to the influence from within and outside the public sector.
Owing to this influence they could be susceptible to unfair action and favouring,
nepotism and corruption”.
Thus, ethics herein refers to the behaviour of public officials in the performance of
their daily activities. “Ethics play a significant role in the prevention of corruption,
nepotism, maladministration, unfair action and dishonest preferential treatment” (Van
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der Waldt& Helmbold 1995:158). As previously stated professional ethics is also a
constitutional principle.
Van der Waldt& Helmbold (1995:174) also argue that “an ethical code of conduct
and appropriate training in this regard can make a notable difference in the ethical
dilemmas of the public official. An ethical code is necessary to guide the public
servant in his services rendering to the community and to safeguard him or her
against unfair demands by the community. This also promotes the image of the
public service.” However, codes of conduct have been developed for each sphere of
government and for councillors and possibly alignment to ethical considerations and
adherence is the next step that must be instituted.
3.8 Common legal issues relevant to local government
Bekink (2006:508-511) lists the following as common legal issues that local
government has to deal with:
The law of contract – all municipalities are involved in various legal
contractual relationships.
Property Law – property is regarded as of such great importance in our
modern democracy that it has been afforded direct protection under the
Constitution of 1996 and excludes issues regarding expropriation; property
leasing; purchase, sale and acquisition; transfer of property ownership and
other related land use rights.
The law of delict (a delict occurs when one party commits a wrong against
another) – all municipalities face delictual accountability on a daily basis
that is not only confined to claims but also special claims under the legal
protection of vicarious liability, defamation and other unique forms of
delictual accountability.
Constitutional law and administrative law.
Criminal law.
Labour law.
Building regulations and town and regional planning law.
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Environmental law.
3.8.1 Challenges of local government with the implementation of legislation
In view of the wide spectrum of legislation that is implemented in the local
government sphere and the variance in capacity there are challenges that need to be
addressed in the implementation of legislation.
Bekink (2006:505) states that in “the light of various aims and responsibilities of local
governments, it is generally accepted that such governments are confronted with
almost all aspects of the law...In many areas, the local municipality is often the
largest employer organisation and also the largest economically active entity”.
Firstly, the importance of legal knowledge regarding not only the composition and
functioning of municipalities but also other fields of law is of significant importance.
No legal practitioners can practice law in a particular area in our country without
sound knowledge of the legal rules that are applicable to local governments (Bekink
2006:505). De Visser (2009:15-18) lists the following as challenges facing local
government with specific reference to legislation:
Size: A significant challenge is the size of the average South African
municipality. The country has 283 (now 278) municipalities that serve a
population of close to 48 million and cover a landmass of 1,220,813 square
kilometers (StatsSA 2007 in de Visser 2009:15-18). Municipalities are
actually charged with a regional mandate if compared to other countries
with very diverse communities that makes it difficult to realize effective
community participation; specifically in rural areas.
Executive Mayors: Municipal executive powers are concentrated in one
councillor in contrast to the conventional collective executive system - there
are concerns about potential exclusionary effects.
Role definitions: Division of powers among political office bearers in a
municipality has provided for a persistent source of tension and
contestation.
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Council appointees: The role of the most senior municipal official, now
called the municipal manager, has changed significantly.
Improving community participation: An apparent contradiction exists
between the progressive legal framework for community participation and
persistent incidences of protest targeting councillors and municipal
administrations.
Bekink (2006:520 and 522) states that in terms of the Constitution of 1996 and
enabling local government legislation, structures have been created to establish a
local government system aimed at coping with such issues as development, the
expansion of urban settlements and the ever-increasing demands on the sustainable
provision of essential municipal services to local communities. Local government has
also been incorporated directly within the overall governmental structure of the State
and has been accorded a distinctive an autonomous status. Thus, it seems that the
new legal system is well-equipped to fulfil the broad constitutional requirements.
Despite the afore-mentioned he too believes there are still some challenges that
need to be addressed (Bekink 2006:520-521):
Although a clear division of the roles and responsibilities of the various
types of municipalities has been determined, in practice there seems to be
some uncertainty especially in terms of the division of powers and
functions between local and district municipalities.
Many municipalities still face enormous challenges relating to their new
structures and boundaries and also relating to the amalgamation of
municipal administrations and personnel.
The restructuring of local government has created uncertainty in respect of
the application of old-order laws, in particular with regard to jurisdictions,
and also on how new-order laws should be interpreted.
It is obvious that municipal governments are becoming more complex in
comparison with their predecessors. Such complexities and duties require
an effective, committed and educated leadership and the new legal
dispensation provides for specific codes of conduct for both political office
bearers and municipal administrative personnel. Although the framework is
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extensive, it should be reviewed regularly and swift legal changes should
be enacted to rectify or expand existing rules in order to overcome
practical compliance challenges.
Possibly municipal service provision mechanisms need to be expanded to
enhance better achievement of the legislative goals.
The DCoG has established a National Legal Advisors’ Forum represented
by provinces to identify and address, amongst others, service delivery
challenges caused by legislation.
3.8.2 Addressing local government’s challenges to implement
legislation
In 2011, the DCoG commenced with a review of legislation that impedes service
delivery. This entails discussion on inputs received from provinces in response to the
request by the department to identify legislative impediments to service delivery. The
following matters, also relevant to support, capacity building and training, were
identified to be addressed and are currently receiving attention:
There is no explicit duty on national government to capacitate provinces
(specifically unfunded mandates). Section 125 (3) of the Constitution
stipulates that national government must assist provinces to develop
administrative capacity required for effective exercise of their powers
(DCoG 2011:5). A Monitoring, Support and Interventions Bill has been
drafted to address this matter.
With reference to Section 154 (1) of the Constitution, there is no national
or provincial legislation prescribing a framework for national and provincial
governments for providing support to local government (DCoG 2011:9).
The gap identified is a lack of set standards in relation to support provided.
The professionalisation of local government is being addressed through
the Municipal Systems Amendment Act 7 of 2011 and the
professionalisation of municipal management has been raised (DCoG
2011:18). A Draft Concept Paper on Professionalisation was consulted on.
The HR management system in local government is not addressing the
objectives set in the IDPs. The DCoG has embarked on amendments to
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the MSA and has drafted Regulations for Section 56 and 54A managers.
It will also be drafting regulations for staff below Section 56 managers in
the 2013 / 2014 financial year, to further strengthen the Act.
Asset Management Regulations are being reviewed to address the lack of
capacity and lengthy processes (Municipal Systems Amendment Act 7 of
2011:41).
A Land Use Management Bill of 2011 has been developed (DCoG
2011:77).
Although the legislative context has been created for local government to plan,
manage performance, and manage finances, implementation of legislation is not
found across local government. One of the reasons provided is that the legislative
prescripts are too complex for some municipalities (which are illustrated in Chapter
Five). It is not only legislation that influences local government but as explained
previously, policy may become future legislation and thus it is necessary to also
reflect on policy, framework and strategy positions, that local government may need
to plan for.
3.9 Current policy frameworks and strategy positions influencing local
government
The policy, frameworks and strategy positions discussed below are of sector-specific
or specialised authority. The first three strategies under discussion are South African
macro-economic strategies:
3.9.1 The Rural Development Strategy (RDS)
The government introduced the RDS discussion document in 1995 and the strategic
themes of the RDS include:
Building rural local government.
Promoting economic development.
Building rural infrastructure.
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Improving services, and building social and environmental sustainability.
There are four foci in terms of development options (Nemvumoni 2009:85-
86), the -
promotion of rural markets;
promotion of small, medium and micro-enterprise in rural areas;
support for agricultural programmes; and
promotion of tourism-end ecotourism.
3.9.2 The Urban Development Strategy (UDS)
Nemvumoni (2009:84) states that the UDS “clearly sets out the government’s view
that South Africa’s future is an urban one and that correcting urban inequalities and
improving the function and output of urban economies is crucial for the eradication of
poverty and the achievement of a more equitable society”. The Urban Strategy has
seven strategic goals, to –
create efficient and productive cities with less poverty and sustained by
dynamic economies;
reduce existing infrastructure and service disparities;
provide better housing and shelter and greater security of tenure for urban
residents;
encourage affordable growth of local economies;
tackle spatial inefficiencies, especially the mismatch between where
people live and work - to improve the quality of the urban environment;
transform local authorities into effective and accountable local government
institutions; and
establish safe and secure living and working environments.
The Department of Housing also developed an Urban Development
Framework in 1997.
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3.9.3 Growth, Employment and Redistribution Strategy (GEAR)
Aliber (2002:15 in Nemvumoni 2009:88) explains that the abandonment of the RDP
led to the closure of the RDP office which culminated in the introduction of an overall
strategy called GEAR, that incorporated some of the RDP’s socio-economic policies.
The emphasis in GEAR was on the expansion of the private sector and the
achievement of high rates of economic growth. The GEAR strategy called for a major
transformation in both the private and public sectors including, amongst others, a
stable environment to encourage private investment; a competitive platform for the
expansion for the tradable goods sector; as well as improved labour market flexibility
(Van der Westhuizen 199:26-27 and Aliber 2002:15 in Nemvumoni 2009:88).
The NDP 2030 was presented to Parliament in 2012 to carry forward and go beyond
the goals that the aforementioned strategies aimed to achieve.
3.9.4 The National Development Plan: Vision 2030 of 2011 (NDP)
By 2030 the NDP’s critical goals for South Africa are to eliminate poverty / attack
poverty and reduce inequality. Thus:
All citizens must have capabilities to grasp the ever-broadening
opportunities available to live the life that they desire through education
and skills, decent accommodation, nutrition, safe communities, social
security, transport and jobs.
The country will have the capabilities that will enable citizens to thrive, i.e.
a capable state leadership from all sectors of society created through a
pact for mutual sacrifice and trust; the creation of conditions and an
environment for higher levels of public and private investment, to create
jobs and ensure rising incomes. A national capability that enables
competitiveness, including human capital (built through education, health,
skills and work experience), physical infrastructure (schools, clinics, ports
and power lines), technologies, management skills and social institutions
to live decent lives (NDP 2011:2-4).
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The key enablers of the NDP of 2011 (NDP 2011:2) will be:
Strong leadership throughout society (to promote cooperation between all
sectors to support growth and job creation).
National consensus.
Social cohesion (each to be concerned about the well-being of the other –
social solidarity).
A capable state.
Chapter 13 of the NDP (NDP 2011:363-399) aims to build the capable
state with the focus on the following five key areas:
To stabilise the political–administrative interface.
To make public service and local government careers of choice.
To develop technical and professional skills.
To improve relations between the three spheres.
To redress the roles of state-owned enterprises.
All elements contained in the NDP cut across local government and if
implemented would assist local government to succeed in achieving its
constitutional objects, in the same way that improving government
performance will be a vehicle that will assist it in succeeding.
3.9.5 The Green Paper on Improving Government Performance of 2011
“...the process (on improving Government performance) is about improving our (the
State’s) efficiency, (and) it is about reducing the unit cost of the service we provide.
Ensuring that the outputs deliver the outcomes that have been politically chosen, is a
measure of whether government is being effective. Genuine change based on critical
self-reflection is required. That means changes in how we behave not just superficial
adjustments” (Foreword by Collins Chabane The Green Paper on Improving
Government Performance 2011:2).
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The key elements of the Government Performance Framework are:
All large or strategic programmes, or those of significant public interest, or of
concern, must be periodically evaluated.
Minimum standards for planning to undertake effective Monitoring and
Evaluation (M&E). Key for this evaluation policy framework is sectoral and
cross-sectoral plans (such as delivery agreements for outcomes), programme
and project plans. The plans require effective diagnosis, standardised and
good quality theories of change (how the outcomes will be achieved) and
good quality measurable indicators. An immediate priority for evaluation is
agreeing on minimum standards for programme plans.
Three-year and annual national and provincial evaluation plans.
All evaluations in the evaluation plan must be in the public domain, on the
departmental and DPME website. They must be peer-reviewed and results
communicated to different audiences, including the relevant Parliamentary
Committees.
All evaluations must include recommendations, and plans to address the
recommendations must be produced by departments and their
implementation must then be monitored.
DPME and Offices of the Premier will provide technical support and quality
control for evaluations.
Appropriate training courses will be provided by the National School of
Government (former PALAMA); that provides transversal training to
government, and universities are to build evaluation capacity in the country
(cf. The Green Paper on Improving Government Performance of 2011:3).
The approach of the Green Paper strengthens the outcomes-based
approach of the Cabinet Lekgotla, held from 20 to 22 January 2010, which
adopted the following 9 outcomes
(http://www.info.gov.za/issues/outcomes/index.html:1) as focus areas for
government's work:
o “An improved quality of basic education (outcome 1).
o A long and healthy life for all South Africans (outcome 2).
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o All South Africans should be safe and feel safe (outcome 3).
o Decent employment through inclusive growth (outcome 4).
o A skilled and capable workforce to support an inclusive growth path
(outcome 5).
o An efficient, competitive and responsive economic infrastructure
network (outcome 6).
o Vibrant, equitable, sustainable rural communities with food security for
all (outcome 7).
o Sustainable human settlements and an improved quality of household
life (outcome 8).
o A responsive, accountable, effective and efficient local government
system (outcome 9)”
(http://www.info.gov.za/issues/outcomes/index.html:1).
The context for local government and the NCBF to address seven critical
issues are referred to as the following outputs
(http://www.info.gov.za/issues/outcomes/index.html:1):
o To develop a more rigorous, data driven and detailed segmentation of
municipalities that better reflect the varied capacities and contexts
within municipalities and lays the basis for a differentiated approach to
municipal financing, planning and support (output 1).
o To ensure improved basic services (output 2).
o To initiate ward-based programmes to sustain livelihoods (output 3).
o To contribute to the achievement of sustainable human settlements
and quality neighbourhoods (output 4).
o To strengthen participatory governance (output 5).
o To strengthen the administrative and financial capability of
municipalities (output 6).
o To address coordination problems and strengthen cross-departmental
initiatives (output 7).
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Environmental assets and natural resources that are well protected and
enhanced (outcome 10).
o A better Africa and a better world as a result of South Africa's
contributions to global relations (outcome 11).
o An efficient and development-oriented public service and an
empowered, fair and inclusive citizenship (outcome 12)”
(http://www.info.gov.za/issues/outcomes/index.html:1).
In the MDA (2010:5), it is explained that “each of the 12 outcomes has a delivery
agreement which in most cases involve all spheres of government and a range of
partners outside of the Government. Combined, these agreements reflect
government’s delivery and implementation plans for its priorities up to 2014…(they
also provide) details of the outputs, targets, indicators and key activities…identifies
required inputs and clarifies roles and responsibilities of the various delivery
partners…(and) will be reviewed annually”. To ensure that there is better cooperation
across government to work together in achieving the
12 outcomes, it has been necessary to further outline how to implement cooperative
governance, as contained in the Constitution of 1996.
3.9.6 Green Paper on Cooperative Governance of 2010
The central policy thrust of this Green Paper is about supporting the system of
government to work more effectively and more coherently. More detailed discussions
on this aspect and its link to the NCBF will be addressed in Chapter Four of this
thesis (Green Paper on Cooperative Governance 2010:4).
There will also need to be interventions by another sphere of government in those
cases where a sphere of government is not able to perform its functions. A Bill has
been developed to address this.
3.9.7 The Intervention in Provinces and Municipalities Bill of 2010
”...to regulate the implementation of, and the processes provided for, in Section 100
and Section 139 of the Constitution; to provide for targeted support for municipalities
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in need of assistance; and to provide for matters connected therewith” (The
Intervention in Provinces and Municipalities Bill 2010:1). The Bill is currently in
consultation phase.
There are also processes underway to develop a one-stop public service approach.
3.9.8 An integrated / single public service
The Draft Public Administration Bill of 2008 aims to “propose to regulate the
organisation, management, functioning and staffing matters concerning departments
in the national and provincial sphere of government, municipalities and government
components within all three spheres” and the process towards a single/integrated
public service has been reinstated by the ruling party. The format that the re-instated
model will take is not yet known.
A one-size fits all approach to municipalities is, however, not deemed to be the
preferred way of supporting local government and thus differentiation and what it
would mean is being conceptualised.
3.9.9 Framework for a Differentiated Approach to Municipal Support:
Discussion Document of 2011
Differentiate means: “to recognise or identify as different or distinct” (Framework for
a Differentiated Approach to Municipal Support: Discussion Document 2011:8). It is
important to make a distinction between differences between municipalities and
differentiation between municipalities –
differences refer to the characteristics of municipalities, while differentiation
refers to the way municipalities are treated in the light of those differences
(Framework for a Differentiated Approach to Municipal Support: Discussion
Document 2011:8).
The White Paper on Local Government guided the identification of differentiation in
the following areas:
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Spatial and economic realities of municipalities – environmental capacity.
Service delivery (including access and infrastructure) – institutional and
environmental capacity.
Financial management and administration - institutional capacity (2011:16).
Municipalities should consider the National Spatial Development Perspective, 2006,
that has resulted in Provincial Spatial Development Frameworks when developing
their five-year IDPs, linking it to a Service Delivery and Budget Implementation Plan
(SDBIP) and reviewing it annually.
3.9.10 Integrated Development Plans (IDPs)
Cloete (2011:9-10) says strategy usually refers to an implementation strategy or a
business plan (about how, when, by whom and with what anything should be done).
A municipality normally formulates its transformative vision as a framework to guide
its activities. This vision states the desired changes that the municipality would like to
bring about to the status quo, in order to develop its community optimally. The
achievement of the municipality’s vision implies successful, balanced and integrated
socioeconomic, environmental and institutional development programmes in that
community that can be sustained over time. Legislation prescribes the drafting and
approval of an IDP by the municipality as the main policy tool to achieve this goal.
Local government is also about service delivery and the DPSA has done further work towards
the development of a Service Delivery and Organisational Transformation agenda, to
strengthen the White Paper on Transforming Public Service Delivery of 1997 discussed in
item 3.3.3.2.
3.9.11 Service delivery and organisational transformation (SDOT) agenda
The DPSA at a workshop on the draft Batho Pele Services Standards Framework for
Local Government held on 18 October 2012 shared the SDOT agenda that is being
developed. It will consist of four pillars:
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Service delivery planning and implementation.
Organisational development and access.
Change management and Batho Pele.
Community development and participation.
Part of the process is the development of a service delivery value chain and
toolkits.
The following discussions cover collective agreements, guidelines, frameworks and
strategies that will influence Local Government Human Resources.
3.9.12 The South African Local Government Bargaining Council (SALGBC)
Collective agreements between municipalities and the SALGBC focus on service
benefits and the job evaluation system. However, no agreements specific to support,
capacity building and training were found. At municipal level there are Local Labour
Forums (LLFs) of which municipal Training Committees form subcommittees
(www.salgbc.org.za/index 2011).
3.9.13 Guidelines for Early Childhood Development (ECD) Services of 2006
In the human life cycle, the early childhood phase from birth to nine years is
considered the most important phase for every human being and should also be
promoted from a local government perspective through Child Care Facilities (a
municipal constitutional power and function). This is also important if a systemic
approach to capacity building is the adopted approach.
Early childhood development services need to be holistic and should attend to the
child’s health, nutrition, development, psychosocial and other needs. Parents,
communities, NGOs and government departments have to ensure an integrated
service to children. Collaboration between sectors is of the utmost importance.
Access to basic social services is the right of all children, parents and other primary
caregivers. They should have access to as many resources as possible to provide
for the needs of young children.
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In South Africa there are various strategies dealing with human resource
development that will be dealt with in the following sections.
3.9.14 Human Resource Development Strategy for South Africa: 2010 to 2030 (HRD-SA)
The HRD-SA is explicitly intended to contribute to the attainment of the following
national goals, to:
Urgently and substantively reduce the scourges of poverty and unemployment
in South Africa.
Promote justice and social cohesion through improved equity in the provision
and outcomes of education and skills development programmes.
Substantively improve national economic growth and development through
improved competitiveness of the South African economy.
In pursuance of the above goals, an HRD strategy was designed to complement a
range of purposeful development interventions to achieve the following:
improvement in South Africa’s Human Development Index (HDI). The HDI is a
composite statistic used to rank countries by level of "human development",
taken as a synonym of the older terms (the standard of living and / or quality
of life), and distinguishing "very high human development", "high human
development", "medium human development", and "low human development"
countries and the country’s global HDI ranking;
improvement in the measure and ranking of South Africa’s economic
competitiveness;
reduction in the Gini-coefficient (corresponding to a reduction in the inequality
of wealth in the country); and
improvement in the measure of social cohesion as measured through specific
social surveys.
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3.9.15 National Skills Development Strategy (NSDS) III: 2011 to 2016
NSDS III must ensure increased access to training and skills development
opportunities and achieve the fundamental transformation of inequities linked to
class, race, gender, age and disability in our society. It must also address the
challenges of skills shortages and mismatches which South Africa faces as a country
and improve productivity in the economy.
During this new phase, the Minister in the NSDS III has indicated that some
fundamental changes will be made to the leadership, governance and strategy of the
SETAs in order to meet the objectives of NSDS III and improve their functioning and
performance. The strategy also intends to set up a comprehensive performance
monitoring, evaluation and support system for all education, training and skills
development institutions, with a particular focus on the SETAs and public Further
Education and Training (FET) colleges. The real value added by SETAs is their
understanding of labour market issues in their respective industrial and economic
sectors. SETAs must ensure that they are backed by employers and workers, are
acknowledged as a credible and authoritative voice on skills; and create
interventions and shape solutions that address skills needs within their sectors.
SETAs must become recognised experts in relation to skills demand within their
sectors. Their role in helping monitor quality on the supply side remains, but will
reduce as other institutions, such as the Quality Councils for Trades and
Occupations (QCTOs), are established.
NSDS III intends to achieve significant increases in qualifications and skills to
support priorities and initiatives such as the New Growth Path, the Industrial Policy
Action Plan, the Human Resource Development Strategy and, in particular, sector
development plans.
Central to the objectives of the NSDS III is improved placement of both students and
graduates, especially from the FET colleges and universities of technology. In
addition, NSDS III will place particular emphasis on skills development to support
government’s goals for rural development.
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3.9.16 National Skills Accord of 2011
Government and its social partners signed a National Skills Accord, as one of the
first outcomes of social dialogue on the New Growth Path. The parties identified a
number of commitments towards training and skills development, which are detailed
in the Accord. These commitments are in eight key areas and are to:
Expand the level of training using existing facilities more fully.
Make internship and placement opportunities available within workplaces.
Set guidelines of ratios of trainees: Artisans as well as across the technical
vocations, in order to improve the level of training.
Improve the funding of training and the use of funds available for training
and incentives for companies to train.
Set annual targets for training in state-owned enterprises.
Improve SETA governance and financial management as well as
stakeholder involvement.
Align training to the New Growth Path and improve Sector Skills Plans.
Improve the role and performance of FET Colleges.
The parties recognise that these commitments, together with the other actions taken
by government, can significantly increase the number of South Africans who can
access training and it can result in a large increase in the skills-base for the
economy. Capacity building for local government is dealt with in the NCBF
frameworks.
3.9.17 National Capacity Building Framework (NCBF): 2012 to 2016
The NCBF: 2011 to 2016 was reviewed to ensure that the DCoG provides improved
oversight and coordination of support, capacity building and training initiatives and to
achieve the required impact on local government’s individual, institutional and
environmental capacity; dealing with amongst others the improvement of
functionality, performance and service delivery of local government through relevant
support, capacity building and training initiatives.
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3.10 Summary
This chapter built on the previous chapter which discussed the State and its
structures, with the aim to contextualise the NCBF for local government within the
relevant legislative, policy, framework and strategy positions of government.
The chapter provided an overview of legislation and the legislative function and
processes, by contextualising legislation and the legislative function and delegated
legislation. This included preparing draft legislation, obtaining cabinet approval, the
role of State Law Advisers, the introduction of a Bill to Parliament and the signing of
a Bill into law. Improvements to the legislative processes and legislation at the three
spheres of government, including national and provincial legislative authority,
municipal by-laws and traditional leaders and legislation were discussed.
A discussion of the South African local government law followed and the principles
and norms of South African local government law, the legal nature of local
government and the statutory framework were highlighted. Discussions under the
statutory framework alluded to the RDP White Paper 1994, the White Paper on
Transforming Public Service Delivery of 1997, the White Paper on Local Government
of 1998, the Municipal Structures Act of 1998, the MSA, the Promotion of Access to
Information Act of 2000 and Traditional Leadership and Governance Framework of
2003. An overview of legislation specific to local government and linked to
departments with sphere-wide regulatory jurisdiction, such as the Constitution of
199, with a focus on the objects of local government and the powers and functions
allocated to local government; the Intergovernmental Fiscal Relations Act of 1997,
the Organised Local Government Act of 1997, the Municipal Demarcation Act of
1998, the Municipal Structures Act of 1998, the MSA, the Disaster Management Act
of 2002, the Municipal Finance Management Act of 2003, the MPRA of 2004, the
IGRFA of 2005, and the Division of Revenue Act of 2011, followed.
The attention was then focused on an overview of legislation which applies to local
government but is linked to departments with specialised or sector-specific authority
such as the Constitution and the legislative context of public administration; national
sector departments’ legislation which impact on local government, professions that
are legislated and found within municipalities and generic human resources and
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public administration legislation that local government must adhere to.
The legislative scope that impacts on capacity was investigated in terms of the use
of the terms: support; assist; training; education; HR; HRD; skills development and
competence; in the following legislation: the Constitution, the Municipal Structures
Act of 1998, the MSA and the IGRFA of 2005. National sector legislation related to
skills development and education was also examined, i.e. the National Qualifications
Framework Act of 2008, the Skills Development Act of 1998, The Skills Development
Levies Act of 1999, the Higher Education Act of 1997, the ABET Act of 2000, the
Basic Education Laws Amendment Act of 2011 and the Green Paper for Post School
Education and Training of 2012. This was followed by a discussion on the gap in
legislation relevant to local government support, capacity building and training.
Ethics and legislation were discussed, followed by common legal issues relevant to
local government, including challenges which local government experience with the
implementation of legislation. Addressing local government’s challenges in
implementing the legislation was then considered. Furthermore, as it is people who
implement the legislation and the ethical conduct of role players was considered to
be an important aspect in ensuring compliance with legislation and improvement of
legislative processes.
Finally, the current policy, framework and strategy positions that influence local
government and capacity building were discussed. These were the draft RDS, UDS,
GEAR, the NDP of 2011, the Green Paper on Improving Government Performance
of 2011, the Green Paper on Cooperative Governance of 2010, the
Intergovernmental Monitoring, Support and Interventions Bill of 2010, an
integrated/single public service, the FDA of 2011, IDPs, SDOT agenda, SALGBC,
ECD Guidelines of 2006, HRD Strategy for South Africa: 2010 to 2030, NSDS III of
2011 to 2016, the National Skills Accord of 2011; and the NCBF: 2012 to 2016.
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CHAPTER FOUR
CONCEPTUAL AND PROCESS VARIABLES INFLUENCING THE NATIONAL
CAPACITY BUILDING FRAMEWORK: COOPERATIVE GOVERNANCE AND
SUPPORT, CAPACITY BUILDING AND TRAINING
4.1 Introduction
Chapters Two and Three formed the basis for Chapter Four by focusing inter alia on
the democratic and developmental state (and government); the Government system;
its structure; operations, policy process and concepts, as well as the legislative
environment; policy frameworks and strategy positions that influence local
government and support, capacity building and training, respectively. These chapters
provided the context for a model for national support, capacity building oversight and
coordination for local government. The aims with both these chapters were to
position the Draft Revised NCBF: 2012 to 2016 (although the first conceptualisation
of the draft started in 2011, within the context in particular, in terms of legislation;
policy frameworks and strategy positions of the State, in general; and local
government that has an impact on local government and the NCBF.
The aim of Chapter Four is to explain the conceptual and process variables
influencing cooperative governance and support, capacity building and training and
by implication the influence of cooperative governance on the NCBF.
The chapter sets out to clarify the following secondary research questions posed in
Chapter One (section 1.3): What does the SA cooperative governance system
entails and how does it interface with IGR? Does IGR provide the basis for
cooperative governance? What are the conceptual and process variables
influencing cooperative governance, support, capacity building and training in
terms of the NCBF?
Thus, the chapter provides a background to the SA cooperative governance system
by considering the principles behind IGR; the origin of cooperative governance;
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cooperative governance in SA and the proposals towards a project based structure
of an organisation to promote cooperative governance in the relevant organisations.
Consideration is given to the relevance of concepts and the following phenomena
are discussed: cooperative governance versus IGR; cooperative governance and
coordination; the interface between cooperative governance, governance and good
governance; the importance of leadership in exercising cooperative governance;
cooperative governance and strategic planning and management; co-management,
collaborative management and cooperative governance; municipal entity, public
private partnerships and cooperative governance; and the interface between
sustainable development and cooperative governance. Concepts related to support,
capacity building, and training are also dealt with.
The following national IGR structures are then dealt with: The PCC; ministers and
the Members of the Executive Council (MinMECs); the NCOPS; the Forum of
Directors-General (FOSAD); the Budget and Local Government Budget Forum;
several inter-ministerial committees and different kinds of local government
committees (such as municipal committees and ward committees). This is followed
by elements of IGR in practice in SA with reference to implementation protocols;
disputes and joint implementation, public participation, structuring the Government to
benefit the citizen with reference to citizen participation; community-based planning;
decentralisation and centralisation; the federal system; concurrent competencies and
ignorant citizens.
Challenges of cooperative IGR; proposals to improve the SA cooperative
governance system and the successes of IGR are then discussed. Lastly, the
influence of cooperative governance on the Draft Revised NCBF: 2012 to 2016 is
discussed disclosing perspectives on the capacity required by the State; Further
Education and Higher Education institutions; public service training; the Draft
Revised NCBF: 2012 to 2016 and cooperative governance and reflections on the
NCBF.
This chapter thus sets out to investigate the importance of cooperative governance
for the successful implementation of the NCBF.
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4.2 Background to the SA cooperative governance system
One of the consequences of cooperative governance is reflected in a statement by
President Zuma (in Ayaele 2009:4) that citizens blame municipalities for functions
that they have no direct control over, e.g. dysfunctional schools, poor service at
hospitals and a slow pace of building houses (as they view the State as one entity
despite it being three spheres). Ayaele (2009:10) subsequently asks, what to do
when two or more organs of the State all bear some responsibility and the law is not
clear as to how it is divided? (pointing to some challenges that the system faces).
The Constitution of 1996, however, instructs all organs of the State within each
sphere of government to ‘cooperate with one another in mutual trust and good faith
by coordinating their actions and legislation with one another’. An intergovernmental
agreement among the three organs of the State also provides a platform for such
cooperation as contained in the IGRF Act 13 of 2005 that offers an enabling legal
framework for the conclusion of implementation protocols (which may be particularly
useful in instances where overlapping competencies exist and responsibilities are to
be met).
Yet, “Assessments have shown that the system of cooperative governance is
certainly not working effectively. There is a need for greater coordination and
cohesion (in each department), between and across the three spheres of
Government, and also between Government and the people. Government seeks to
shape a developmental State that meets our specific needs as a country, and to do
this, we need to considerably improve service delivery and development in the face
of huge capacity and resource constraints”, according to the Draft Revised Green
Paper on Cooperative Governance of 2011 (2011:3).
“In short, Government must work much better than it does at present, so that we can
(recruit requisite staff and) generate better public services, better Government and
better levels of accountability to citizens throughout the country” (Draft Revised
Green Paper on Cooperative Governance of 20112011:3). As noted in 4.1 a
question to address is what then does the SA cooperative governance system entail
and how does it interface with IGR? (see section 1.3).
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4.2.1 Principles behind intergovernmental relations
IGR is conducted within a public administration environment and should subscribe to
specific norms and values (Edwards 2008:68-69).
The Constitution of 1996 provides for intergovernmental fiscal arrangements and
also sets out principles for the conduct of IGR, which are to –
preserve the peace, national unity and indivisibility of the Republic;
secure the well-being of the people of the Republic;
provide effective, transparent, accountable and coherent government for
the Republic as a whole;
be loyal to the Constitution of 1996, the Republic and its people;
respect the constitutional status, institutions, powers and functions of
government in other spheres;
not assume any power or function except those conferred upon them in
terms of the Constitution of 1996;
exercise their powers and perform their functions in a manner that does
not encroach on the geographical, functional or institutional integrity of
government in another sphere; and
cooperate in a spirit of mutual trust and good faith by fostering friendly
relations.
The IGRF Act 13 of 2005 Section 5, makes provision for the three spheres of
government to take all reasonable steps to ensure that they have sufficient
institutional capacity and effective procedures to consult, cooperate and share
information with other organs of the State, to respond promptly to requests by other
organs of the State for consultation, cooperation and information sharing, and to
participate in intergovernmental structures of which they are members. These key
principles can be seen as the values and norms that the SA society aspires to, and
serve as criteria for public conduct and behaviour during IGR.
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IGR is also influenced by the aspects the policy processes; as discussed in section
2.5.2, i.e. politics; the political-administrative interface; trade unions and public
participation. The next sections aim to answer the question whether IGR provides
the basis for cooperative governance (see sections 1.3 and 4.1).
4.2.2 The origin of cooperative governance
IGR can be traced back to Roosevelt’s New Deal era in the US. At first, IGR was
confused with federalism and cooperative federalism in the US. After an IGR
Commission was established in the US, the notion of IGR was repositioned. ‘IGR’ is
not synonymous with ‘federalism’, although it is an important platform on which
federal political systems (“a type of government characterised by both a central
[federal] government and states or regional governments that are partially self-
governing; a union of States” (www.wikipedia.org) have to operate. It is also an
imperative in a multi-sphere political system (such as the one present in SA) to
ensure cooperation between different spheres (Edward 2008:66-67).
IGR in SA originated from the various federal government systems pioneered during
the era of British colonial administration, from 1806 until 1910, and from 1910 to
1961. The 1910 Constitution departed from the two-sphere Westminster system by
interposing a three-sphere government system (comprising a provincial government
that consisted of four provinces, a national and a local government). During this
period, IGR was given recognition through the trust the Union Government displayed
in the provinces. The 1983 Constitution recognised the importance of coordination,
and during this period most powers were decentralised and devolved to sub-national
units of government (Edwards 2008:67 and also section 2.6.4).
After 1994, SA adopted a basic unitary system with strong and broad federal
characteristics. An important reason for this was that the Constitutional Assembly
conferred specific constitutional mandates on provinces and local authorities in an
attempt to democratise SA society, by bringing government closer to the people
(Doyle and Naude 2002:51; Mathebula and Malan 2002:21, 110; Levy and Tapscott
2001:78 in Edwards 2008:67). SA also adopted a democratic model of cooperative
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governance which is enshrined in a constitution that provides a platform for IGR
(Levy and Tapscott 2001: 2-5 in Edwards 2008:67).
According to Edwards (2008:66) cooperative governance can be traced back to the
German Bundestreue concept, which entails a set of unwritten principles on which
relationships between national and provincial government are based. It means that
the German Constitutional Court ensured that different parts of the German
Federation act in good faith and mutual trust. Thus, cooperative governance implies
that sub-national and national jurisdictions have certain political and legal obligations
to support and consult one another on matters of common concern, to cooperate and
maintain friendly relations.
4.2.3 The development of cooperative governance in South Africa
Malan (2005:230) and Coetzee (2010:86) refers to cooperative governance as the
fundamental philosophy of government. This philosophy rests on constitutional
guidelines, principles and values. Cooperative governance is thus very important,
especially when the programmes of the national and provincial government must be
implemented by local government (Coetzee 2010:87). However, to establish
cooperative governance is a very complex process, its interactions are also very
technical (Levy and Tapscott 2001:2 in Coetzee 2010:87) and various elements play
a role.
4.2.3.1 Elements of cooperative governance
The DCoG’s Review of the White Paper on Local Government of 1998 (2011:32)
states that according to the 1998 White Paper’s vision for cooperative governance,
the roles and responsibilities of the three spheres within a system of cooperative
government are recognised, where strong local government could play a crucial role
in the success of
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national and provincial policies and programmes. The following elements were
elaborated on:
The framework for IGR is the constitutional obligation of cooperative
governance.
National government and provincial government have roles and
responsibilities with respect to local government, including providing a legal
framework, providing strategic support, monitoring, oversight, intervention,
institutional development, capacity building and fiscal support.
Other spheres and sector departments must integrate and coordinate their
policies and programmes with local government by working with local
government directly, integrating programmes into municipal IDPs,
coordinating decentralisation and the assignment of powers.
SALGA as organised local government can make a strong contribution in
consultation with DCoG to the development of municipalities through, e.g.
coordinated councillor training, capacity-building, facilitating shared learning
between municipalities, research and information dissemination.
With regard to the constitutional elements of cooperative governance, the following
should be noted:
4.2.3.2 Regulatory jurisdiction
Cooperative governance can be defined as a uniquely SA system of decentralised
government that serves the developmental state and consists of three constitutional
elements:
The first constitutional element of cooperative governance is “distinctiveness”,
and it refers to the powers of the national, provincial and local spheres of
government to make final choices in their areas of competence as defined in
respect of functional areas listed in Schedule 4, and exclusively in respect of
Schedule 5 of the Constitution of 1996.
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The second element of the system of cooperative governance is that the three
spheres of government are “interrelated” with one another. This element
refers to the hierarchy that the Constitution of 1996 established between the
three spheres, as expressed in the concept of supervision.
The third element of cooperative governance is the “interdependence” of the
three spheres of government. In exercising their powers and functions, the
national government, provinces and municipalities are not at will to operate in
isolation, but they must do so guided by the principles of cooperative
governance and intergovernmental relations as set out in the Constitution of
1996.
Furthermore, the element of ‘interrelatedness’ refers to the hierarchy that the
Constitution of 1996 established between the three spheres, as expressed in the
concept of supervision. Supervision includes four distinct activities: Regulation,
monitoring, support and intervention (NCBF 2012:12):
Regulation sets frameworks within which provincial and local distinctive
powers can responsibly be exercised.
Monitoring is necessary to ensure that legislative frameworks are complied
with and properly administered.
It indicates when support is required to enable a supervised sphere of
government to exercise its powers fully.
It establishes when corrective intervention is required. Intervention refers to
the competence (and in some instances the duty) of the national and
provincial governments to direct activities and outcomes in provinces and
municipalities.
Three departments are responsible for regulating provincial and local governments
as spheres, as opposed to specific functions performed by these spheres. These are
the DCoG (local and provincial government and IGR), the National Treasury, IGFR
and the DPSA (public administration). No other national departments have such an
extensive legislative and political mandate to act on the system as a whole. These
three departments thus have sphere-wide regulatory jurisdiction. “However, many
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departments are responsible for regulating specific functions or sectors of provincial
and local concurrent responsibility, such as education, health, social development (of
provinces) and electricity, water, and sanitation (of local government). These
departments have specialised or sector-specific authority only” (DCoG: RWP
2011:19).
For the spheres of government to work more effectively, however, each sphere must
fully understand its obligations and duties, and perform these with excellence. And,
all three must coordinate their work to do a better collective job of working and acting
in a collaborative way for such coordination to genuinely lead to improved
performance. Government’s future policy objective for cooperative governance is to
push the current model of cooperative governance to much higher levels of
performance, effectiveness and accountability which is explicit in the move towards
outcomes-based government (DCoG: RWP 2011:4).
The relationship between traditional leaders and traditional structures, and
municipalities also requires more attention. The establishment of local houses of
traditional leaders has created the required mechanism for interaction between
traditional leaders and municipalities, but it should be utilised more strategically.
There is an urgent need for municipalities and traditional leaders to work together on
development and service delivery issues (DCoG: RWP 2011:38). Thus, the IGR
system is constantly evolving.
4.2.3.3 The main phases of evolvement of the IGR system
The DCoG (2011:75-76) in its Review of the White Paper on Local Government of
1998 informs that the system of IGR has evolved rapidly since 1994, largely through
the impetus of practice, but with some legislative direction. According to the first
annual report on IGR, released in 2008, it is explained that the system has evolved
through three main phases since 1994:
Transforming the macro-organisation of the State and creating an
IGR system (1994 - 2000): This phase centred around the creation of a
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single local government service incorporating the ex-homeland
administrations, establishment of the nine provincial governments, the
Cabinet reforms such as the introduction of the cluster system and an end
to the transitional phase of local government transformation, culminating in
the demarcation of 284 municipalities. The Constitution of 1996 required
the development of the IGRF Act of 1995 to promote IGR (also see section
3.4.2). The primary focus was initially on the creation of specialist IGF’s
and processes, especially in regard to concurrent functions. Where
legislation dealt with the settlement of intergovernmental disputes, these
were confined to particular contexts.
Operationalising the IGR system (2001 - 2004): The MSA 32 of 2000
and the Municipal Structures Act 117 of 1998 institutionalised a
governance framework for local government’s structural and
developmental responsibilities (also see sections 3.3.3.4 and 3.3.3.5).
Both these acts have clearly positioned clauses identifying areas for
national and provincial oversight of local government, or for further
subordinate legislation to strengthen the practice of supervision in
decentralised government. During this phase the IGR system unfolded
rapidly with only minimal regulation. To give operational substance to the
concept of cooperative government, many non-statutory national and
provincial IGF’s emerged such as the PCC, the FOSAD and provincial
IGF’s. This period also saw increased organised local government
engagement in IGR as well as increased collaborative joint work,
programmes and projects across the three spheres.
Consolidating the IGR system (2005 to date): The introduction of the
IGRFA of 2005 sketched a broad statutory framework for the practice of
IGR, provided for the establishment of IGF’s and a basic framework for the
settlement of intergovernmental disputes. With the increased formalisation
in the regulatory environment came a shift of emphasis to
intergovernmental instruments facilitating the effective practice of IGR.
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It is, however, not only important that departments work better with external
stakeholders, internal configuration and work processes also infuence the success of
cooperative governance.
4.2.4 The proposed structure of an organisation involved in cooperative
governance: Project-based organisations
Müller (2010:142) states that the rapid changes which are threatening to overwhelm
bureaucracy with its command and control attributes as we know it, were predicted
by Bennis (1967:238-242 in Müller 2010:142) over 40 years ago in his well-known
essay Organisations of the Future (Bennis 1967). He predicted the decline of the
bureaucracy, which would gradually be replaced by new organisational forms that
will be formed and shaped to cope with the core problems of integration, distribution
of power, collaboration, adaptation and revitalisation.
These new post-modern organisational forms should, according to Morgan
(1993:282-283 and Müller 2010:142), emphasise aspects of the chaotic, paradoxical
and transient nature of order and disorder, and require an approach that allows the
theory and practice of organisation and public leadership to acquire a more fluid form
in the emergence of self-organising collaborative structures. This notion of
organisations developing self-organising abilities features prominently in the earlier
writings of Morgan (1993), Snow, Miles and Coleman (1992), Mecier and McGowan
(1996) and Müller (2010:142-143).
By applying ecological principles such as diversity, self regulation, human scale and
finality, to organisations, Mecier and McGowan (1996:447 and Müller 2010:143)
observed that the trend was towards a less segmented and mechanically
constrained form of organisation, which set the stage for truly decentralised units,
self-regulated and diverse, that can act locally and are freed from many of the
standardising constraints. Hence one sees the empowerment of those who are
involved in the actual doing in an organisation, the loss of hierarchy, flatter structures
and the replacement of large bureaucratic organisations by small units which people
can comprehend and directly manage by themselves (Mecier and McGowan 1996:
469-472). The ecological choice favours small-scale, internally connected, less
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hierarchical and more autonomous or self-regulating forms of organisation (Mecier
and McGowan 1996:472-474 and Müller 2010:143).
These are important observations as an organisation’s structure (like government
departments) determines the division of power and authority in it. Since projects (that
generally flow from policy implementation) are traditionally defined within a
department’s functional units, they are necessarily targeted within the scope of that
unit, rarely going beyond the boundaries defining it. According to Combe (in Dietrich,
Poskela and Artto 2003:9 in Van der Waldt 2009:41) this limiting, functional view
typically causes the following problems:
Unclear roles and responsibilities if projects cross departmental units
(governmental units in the case of cooperative governance).
Cross-functional projects may create conflicts with functional priorities and
confusion over resourcing.
Without a strategic focus projects implemented in various functional
(across government) units may not contribute to the achievement of
strategic priorities.
In a dynamic public service environment, traditional bureaucratic
structures are usually not flexible enough to rapidly adjust to changing
conditions. The opposite is true for programme and project-based or
matrix organisational structures (Van der Waldt 2009:40).
In fact public institutions operate in multi-project service delivery environments where
traditional project management tools and practices, which focus on individual
projects, are not adequate. Partington (1996:15 in Van der Waldt 2009:37 and
Crawford et al. 2003:2 in Van der Waldt 2009:37) for example drew attention to the
dualism in emerging trends in Public Management. The first top-down view follows a
rational, hierarchical model that emphasises control, order and structure. The second
emerging (NPM) bottom-up model recognises a non-linear, political and irrational
process (Van der Waldt 2009:37-38).
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According to Van der Waldt (2009:38) reports by the United Kingdom (UK)
government, titled “Better Policy Making” and “Identifying Good Practice in the use of
Programme and Project management in Policy-Making: Transforming Public
Services; a Civil Service that Delivers”, have also identified a number of good
practice examples in the development and implementation of policy. These reports
clearly reflect that project management is a proven approach to effective service
delivery. They argue that project management should be the focal point for policy-
makers in that they should think through the so-called “end-to-end” process to
translate a particular policy into operational plans and desired outcomes. For end-to-
end policy-making it is important to consider implementation, resource allocation and
delivery from the outset. There is thus general agreement (see Van der Waldt
2009:38) that projects are becoming increasingly important vehicles for public
institutions to justify their reason for existence. The DCoG management also wants
its projects to be managed by multi-departmental teams (and across its branches)
including key stakeholders.
Van der Waldt (2009:40) states that with the need for a faster response to needs and
demands, better utilisation of resources, and improved programme and project
control and performance; programme and project-based organisations have the
flexibility to maximise their efforts. Creating a project-based structure, however,
requires of public officials to be both managers and individual role-players, and
stakeholders on a variety of projects (Van der Waldt 2009:40).
Dietrich, Poskela and Artto (2003:11 in Van der Waldt 2009:41) caution, however,
that creating additional structures to support multiple projects may result in
unnecessary complexity and conflicts in responsibilities and resource allocation
activities. Turner and Keegan (1999) underscore the positive side to traditional
structures on project delivery as there is a need to obtain or retain some special
functions in organisational structures in addition to the project structure, to maintain
the career development of individuals and promote learning both for the individual
and organisational levels (Van der Waldt 2009:41).
To ensure the optimal utilisation of scarce departmental (government) resources,
projects should be aligned with programmes and existing organisational structures
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and arrangements. It is therefore necessary to establish and improve interfaces
between the programme, individual projects and organisational arrangements (Van
der Waldt 2009:39). These interfaces generally fall into one of three categories (Van
der Waldt 2009:39):
Organisational interfaces – formal and informal reporting relationships
among different organisational units or directorates (or government
departments).
Technical interfaces – formal and informal reporting relationships among
different technical disciplines and functional areas. Technical interfaces
occur both within project phases and between project phases.
Interpersonal interfaces – formal and informal relationships among
different individuals working on programmes and projects.
The above interfaces often occur simultaneously and provision should be made to
incrementally improve and maintain them. The use of steering committees or other
mechanisms of ‘governance’ may significantly assist in facilitating these interfaces
(Van der Waldt 2009:39). Andersen and Jessen (2003:457 in Van der Waldt
2009:43) however, warn that a successful project-based structure must be “grown
instead of installed”. An organisation simply cannot ‘plug’ a matrix into its existing
structure and expect success. Such structures should be uniquely developed for a
particular application in a particular organisation, and this development will likely
follow an evolutionary path. Bozeman (1981:112 in Van der Waldt 2009:43) also
proposes a conservative approach since a change in structure often produces
significant “power shifts”. The direction and intensity of shifts are often unpredictable.
Thiry and Deguire (2007) further state that mature project-based organisations need
to adopt integrative approaches that will enable consistent structures, delivery of
strategy and uniformisation of knowledge. Project maturity simply refers to the fact
that an institution gradually becomes conditioned to successfully deal with all
projects (Andersen and Jessen 2003:457 in Van der Waldt 2009:43). The so-called
Project Management Maturity Matrix is extremely helpful to assist departments to
improve the ‘maturity’ (level of structure and system integration, and support for
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project practices) of their project management processes, in terms of an evolutionary
path from ad hoc, disorganised processes to mature, disciplined project
management processes (Van der Waldt 2009:43). Van der Waldt (2009:42-43)
states that the Maturity Matrix describes four levels of maturity in project
management:
The first level involves the introduction of a project management
methodology. On this level it is important that all project managers have a
framework within which to work and that the organisation has the necessary
structures to support them.
The second level of project maturity (or organisational integration) is
characterised by an agreed methodology to be followed that helps repeat
earlier successes from similar projects. Courses and training can help at this
level.
The key process area at level three focuses on the benefits of the projects
for the organisation. These benefits should not only measure whether
projects have delivered against cost, time and quality criteria, but should
measure the system’s value and the long term positive benefits of projects. It
is necessary to revisit the project after a period of time to see if the benefits
have accrued. If there are no real benefits senior management should seek
to identify why not and whether any action is required.
At level four typically portfolios of projects (such as programmes) are
managed to ensure that collectively they deliver the organisation’s strategies.
Portfolio management is about ensuring that the right projects are carried,
that processes are aligned, and that resource utilisation is optimised.
The following are other conceptual variables synonymous with cooperative
governance, support, capacity building and training which allow for a better
understanding of the challenges facing cooperative governance and capacity
building and proposals to address these challenges.
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4.3 Conceptual variables related to cooperative governance, support,
capacity building and training
Auriacombe (2001:xvii) states that without concepts, science would not exist and
communication between individuals and scientists would not be possible. A concept
is the name that is given to any occurrence, phenomenon, element or object in an
individual’s experience. As soon as corresponding occurrences/events, phenomena,
elements or objects are placed in the same class and the class is given a name, a
concept is used. A concept is thus a thorough construction, and abstract idea that
refers to a class of phenomena. Concepts remain abstracts of reality, however, and
never become reality. To be of significance, however, concepts have to be clarified.
This cannot be more true than when a variety of stakeholders have to work together
to achieve policy (NCBF) success. A concept is therefore a language entity that
refers to classes, groups, categories or collections of objects or events or to the
relation between things or events. Concepts are meaningful if they can be defined
(Bekker 1994:44 in Auriacombe 2001:xvii). A discussion of concepts related to
cooperative governance follows.
4.3.1 Cooperative governance versus Intergovernmental relations (IGR)
It is important to note that there is a conceptual difference between cooperative
governance and IGR (Edwards 2008:67-68). IGR is concerned with the political,
financial and institutional arrangements regarding interactions between the different
spheres of government and organs of state within each sphere. IGR is thus one of
the means through which the values of cooperative government may be given
institutional and statutory expression (Edwards 2008:68, Malan 2005:230 and
Coetzee 2010:87-88). In this respect IGR can also be defined as “interactions
between governmental units of all types and levels within a political system” (Watts
2001:22 in Coetzee 2010:88). IGR are thus “the set of multiple formal and informal
processes, channels, structures and institutional arrangements for bi-lateral and
multi-lateral interaction between spheres of government” (Practitioner’s Guide to IGR
in SA 2009:1; also compare Malan 2005:228 and Coetzee 2010:88).
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IGR is therefore based on the principle of reciprocity rather than on central or unitary
systems (Mentzel 2000:133 in Coetzee 2010:88). The implication of section 154(1)
of the Constitution of 1996 is that it requires the national and provincial governments
to support and strengthen the capacity of municipalities. By doing so municipalities
should be able to manage their own affairs, to exercise their powers and to perform
their functions (Implementation of the IGRFA Report 2005/6 - 2006/7:49 in Coetzee
2010:88).
An objective of the IGRFA 13 of 2005 is also to provide a framework for national,
provincial and local government and all organs of state to facilitate and align
priorities, objectives, strategies (7(b)(ii)) and to coordinate the implementation of
policy and legislation, including coherent government, effective provision of services,
monitoring implementation of policy, legislation and realisation of national priorities
(IGRFA 13 of 2005 (4)(a-d) in Coetzee 2010:88).
Cooperative governance as a concept is not the same as governance or even good
governance. The following section will aim to clarify the interface between these
concepts.
4.3.2 The interface between cooperative governance, governance and good
governance
Molinyane (2012:57) define the concept of governance as “the actions undertaken to
improve the general welfare of a society by means of the services delivered”. While
Sindane (2007:213) states that governance is a value-laden concept and normative
by nature and it emphasises the ‘ought’ instead of the ‘is’ in the means-ends
continuum. He argues that the concept rests on processes, values and a network of
institutions and can thus not be understood in the absence of clarity on the normative
and the framework within which it is operationalised (Sindane 2007:213).
The Oxford English Dictionary of Current English (1996:587 in Sindane 2007:213-
214) explains governance as “the act or manner of governing, of exercising control
or authority over the actions of subjects; a system of regulations”. As can be inferred
from the description above governance is perceived more in authoritarian terms and
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flows from top to bottom. This description makes no provision for mutual interaction
between those in power and their subjects and is thus of little value to a broader
understanding of the concept in a democratic context.
However, the definitions do not define what good governance entails. The fact that
certain actions are taken and services are delivered does not necessarily mean good
governance (Molinyane 2012:57). What then does good governance entail?
Cloete (2008:5-6 in Ballard 2009:21) proposes four criteria to assess whether the
style of governance is good or bad, namely:
the degree of trust in government;
the degree of responsiveness in the relationship with society;
the degree of accountability towards its voters; and
the nature of authority.
In reference to good governance, Nemvumoni (2009:106) makes reference to
Section 195 (1) of the Constitution of 1996 that refers to the basic values and
principles already discussed in Chapter Three. The King Report of 2002 (in Ballard
2009:21) identified the following seven primary characteristics of good governance in
terms of external relationships:
Discipline: Commitment by the organisation’s senior management to
standards of correct and proper behaviour.
Transparency: The ease with which an outsider can meaningfully analyse the
organisation’s actions and performance.
Independence: The extent to which conflicts of interest are avoided.
Accountability: Addressing communities’ rights to receive information
relating to the stewardship of the organisation’s assets and its performance.
Responsibility: Acceptance of all consequences of the organisation’s
behaviour and actions, including a commitment to improvement where
required.
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Fairness: Acknowledgement of, respect for and balance between the rights
and interests of the organisation’s various stakeholders.
Social responsibility: The organisation’s demonstrable commitment to
ethical standards and its appreciation of the social, environmental and
economic impact of its activities on the community in which it operates (King
Report 2002:11 in Ballard 2009:22).
Mutahaba (2006:282 in Coetzee 2010:89) identifies an important element of good
governance in the context of government when he states that good governance must
ensure “that citizens have a say in how they are governed, that is, having in place a
democratic framework at both national and local levels, and creating space for
citizens to have a say on the services they need and the standards of those
services”. On the other hand, Coetzee (2010:88) states that cooperative governance
and IGR cannot be discussed if good governance and the principles of good
governance are not referred to. These principles include, amongst others (Coetzee
2010:88-89):
The right of existence of each government level and the division of authority
as derived from the Constitution of 1996 with reference to the concurrent and
special functions (Schedules 4 and 5).
The allocation of functions is important to establish effectiveness and
efficiency and therefore integration of functions at national and provincial
policy level as it will enhance working together for a common goal and
achieving success (Gildenhuys and Knipe 2007:296-298).
Coordination of functions preventing overlapping and consultation must take
place between and amongst all state organs through direct contact and
relevant intergovernmental structures (IGRFA 13 of 2005). This is one of the
core objectives of cooperative governance.
Allocation of financial resources refers to the idea that every government
should be financially self-sufficient. Therefore “no government on whatever
level can be autonomous if dependent on the good graces of other
Governments for financial resources by way of grants and subsidies”
(Gildenhuys and Knipe 2007:296). The autonomy referred to earlier is
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therefore lost. Insufficient funds leads to a shortage of existing institutional
capacity in order to facilitate consultation, communication and coordination of
information (IGRFA 13 of 2005).
Local government needs sound leaders that will ensure governance, good
governance and cooperative governance.
4.3.3 The importance of leadership in exercising cooperative governance
Nzimakwe (2011:51) states that a strong political emphasis on good leadership lies
at the heart of the governance agenda. Leadership is not the property of only one
person. Leadership may be found at all levels of the organisation, as well as outside
the organisation in the community. It is often a function carried out by teams and
committees. Thus leadership is an important aspect in cooperative governance.
Nzimakwe (2011:65) further states that the ability of public leaders to function
effectively either as individuals or groups is a key element in resolving public issues
in the public service. Many public service leaders now recognise the value of finding
the space to reflect critically on how they are doing. They must demonstrate
competence and educate the citizens, and in order to achieve all this they have to
have initiative. To exercise initiative, a public manager as a public leader needs to
go looking for and create circumstances that provide an opportunity to educate and
motivate people, change administrative systems, correct mistakes, check excesses,
or even launch new authorised activities. Leadership is not just a right of public
managers, it is an obligation; and this has to be displayed through public leadership
qualities. Public leadership, the way it is practiced and how it is conceived, is
undergoing a transformation, corresponding with changes in the public sector
generally that some have termed the ‘new governance’.
Salamon (2002:16 in Müller 2010:145) strengthens Nzimakwe’s argument when he
states that unlike traditional public administration, the ‘new governance’ approach
shifts the emphasis from management skills and the control of large public
organisations to enablement skills, the skills required to engage partners arrayed
horizontally in networks, and to the skills required to bring multiple stakeholders
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together for a common end in a situation of interdependence. In this regard Salamon
(2002:608 in Müller 2010:145-147) points out that indirectly government puts a
premium on three skills –
firstly, activation skills – the ability to mobilise and activate the complex
partnerships that public action increasingly requires;
secondly, orchestration skills - the ability to blend the partners involved in
complex public action into effectively functioning systems rather than warring
fiefdoms; and
thirdly, modulation skills - the ability to find the right combination of incentives
and disincentives to elicit the necessary cooperation among the
interdependent players of a complex network without providing windfall
benefits to one or another actor for doing what they would have done anyway.
In view of the last mentioned it becomes apparent that cooperative governance is an
important element in the development management cycle contained in the diagram
below:
Diagram 4.1: The development management cycle
Source: (DCoG Development Management Cycle of Local Government 2012:8)
The quality of the start to any process (the above cycle), i.e. strategic planning (to
plan) has a distinct influence on the outcome.
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4.3.4 Cooperative governance and strategic planning and management
In section 2.5.2.3 public administration and management is discussed while section
4.3.2 explains how governance; good governance and cooperative governance
interface. All terms are related to the process of strategic planning and
management’s implementation. According to Dale (2004:15 in Subban and Theron
2011:99), the key strategy for any organisation is how that organisation relates to its
environment in achieving its aims, vision and mission. Furthermore, Ehlers and
Lazenby (2004:1 in Subban and Theron 2011:99) conclude that factors which made
organisations thrive in the past and were perceived as the norm, are constantly
becoming dated. Public institutions have to plan and manage carefully for their future
success by being able to acquire new competencies and fend off potentially
crippling, unforeseen circumstances.
In municipalities, strategic planning and management are synonymous with
producing an IDP through public participation processes (Reddy 1996:98 in Subban
and Theron 2011:100).
The IDP is set in a political and changing environment with recognition of the need to
plan for uncertainty. The net effect is a medium-term (five-year) plan focusing on
organisational and managerial aspects. Many municipalities have found it necessary
to formulate strategies to address, inter alia, structural reform, change management,
affirmative action, gender sensitivity, local economic development, environmental
issues, inner city revitalisation, community safety and public participation through
IDPs. Local authorities are adopting strategic management techniques geared
towards systematically planning the total resources of the organisation in order to
achieve certain goals within a specified time (Reddy 1996:98-99 in Subban and
Theron 2011:100).
In view of the last mentioned Subban and Theron (2011:99) contend that strategic
planning and governance are thus intrinsically linked. The alignment of the visionary
goals and objectives of the municipality is interwoven with the municipal
development strategy. It is emphasised that strategic municipal planning rests firmly
on the foundation of a consensus-based model of municipal governance, as
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highlighted in the following statements from Castells and Borja (in Pieterse 2008:70
in Subban and Theron 2011:99): The diagnosis takes into consideration the settings
(globalisation), the territory (its various dimensions) and government (or system of
public agents). Special consideration is given to dynamics i.e. social demands,
critical points obstacles, bottlenecks and potential. “The diagnosis is used to
determine foreseeable situations, possible scenarios and desirable situations, which
are taken as the starting point for laying down projects to attain it” (Subban and
Theron 2011:99).
Also, in view of the linkages referred to in section 4.3.2 it cannot be conducive for
cooperative governance if each organisation across the three spheres that interface
with each other has its own strategic plan that does not take cognisance of that of its
partners or at least aligns to that of a partner. Thus, more aligned strategic planning
across the three spheres may create a more conducive environment for cooperative
governance.
Coordination amongst organisations is important for cooperative governance.
4.3.5 Cooperative governance and coordination
The above is in view of the fact that cooperative governance is a partnership
between the three spheres of government, where each sphere is distinctive and has
a specific role to fulfil (Edwards 2008:67-68). To manage the partnership,
coordination of the activities of the three spheres becomes important.
Brinkerhoff (2002 in UJ GOV 3D 2007:338) explains that coordination is a term that
is frequently used as a solution to implementation problems. To say that a policy or a
programme is uncoordinated means, in a general sense, that its elements are
somehow incongruent, that they do not interact smoothly to produce desired results
and that the connections among them create excessive friction or conflict. One way
to think about coordination is in terms of three types of activities (Brinkerhoff 2002 in
UJ GOV3D 2007:338-339):
Information sharing (essentially communication).
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Resource sharing (meaning resources controlled by one organisation or group
are allocated to another for a particular purpose).
Joint action (entails two or more entities collaboratively undertaking some
activity together, either sequentially, reciprocally, or simultaneously (Alter and
Hage 1993).
There are other concepts that also build on the principles of cooperative governance
such as co-management and collaboration.
4.3.6 Co-management, collaborative management and cooperative
governance
Many terms have been coined to describe multi-party natural resource management
projects, programmes, or decision-making processes using participatory
approaches, of which collaborative (natural) resources management (CNRM) or
sometimes just (CRM) and co-management are the most prominent (Müller
2010:143).
Using CNRM terminology, Margerum (2008:487 in Müller 2010:143-144) notes that
the literature on collaboration highlights several common characteristics (akin to
cooperative governance):
firstly, it involves a wide range of stakeholders;
secondly, it engages the participants in an intensive and creative process of
consensus building;
thirdly, it works to achieve consensus on problems, goals and proposed
actions; and
finally, it requires a sustained commitment to problem solving.
Similarly, Heikkila and Gerlak (2005:583) define CRM as involving a group of diverse
stakeholders, including resource users and government agencies, working together
to resolve shared dilemmas (Müller 2010:144).
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According to Carlsson and Berkes (2005:70), co-management systems should be
understood as governance structures which may be composed of a rich variety of
actors/participants coupled to one another by a significant number of relations
involving the State, local resource users, commercial actors/participants, NGOs, and
a whole range of other public and private actors/participants. They argue that most
instances of collaborative or joint management of natural resources are more
complex and sophisticated than might be concluded from the mainstream image of
co-management, defined as sharing power and responsibility between government
and local resource users (Müller 2010:144).
Carlsson and Berkes (2005:67 and Müller 2010:144), further state that the definitions
and conceptualisations of co-management in the literature have the following
common underpinnings:
they explicitly associate the concept of co-management with national
resources management (NRM);
they regard co-management as some kind of partnership between public and
private actors/participants; and
they stress that co-management is not a fixed state but a process that takes
place along a continuum.
Thus, the two terms, co-management and collaborative management are considered
to be synonyms that refer to multi-party environmental governance systems working
together towards shared problem solving (Müller 2010:144). The concept of
‘cooperative governance’ has also been termed ‘multilevel governance’ and there
are thus definite elements in the co-management and/or collaborative management
approach that link to cooperative governance. Other areas of resource management
through cooperative governance could possibly benefit from lessons learnt from
natural resource co-management initiatives.
Other approaches similar to co-management and collaborative management are
discussed next.
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4.3.7 Municipal entity, public private partnerships and cooperative
governance
External service delivery mechanisms include water boards, another municipality,
municipal entities and traditional authorities (Molinyane 2012:65). Molinyane
(2012:65) informs that a municipal entity is defined as a private company, a service
utility, or a multi-jurisdictional service utility (cf. Section 120 of the MFMA 56 of 2003
and MSA 32 of 2000 section 78 and 82(2)(c)).
Molinyane (2012:69) further explains that public private partnerships are
partnerships where a municipality enters into an agreement with another public entity
for municipal service provision presenting both the government and the public with
benefits (cf. Van der Waldt 2004:113-115 in Molinyane 2012:69). These models of
service delivery make cooperative governance more complex to manage as they
create an expanded scope of authority, however, any model that has the necessary
leadership; willingness and actions by all involved directing it with the appropriate
resource allocation, may be successful and need to be considered. All efforts that
government embarks on should be sustainable and address the whole system.
4.3.8 The interface between sustainable development and cooperative
governance
Nealer and Naude (2011:106) state that managers and public policy-makers are
trying to manage sustainability more effectively but face a complex range of difficult
challenges. These challenges are not made easier by the more than 90 definitions of
sustainable development (Becker 2010 in Nealer and Naude 2011:106). It is also a
concept that is very broad and there seems to be a lack of applicable, tested and
validated comprehensive frameworks and/or models, with applicable and effective
guidelines for its implementation (Jabbour and Santos 2008 in Nealer and Naude
2011:106). Moreover, sustainable development and the success of sustainability is a
value judgment; some areas could only be assessed by inference from what is
observable and not always through quantifiable measurement (Nealer and Naude
2011:106).
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Nealer and Naude (2011:107) further inform that sustainable development originated
in relation to explicitly green issues, but has evolved to reflect a process that meets
the needs of the present without compromising the ability of future generations to
meet their own needs. Often called intergenerational equality, the idea is that natural
resources should be shared, not just with people who are alive on the planet today
but also with future generations of earth’s inhabitants. Whilst a certain amount of the
planet’s resources can be used, the earthlings should never entirely deplete a
natural resource (Brundtlandt in Hoverstadt and Bowling 2005 in Nealer and Naude
2011:107). It is the sustainable development definition that clearly includes the
economic, social and environmental dimensions (UN 1992 and UN 1997 in Nealer
and Naude 2011:108), that is accepted and is consistent with the 1987 Brundtland
Commission Report’s classic description of sustainable development suggesting that
equity, growth and environmental maintenance are simultaneously possible
(Brundtland 1987 in Nealer and Naude 2011:108). These authors also acknowledge
and propose that the connections between the sustainable development dimensions
(economic, social and environmental) are inescapable as they are inextricably
interrelated and interconnected (Nealer and Naude 2011:108).
In attempting to address these approaches and/or frameworks more effectively, the
place and role of cooperative governance has been identified as a ‘new vehicle’
towards more effective sustainable development. Effective cooperative governance
could facilitate and enhance improved sustainable development (Department of
Environmental Affairs, Online 2003 in Nealer and Naude 2011:108). In this new
approach, there is a shift away from the narrow focus of governance to a broader
focus. This entails the incorporation of the collective and integrated synergies
between the embedded environmental, economic viability (including technology),
and social equity (including culture and politics), systems which are underpinned by
or grounded in the facilitating system of governance and cooperative governance in
a holistic quest towards effective public decision-making and policy implementation
(Glasson and Wood 2009 in Nealer and Naude 2011:108).
Viederman in Tryzna (1995 quoted on www.interenvironment.org 2012) strengthens
this view and states that Einstein observed that: “we cannot solve the problems that
we have created with the same thinking that created them”. He states that “the
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problem of sustainability is not a problem of lack of knowledge …The problems of
sustainability are primarily problems of power, on the one hand, and political will, on
the other hand” (Viederman in Tryzna 1995 quoted on www.interenvironment.org
2012). Viederman in Tryzna (1995 quoted on www.interenvironment.org 2012)
further state that sustainability confronts us with a situation where (and quotes
Funtowicz and Ravetz 1991) “facts are uncertain, values in dispute, stakes high, and
decisions urgent” and says that this is not a set of circumstances where conventional
science excels. Viederman also (in Tryzna 1995 quoted on
www.interenvironment.org 2012) states that “The problems of sustainability are
systemic in nature. In a system there are no byproducts, there are no side-effects,
nor are there any externalities, all of which are rather products of too narrow a
paradigm. In a system there are only effects and products”. Cooperative governance
could thus break down the barriers in achieving sustainability.
In section 4.2.3.1 the governance roles for national and provincial government
support and capacity building were listed. With this focus of the thesis being on the
NCBF, concepts related to it are discussed in the next section.
4.3.9 Concepts related to support, capacity building and training
In section 4.6.4 it is illustrated how cooperative governance is dealt with in the
NCBF. It is, however, important to also understand that the concepts that underpin
the NCBF are not only related to cooperative governance. In the NCBF: 2012 to
2016 (2012:5-9), the following concepts are also listed in relation to support, capacity
building and training:
4.3.9.1 Benchmarks
Benchmarks are targets along a value chain relevant to individual, institutional and
environmental capacity that should be considered sustainable in terms of
functionality, performance and adequate service delivery. Chapter Six of this thesis
will focus on capacity indicators that link to benchmarks.
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4.3.9.2 Capacity and capacity-building
These are terms that are not tightly defined in practice and are used in a broad and
loose fashion. Lack of capacity is often used as a ‘catch-all term’ to describe and
explain everything that is currently wrong in local government. The NCBF (2012:5-9)
defines capacity “as the potential for something to happen” and describes it as a
multi-dimensional concept with three inter-related core elements - individual
capacity, institutional capacity and environmental capacity.
Individual capacity is the potential or combination of staff members’
qualifications, experience and competence (knowledge, skills and attitude); as
defined during the Local Government Skills Audit, or lack thereof, which is
found within persons (staff) and is required for the specific jobs that staff
occupy. This is normally reflected through the staff members’ specific
qualifications, experience and functional/technical, managerial/leadership and
generic competence accumulated through forms of education, training,
development, experience, networks, values, membership of a professional
body and so on. These include councillors.
Individual capacity building is any process that increases the capability of
individuals to be functional or perform or deliver a service.
Institutional capacity (NCBF 2012:5-9) is the potential or competency (or
lack thereof) found within municipalities. The aim in structuring a business unit
and municipality should be to ensure that it is functional, performs and
adequately delivers it services, that is, it has the operational capacity.
Institutional capacity building refers to the process of creating more
responsive, effective, efficient and accountable municipalities through relevant
support, capacity building and training initiatives.
Environmental capacity (NCBF 2012:5-9) is the potential or competency, or
lack thereof, found outside of the municipality’s formal structures. The
components that make up a conducive environment for a municipality to
operate in must be deliberated on continuously. They are elements that a
municipality has little to no influence or direct impact on but may be needed. It
encompasses the social-economic (e.g. tax base), demographics, geography,
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non-municipal infrastructure, natural, mineral and environmental and non-
municipal resources. Environmental capacity could be improved through
amongst others an integrated strategy aimed at addressing development
indicators and building of individual and institutional capacity.
A municipality’s existing individual, institutional and/or environmental capacity can
be strong or needs to be improved relative to whether the municipality:
Is functional as per the benchmarks in terms of individual, institutional
and environmental capacity.
Is performing at a specific level; i.e. underachieving, achieving or
overachieving, on the objectives as set out in their IDP and SDBIP. These
objectives should be cascaded down to Functional Units in the form of
Business Plans. Business Plan objectives in turn should be cascaded
down to Staff Performance Agreements at all levels.
Is delivering its services; inadequately, adequately or exceeding
expectations. Is this in line with relevant legislation and/or sector norms
and standards but specific to the powers and functions as contained in the
Constitution and agreed to with its community.
Has a complaints management system in place to address the
community’s perceptions on service delivery.
Is comparing itself to other municipalities within its category as a whole,
per functional unit and/or per occupational grouping as per the
benchmarks; in terms of individual, institutional and environmental
capacity.
Is determining why there are discrepancies between municipalities within
similar categories and addressing challenges.
Is complying with legislation and reporting requirements, for example
implementing the principles contained in the Batho Pele White Paper. If
not, is determining why not and what can be done to assist. Should
assistance not be requested it could be offered with due regard to
sustainability as outcome.
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Individual, institutional and environmental capacity are interrelated terms although
they are distinct. The distinction is for purposes of policy and effective strategic
interventions.
Diagram 4.2: A systemic approach to capacity building
Source: (NCBF 2012:6)
7
Potential qualifications
Experience Competencies
(Knowledge, Skills and Attitudes)
Professional Values
Networks An
Behaviour
Institutional capacity
Individual capacity
Infrastructure
Regulations
Financial Resources
Structure
Processes
Organisational Culture
Human Resources
Political Economic
factors
Legislative
Socio-
economic
Geographic
Networks
Demographic
composition
Systems
Equipment
Management
practices
Capacity of community
Spatial
position
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4.3.9.3 Impact
Impact is to have an effect that is pre-determined when choosing an initiative to
address a strategic gap/need identified within municipalities at the individual,
institutional or environmental level. At an initiative level impact is equivalent to an
outcome. The overall aim with the initiative should be to move 278 municipalities
towards sustainable functionality, performance and adequate delivery of services
benchmarks (NCBF 2012:5-9).
4.3.9.4 Support
Support is to capacitate means to enable staff and municipalities to be optimally and
sustainably functional, capable of performing their jobs or their functions or services
(NCBF 2012:5-9).
4.3.9.5 Training
Training for the purposes of the NCBF also covers education and development
thus in essence learning. Each is a different initiative used to address different
individual capacity gaps, e.g. if a person does not possess the relevant qualification
he/she should be sent for formal education whereas if a person lacks competence,
for relevant training (NCBF 2012:5-9).
After consideration of the concepts related to cooperative governance, support,
capacity building and training, attention is now given to the structures through which
IGR is managed in terms of cooperative governance.
4.4 National intergovernmental structures
A number of intergovernmental structures promote and facilitate cooperative
governance and IGR between the respective spheres of government. These
structures are consultative bodies designed to facilitate intergovernmental interaction
on matters of mutual interest. Within the SA intergovernmental system, most
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structures determine how different spheres and organs of state must interact.
However, the structural influences of the national sphere are of a policy nature, and
affect the intergovernmental system as a whole (DPLG 2005:6 in Edwards 2008:70).
The IGRFA 13 of 2005 makes provision for the following national IGR structures to
promote interaction among the three spheres of government:
4.4.1 The President’s Coordinating Council (PCC)
Of all the intergovernmental structures, the PCC is the most influential. It is a
consultative forum for the President; attended by senior representatives from all
spheres of government and allows the President to raise matters of national interest
with provincial and local representatives regarding the implementation of national
legislation and policy, as well as the coordination of strategies. It comprises the
President, the Minister COGTA, and the nine premiers. Effective service delivery is a
key item on the agenda and the PCC may recommend corrective action in the
delivery of effective services (DPLG 2005:37 in Edwards 2008:70).
4.4.2 Ministers and members of the executive councils (MinMECs)
Ministerial forums (MinMECs) on the other hand are committees of ministers and
members of provincial executive councils and SALGA. The purpose of these
committees is to improve coordination of activities within all spheres of government,
and they are responsible for the alignment and coordination within specific sectors.
Therefore, each MinMEC focuses on a specific field, for instance, education, health,
welfare, agriculture or the development of local government. Through MinMECs the
provincial councils also have an opportunity to interact with the relevant ministers.
Furthermore, active participation at MinMECs has significant advantages, for
instance provinces have greater influence if they engage at the earliest stage of the
legislative process (DPLG 2005:66 in Edwards 2008:70-71 and the Parliamentary
Monitoring Group 2011:4).
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4.4.3 The National Council of Provinces (NCOP)
While, the NCOPs as a chamber of Parliament, is a key IGR forum – it has to
coordinate and oversee that provincial interests are taken into account by the
national sphere of government. Members of this structure participate in the national
legislative process, and by providing a national structure for public consideration of
issues affecting the provinces, members also participate in constitutional
amendments. Amendments affecting the provinces require the support of six of the
nine provinces. The provincial premier is the head of the provincial delegation which
also consists of six permanent delegates selected by legislature and three special
delegates. The powers of the NCOPs vary according to the impact of the legislation
in question (as regards provincial matters) (DPLG 2005:9 in Edwards 2008:71).
4.4.4 The Forum of South African Directors-General (FOSAD)
This forum promotes programme integration at national and provincial level, as it
includes national and provincial directors-general. It is chaired by the Director-
General of the President’s office. Through this forum the provincial directors-general
bring valuable experience to intergovernmental issues – it improves the coordination
of policy making and implementation across the spheres of government (DPLG
2005:72 in Edwards 2008:71). It is important to note that the FOSAD also has a
number of smaller forums that report to it, akin to the cabinet clusters, to focus on
specific problem areas (for instance social welfare, governance and administration,
the economy, security and justice).
4.4.5 The Budget Council and Local Government Budget Forum
These fora act as advisory bodies on matters of national finance for MinMEC
members, and are established in terms of the IGFR 97 of 1997. Through the Budget
Council, national and provincial governments consult on fiscal, budgetary or financial
matters affecting the provincial sphere of government. The council comprises the
Minister of Finance and the nine MECs for finance. The Budget Council makes
recommendations to the Cabinet on the division of revenue. The National
Government can use the Budget Council to consult provinces on the division of
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revenue, as it is required by law. In the Local Government Budget Forum, SALGA
meets with the national and provincial governments to consult on financial matters
(Carstens and Mathebula 2007:65 and DPLG 2005:67-68 in Edwards 2008:71-72).
4.4.6 Several inter-ministerial committees
Edwards (2008:72) states that both the national and provincial spheres of
government are also involved in addressing government-related issues.
Provincial IGR forums include the Premier’s Intergovernmental Forum (PIF), and
interprovincial forums. These interprovincial forums are consultative forums for the
participating provinces to discuss and consult on matters of mutual interest, including
best practice and capacity building (Edwards 2008:72).
Municipal IGR forums include district intergovernmental forums and inter-
municipality forums. In each district, district IGR exist to facilitate intergovernmental
relations between the district municipality and the local municipalities in a specific
district. The establishment of intergovernmental structures is a step in the right
direction to promote interaction between the three spheres of government, but the
problem of capacity and management in respect of inter alia effective IGR remains
questionable. It is therefore important to give attention to IGR in practice in SA
(Edwards 2008:72).
4.4.7 Different kinds of municipal committees
In Chapter 4 of the Municipal Structures Act 117 of 1998 provision is made for the
establishment of different kinds of municipal committees:
4.4.7.1 Municipal committees
Most councils have a number of council committees specialising in specific areas.
Councillors then get an opportunity to dedicate time to specific issues and to become
experts in those matters. Committees make recommendations to council and save the
council from having to deal with all matters in detail. Committees do not make final
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decisions since most decisions need approval by council as a whole. The different
types of committees are:
Portfolio committees - These are the most common and usually have the
same names as the different departments in council e.g. health committee,
planning committee, finance committee. The Municipal Structures Act 117 of
1998, allows for two types of portfolio committees:
o Section 80 committees are usually permanent committees specialising in
one area of work and sometimes are given the right to make decisions
over small issues. Section 80 committees will also advise executive
committees on policy matters and make recommendations to council.
o Section 79 committees are usually temporary and appointed by the
executive committee as needed. They are usually set up to investigate a
particular issue and do not have any decision-making powers. Just like
Section 80 committees, they can also make recommendations to council.
Once they complete their task Section 79 committees are usually
disbanded. Outside experts as well as councillors can be included in
Section 79 committees.
Geographically-based committees - These committees are set up to deal
with issues in a specific area. This system is usually used in large
metropolitan municipalities that also have sub-councils (Municipal Structures
Act 117 of 1998).
Issue-related committees – These committees may be set up to deal with
a specific issue by involving people from different committees. This helps to
stop problems from being treated in isolation. Issue-related and special
function committees are dealt with in accordance with Section 79 of the
Municipal Structures Act 117 of 1998.
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4.4.7.2 Ward committees
The Municipal Structures Act of 117 of 1998 section 73(2) (b) also addresses
cooperative relations in terms of ward committees. The implementation of the Ward
Committee System is viewed as one of the major developments as far as local
democracy and community participation is concerned. Only local or metros
municipalities of the ‘ward participatory’ type can establish ward committees. The
establishment notice (Section 12 notice) of a municipality determines whether that
particular municipality is of the ‘ward participatory type’. Most municipal areas are
divided into wards for the purposes of local government elections. The ward
participatory system of municipal government allows for the establishment of ward
committees to facilitate community participation in the matters of local government.
Ward committees can also improve communication between the municipal council
and local communities, and plays a role in identifying community needs and fine-
tuning municipal programmes to accommodate local circumstances. Ward
committees’ tasks, among other things, are to (Municipal Structures Act of 117 of
1998):
Prepare, implement and review IDPs (See diagram 4.1 that indicates the
linkage between ward plans, communities and higher level plans).
Establish, implement and review municipalities’ performance-management
systems.
Monitor and review municipalities’ performances.
Prepare municipalities’ budgets.
Participate in decisions about the provision of municipal services.
Communicate and disseminate information on governance matters.
It is also important that when the municipal council decides on how the members of
ward committees will be appointed, that it tries to ensure that a diversity of interests
is represented in ward committees. This is because different groups in the local
community have different opinions, needs and experiences, and a diversity of
opinions will make the ward committee a vibrant democratic structure.
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Should it be that there are more than ten members; the ward committee must be
redefined as an 'ordinary' advisory committee in terms of section 17(4) of the MSA
of 2000. This provision allows a municipality to establish advisory committees
consisting of members who are not councillors. There is no limit to the number of
members of these advisory committees.
Diagram 4.3: Linkage between ward plans, communities and higher level plans
Ward Plan
Municipal IDP
District
IDP
Provincial
Growth and
Development
Plan
National
Spatial
Development
Framework
Growth and
Development
Strategy
Ward
IDP
Representative
Forum
Ward
Committee
Community
Based
Organisation,
Non
Governmental
Organisations
Broader Community
Traditional
Leaders
Source: (DCoG IDP 2012:41)
Legislation has seemingly put in place a workable IGR and cooperative governance
system.
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4.5 Elements of intergovernmental relations in practice in South Africa
Hopkins, Countre and Moore (2001:vii) explain that horizontal management (one of
the planes of IGR in practice) is about working collaboratively across organisational
boundaries of which the following key dimensions were highlighted:
Mobilising teams and networks.
Developing shared frameworks so that everyone works towards the same
goal.
Building supportive structures; both formal and informal structures help in
building lasting relationships and achievements.
Maintaining the momentum (leadership is important to motivate the key
players and channel information to keep everyone engaged and make
working horizontally routine).
Lessons learned by managers working on horizontal projects indicate that (Rounce
and Beaudry 2002 in University of Johannesburg’s Public Governance 3D:
Operationalising Integrated Governance: Reader for GOV3D 2006:75):
Planning and discussions with project partners at an early stage of the project
is important and could rule out some of the challenges experienced later in
the horizontal projects.
There should be buy-in at operational and strategic levels of all stakeholders
involved.
One should put in place firm multi-year financial commitments at the
beginning of a horizontal project through memoranda or letters of
Understanding (MoU or LoU) for the period of the project scope. These
MoUs/LoUs should include identification of the lead stakeholder and the
amount, source and time frames of the funding per stakeholder. Also when
the funding will be made available to the lead stakeholder. Managers advise
that the lead stakeholder should be one who can cover the costs in those
cases where partner stakeholders are late in providing the funding. The MoUs
or LoUs should further determine equipment, work spaces and human
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resource capacity, funding and location. Also, there should be some rules on
reporting lines and some kind of reward system for staff involved in horizontal
projects. The MoU or LoU must also be explicit about who will be reporting on
the project (including to the community) and ensure that reporting is done in a
clear and appropriate fashion that is acceptable to all partners in line with
stakeholders’ mandates.
Vertical lines of accountability for all involved in the horizontal project must be
maintained while also ensuring that the goals of the horizontal project are
achieved.
Lines of communication between stakeholders must be open to build trust,
e.g. through steering committees.
In horizontal projects procedures are not always formalised because there are
many verbal understandings and informal procedures which have to be
reinvented when staff change. Thus, it is vital to codify procedures so that
they can be transferred to other/new staff without losing continuity (when
someone leaves).
An example of IGR in practice in South Africa is the IDP. The IDP is a strategic tool
and government-wide expression of development commitments aligned to a number
of national and provincial objectives. A tool that has its own challenges, e.g. currently
‘Simplified IDPs’ are being developed for smaller municipalities.
However, how does one manage a situation where more than one sphere is
responsible for aspects of the same competence?
4.5.1 Concurrent competencies
Using environmental matters as an example to illustrate concurrent competencies
found in the allocation of powers and functions, the State has detailed areas of
exclusive and concurrent competencies with respect to the three spheres of
government (national, provincial and local) in Schedules 4 and 5 of the National
Environmental Management Act 107 of 1998 (NEMA) (in White and Müller
2009:149). The former schedule relates to items where provinces exercise
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concurrent competencies with national government, while in the latter items of
exclusive provincial competence are set out. Part B in both schedules lists items of
local authority competence, where local government has been afforded executive
authority. Part B matters relating to the environment include ‘Air Pollution’, for
example, while the more generic ‘pollution control’ is listed as a concurrent national
and provincial item. There are indeed some areas such as water, minerals and
energy, for example, that are not listed in Schedules 4 or 5, as these are areas of
exclusive national competence (Glazewski 2005:132-138 in White and Müller
2009:149).
Many sector departments in provinces also devolve functions to local authorities,
with the prerequisite that capacity assessments have been conducted to ensure
institutional capability to perform a particular function. Examples of efforts to devolve
sector functions include allowing for the progressive delegation of the housing
function, the establishment of local transport authorities and the assignment of
primary health care from provinces to municipalities. These sector departments in
provinces play a pivotal role in ensuring that policy, oversight and technical
assistance are forthcoming for the local sphere in the execution of their powers and
performance of their functions (Edwards 2008:73).
Furthermore, the MSA of 2000 provides responsibilities and powers to district
municipalities relating to water and electricity, but local municipalities are also given
authority to manage such district functions. Many local authorities manage
electricity, water and sanitation services, and therefore retain some dominance in the
management of overall service delivery. The distinction between these categories of
municipalities is often referred to as powers between the B (local) and C (district)
municipalities. The critical competencies to manage the assignment of powers and
functions – as authorised by members of executive councils for local government –
also depend on the fiscal framework (Edwards 2008:73).
According to Hughes (2005: 8–9 in Edwards 2008:72-73), the varying institutional
capacity of municipalities to undertake assigned functions and powers from
provinces and implement policy directions, indicates a stronger focus on
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asymmetrical assignments of powers and functions, but depends on the assessment
of capability of the municipality to render services to acceptable service standards.
Powers and functions: “contradictions are also expressed through tensions around
infrastructure and service delivery (e.g. energy, transport, land-use planning, early
childhood development and health) (and) require resolution” (Edwards 2008:72-73).
Pieterse suggests that the powers and functions issue and its fiscal implications
must be addressed with a view on how to achieve not only poverty alleviation, but
also sustainable growth (in LGSETA Local Government, Economic Growth and
Development 2011:7).
The delegation of concurrent responsibilities has thus created fragmentation, and:
Results in a climate of confusion and uncertainty.
Strains the administrative capacities of all spheres of government.
Makes coordination between policies and departments difficult.
The complexity challenges the national objectives of cooperative governance
and integration of specialised management practices such as environmental
management.
Duplication is common and this has resulted in a broad range of overlapping
mandates and interests, and has highlighted the need for a more clear
separation of implementation and monitoring functions. This is evident in the
Department of Minerals and Energy (DEM), which is responsible both for
promoting resource extraction and monitoring and managing the impacts of
extraction (Rossouw and Wiseman 2004:132 in White and Müller 2009:149).
Aggravating this, the fragmentation of government into departments
encourages a ‘special interest’ approach to public policy that results in each
ministry tending to focus mainly on the interests of the key producers and
professionals in that policy sphere. For example, energy ministers tend to
view their primary role as protecting the interests of the major energy
producers (such as coal and nuclear power) and as a result may downplay
environmental damage associated with the energy sector (Carter 2001:174 in
White and Müller 2009:149-150).
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Environmental (and other) policies are often developed in isolation from other
related policies. Land use policies, such as the Development Facilitation Act
67 of 1995, which have huge potential to impact on the environment, have
been developed independently of environmental policy initiatives (Peart and
Wilson 1998:264 in White and Müller 2009:150).
The deluge of policies since 1994 has made integration and coordination of
policies difficult and encouraged overlap and – despite their good intentions –
they have been very difficult to implement, indicating a somewhat idealised
approach in the policy development stage.
The general weaknesses in the policy process include the following: key
issues are not identified or prioritised; a lack of institutional capacity; strong
opposition to policy from within departments; tight time frames that don’t allow
for a thorough public participation process; confusion as a result of a lack of
consistency in the policy process; a lack of clearly defined responsibilities and
roles; duplication of effort; a lack of social and economic information and,
when it is available, it is poorly integrated with environmental issues; a lack of
technical environmental information in the development and monitoring of
policy; bias in favour of dominant interest groups and the exclusion or
misrepresentation of certain groups; and finally, a lack of monitoring and
evaluation, partly because the technology to do so has not been developed
and there are insufficient sustainability indicators to aid monitoring (Clark,
Willis and Brown 2000:11-13).
The overlaps between the functional areas of the three spheres and disagreement
about who is responsible for a particular function can lead to a lack of accountability
and the question then arises: Who should be held responsible for poor service
delivery? (Practitioner’s guide to intergovernmental relations in South Africa 2009:20
and Coetzee 2010:94). In this respect Napier (2007:388 in Coetzee 2010:94) is of
the opinion that “the lines of accountability between the one proposing an action and
one receiving are not always clear. It is not always clear as to who makes certain
decisions and how they are to account.” If all three spheres have authority over the
same functional area, who does what and who is responsible for what constitutional
areas? This may lead to confusion. Napier adds: “Accountability then does not mean
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that a representative has to justify or support a decision or action taken if they were
not part of the process leading up to that decision or action taken” (Napier 2007:388-
389 in Coetzee 2010:94). This may lead to a situation where accountability cannot
be enforced (Coetzee 2010:94-95). Accountability cannot exist if responsibility is not
included. One of the problems is that government must allow sharing of
responsibilities among different spheres, but then responsibilities should be clearly
defined (Implementation of the IRF Act 13 of 2005 Report 2005/6 - 2006/7:47 in
Coetzee 2010:95).
Concurrent competencies could, however, be managed through implementation
protocols.
4.5.2 Implementation protocols
The IGRFA 13 of 2005 also contains a framework for the conclusion of
implementation protocols. An implementation protocol may be used where two or
more organs of state must coordinate their interactions in order to implement a
policy, exercise a statutory power or function, or provide a service. The objective of
intergovernmental implementation protocols is to set out clear outcomes of joint
work, clarify responsibilities, determine resource requirements, set performance
indicators and put mechanisms in place to ensure that outcomes are achieved. In the
light of the above it is important to pay attention to intergovernmental structures that
promote these interactions between the three spheres of government (Edwards
2008:69-70).
The MFMA of 2003 also requires consultation in the budgeting and planning
process. Committees should thus meet regularly to facilitate contact between
departments and municipalities and to make sure that there is an alignment of
planning priority strategies and resources between provincial and municipal
government. It is not enough for discussion to take place – regular contact is
necessary to ensure that development is coordinated, fast-tracked, and that
obstacles are removed where they impede delivery. This requires ongoing
communication and open lines between the different spheres of government
(www.etu.org.za 2011:2-3).
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There is also a mechanism to manage disputes in those cases where joint
implementation of projects is practiced.
4.5.3 Disputes during joint implementation
Any organ of state may declare an inter-governmental dispute. Different organs of
state cannot institute judicial proceedings against each other unless an inter-
governmental dispute has been declared, and all efforts have been made to resolve
the dispute. Once a dispute has been declared, organs of state must designate a
facilitator and resolve the dispute.
It is, however, very important for the principles of cooperative government, as
contained in the Constitution of 1996, to be respected and observed by all spheres of
government. It is highly undesirable for different spheres of government to take each
other to court. The IGRFA of 2005 has been set up to facilitate cooperation and
avoid legal proceedings between different spheres of government IGR thus goes
beyond the Act (www.etu.org.za 2011:2). It is not only institutions that are involved in
cooperative governance but also the citizen (public).
4.5.4 A government that benefits the citizen (public participation)
Sampson and Ile (2010:129-130) state that more than three decades ago, Almond
and Verba (1963) observed that there was a participation explosion throughout the
world (Sampson and Ile 2010:129-130). Public participation and citizen involvement
in decision-making in most democracies can be traced as far back as Plato’s
Republic. Plato’s concepts of freedom of speech, assembly, voting, and equal
representation have evolved through the years to form basic pillars upon which many
democracies were established (Sampson and Ile 2010:129-130).
Shaidi, Pillay, Raga and Taylor (2011:116) confirm that international experience has
proven that one way of achieving successful and lasting models that will ensure
citizen participation in governance, is the establishment of structured and
institutionalised frameworks for participatory local governance. According to Cloete
(1997:12 in Shaidi, Pillay, Raga and Taylor 2011:116), the national government prior
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to 1996 demonstrated little interest in municipal affairs and contributed marginally to
the development of local government and administrative systems appropriate for SA
urban areas. This underscores the importance and relevance of the establishment of
ward committees as vehicles for public consultation and participation.
In SA, ward committees have become special-purpose vehicles for public
participation. They are expected to establish effective and continuous
communication with and between the community, the ward councillor and the
municipality. Communication in any institution is crucial to its success (Knipe, Van
der Walt, Van Niekerk, Burger and Neil 2002:107 in Shaidi, Pillay, Raga and Taylor
2011:116). This is the reason why democratic states prefer mass participation of the
citizenry in the decision-making process as it is impractical for each community
member to take part in every municipality decision. A representative system had to
be developed (Black, Calitz and Steenkamp 2003:69 in Shaidi, Pillay, Raga and
Taylor 2011:116). Such a system involves the election of ward councillors and
Proportional Representative (PR) councillors who represent the various communities
in council. According to Section 157 of the Constitution of 1996, elections can either
be on a purely proportional (proportional representation) or a pure ward system basis
(Shaidi, Pillay, Raga and Taylor 2011:116).
4.5.4.1 Public participation in cooperative governance
Raga, Taylor and Albrecht (2011:164 as confirmed by diZerega 2000:165 in
Sampson and Ile 2009:131) state that there is a need to improve local participatory
governance as municipalities should secure greater participation by residents in
matters of governance. Besides the fact that this is a constitutional and legislative
requirement, it is also one of the important principles of good cooperative
governance. Communication between government and citizens should be seen as
an integral part of service delivery. A culture of open and ongoing communication
should prevail, not limited only to crisis communication, marketing and media
statements. Public participation initiatives should primarily target the poor, illiterate,
and other marginalised sectors of society.
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Sampson and Ile (2009:144-145) further explain that public participation processes
have four major components: (1) the issue or situation, (2) the administrative
structures, systems, and processes within which participation takes place, (3) the
administrators, and (4) the citizens. Participation efforts are currently framed so that
these components are arrayed around the issue. The citizen is placed at the greatest
distance from the issue, the administrative structures and processes. Thus, the real
power, it can be argued, lies with the administrator. In most instances, managerial
efficiency is more valued than an inclusionary process.
Raga, Taylor and Albrecht (2011:164) argue that the ward committee system should
not be a voluntary option for municipalities as is currently the case, but compulsory.
Ward committees have been established widely and are functioning as mechanisms
for community participation with varying degrees of success. Legislation instructs the
municipality to adopt an election mechanism that secures representation of a
diversity of interests. There are concerns regarding the functionality and
effectiveness of ward committees, relating primarily to nomination, role definition,
competition with other key civil society structures, and skills shortages (DCoG
2011:41).
Practice has also illustrated that the current framework for public participation is not
always fully or creatively utilised. The 1998 White Paper envisaged municipalities to
actively cultivate partnerships with local business in job creation and investment, to
engage with the public and private sector in development, to enhance delivery
through partnerships with businesses, NPOs, NGOs and Community Based
Organisations (CBOs) and other community formations. The 1998 White Paper saw
a key role for local government in building social capital at local level, an approach
which required: “trust between individuals and open and accommodating
relationships between stakeholders” (DCoG 2011:41).
Local governments all over the world experiment with new participatory initiatives
that explicitly aim to include all citizens (Cornwall and Gaventa 2006, Selee and
Tulchin 2004 and Van Parys, Beuselinck and Brans 2009:46). These initiatives
include forums that function as intermediaries between citizens and the elected local
councils. The municipal planning initiative in Bolivia (Cornwall and Gaventa 2006 and
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Van Parys, Beuselinck and Brans 2009:46) and the Panchayat Village governance
system in India (Fung and Wright 2001 and Van Parys, Beuselinck and Brans
2009:46) are examples of such initiatives.
However, scholars increasingly question the extent to which these new mechanisms
truly succeed in including all citizens. They seem to suffer from the same lack of
inclusion than the traditional system of representative democracy, implying, once
again, a problem of weak democratic legitimacy (Cornwall 2002b, Goetz and Jenkins
2005 and Van Parys, Beuselinck and Brans 2009:46). For Haus and Heinelt
(2005:15 in Van Parys, Beuselinck and Brans 2009:50), throughput legitimation
refers to the transparency of the institutions and processes involved in the
participation initiative. According to these authors, transparency is required so that
citizens can understand who is responsible for which decisions. This, in turn, should
enable citizens to hold their representatives accountable for what they have (not)
done (Haus and Heinelt 2005:15 in Van Parys, Beuselinck and Brans 2009:50).
Cloete (in Nemvumoni 2009:99) argues that public accountability means that public
entities have to pursue objectives determined not by themselves but by the people
and that citizens therefore have an indispensable role to play in exacting
accountability. Nemvumoni (2009:98) states that citizen (public) participation is
essential for the promotion of good governance and efficient and effective
administration in South Africa (which, earlier in this chapter, was linked to successful
cooperative governance).
In the same way Vil-Nkomo (1997:125 in Nemvumoni 2009:100) envisages the role
of the citizen in terms of a system of interlocking cooperative governance among the
three spheres, with the role of each clearly identifiable within the whole system. In
other words, (inter-)governmental cooperation must be viewed holistically. According
to Vil-Nkomo (1997:126 in Nemvumoni 2009:101), the pathway to efficient and
effective service delivery is then to put into full effect the holistic system of
cooperative governance. This, according to him, should reduce fragmentation in
service delivery and iron out inequalities.
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If public participation is successful then community-based planning would also
succeed.
4.5.4.2 Community-based planning
The example in section 4.5 of IGR in practice is the IDP, in the Revised IDP
Framework for Municipalities Outside Metros and Secondary Cities (DCoG IDP
2012:40) it is stated that one of the ways to promote effective community
participation is by promoting and embarking on ward based planning and budgeting
in development planning processes that would culminate in the development of
community-based ward plans. The following are principles of community-based
planning:
Poor people are included.
Plans and the planning process must be realistic and practical.
Planning must be linked to legitimate structures like ward committees.
Planning should include implementation, monitoring, evaluation and annual
review.
The plan must be people-focused and empowering.
Planning must build on strengths and opportunities rather than focus on
problems.
Plans must be holistic and cover all sectors.
Planning must promote mutual accountability between community and
officials.
There must be commitment by councillors and officials to the whole process.
Some municipalities have piloted a system of community-based planning at ward
level and it is therefore recommended that the ward plans include the following
(DCoG IDP 2012:40-41):
an understanding of social diversity in the community, the assets,
vulnerabilities and preferred outcomes of these different social groups;
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an analysis of the services available to these groups, as well as the spatial
aspects of development and the strengths, weaknesses, opportunities and
threats facing the community;
a consensus on priority outcomes for the ward;
collective development of plans to address the outcomes, based on what the
ward will do, what support is needed from the municipality, and agencies;
a community budget for discretionary funds for the municipality to assist the
community to take forward their ward plans; and
an action plan for the ward committee to take forward its plan and help
communities to reach consensus and to have direction.
The Community-based Plan could be considered as a form of decentralisation at the
municipal level allowing citizens to participate.
4.5.4.3 Decentralisation
The national developmental agenda promotes decentralisation but practices
centralization, argues Edwards (2008:77). However, the DCoG’s Review of the
White Paper on Local Government of 1998 (DCoG 2011:32-33) states that the
purpose of the national system of cooperative government is to manage the
governance arrangements within a unitary state. This means managing the system
of decentralisation provided for in the Constitution. The goal of effective
decentralised governance is to ensure that each sphere performs its own duties and
obligations and is capacitated and supported to do so. The outcomes must serve to
further the objectives of the developmental state.
The use of a decentralised governance model has as objective to meet the basic
needs of local communities (Working together for development – Intergovernmental
relations 2009:2 in Coetzee 2010:86). Msaseni and Hilliard (2000:158 in Coetzee
2010:86) state that “decentralization is both a cause and effect of the changing
relationship among the three spheres of government”. The key issue is to “simplify
governance arrangements through appropriate location of powers and functions...
thus reducing the complexities of coordinating decentralised and concurrent
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functions” (Implementation of the IGRF Act 13 of 2005 Report 2005/6 - 2006/7:45).
According to McLean (2004:157 in Coetzee 2010:86) the commitment to
decentralisation, fragmentation and dispersing authority has, however, made
decision making more difficult and undermined the capacity to achieve
reconstruction and development in SA.
It is explained that the vision for cooperative governance as expressed in the 1998
White Paper was crafted when the intergovernmental system was still largely
untested, and therefore has a strong focus on assumptive role-playing by the various
actors/participants identified. With the introduction of the IGRF Act 13 of 2005, and
related advancements in the interpretation of the unitary state and its systemic levers
and drivers, it becomes clear that activities cannot give meaning to decentralised
governance without clarity on form (DCoG: RWP 2011:33). Form provides the
context within which inter-sphere governance must operate (DCoG: RWP 2011:33-
34).
Within a decentralised system local bureaucrats interpret and apply national policies
and are granted some discretion to interpret national policy and consult local opinion
(Ballard 2009:13-14). White and Müller (2009:148-149) state that currently one finds
a decentralised approach to both the formation and the implementation of
environmental policy. This division of responsibility between the national and
provincial departments in environmental law making and administration has resulted
in a fragmentation of environmental law and a lack of coordination with regard to
administration and enforcement. Human resources have been diluted across too
broad a spectrum and it is too costly to maintain a large number of departments at
national, provincial and local level that deal with environmental affairs (Loots
1996:81-86 in White and Müller 2009:149). Furthermore, despite the national
presence of the Department of Environmental Affairs and Tourism, the administration
of the environment is handled by the following departments: Mineral Affairs and
Energy, Land Affairs, the DWAF, Agriculture, South African National Parks and
others. This situation is further exacerbated by the lack of synergy between the
environmental departments at provincial level; in the Western Cape, for example,
one finds the Department of Environment Affairs and Development Planning, while
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the Northern Province has the Department of Agriculture, Land and Environment
(Glazewski 2005:130-131 in White and Müller 2009:149).
Domestic- or local-level action and policy formation are also not to be
underestimated, e.g. much can be done to address the challenges of climate change
at this level, despite international ossification and policy deficits at a national level.
Arguing for this decentralised approach, Okidi (1996:56 in White and Müller
2009:151) points out that the ‘machinery’ in close proximity to the environmental (or
any other) resource should have jurisdiction over its management – in this case, it
would be local government. Local governments in SA enjoy a great degree of
independence and the power to make by-laws and impose rates (Glazewski
2005:136 in White and Müller 2009:151).
If effective, the decentralised model could benefit the citizen to provide inputs into
government’s processes. The other side of the coin is also under consideration and
seems to be centralisation.
4.5.4.4 Centralisation
Ballard (2009:12) states that since 2005 DPSA has reviewed the existing structures
of the three spheres of government and related powers and has also examined
alternatives such as strengthening local government and removing the provincial
government sphere or, alternatively strengthening the supervision and coordination
role of provincial government with local government, which has been reduced to the
role of agencies. In both cases, a strong central power control base is proposed.
Tansey (1995:144 in Ballard 2009:13) confirms that the distribution of powers is
haphazard in practice with an international trend drawn towards a greater
concentration of power, which is centralised at the highest level of government.
Advantages of a unitary form of government are that it ensures uniformity of laws
and administration. The following disadvantages are listed below:
over-centralised control of local affairs;
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unsuitable for large and culturally heterogeneous communities in which local
problems require specific rather than standardised policies (as in the case of
SA); and
public interest in public affairs is discouraged owing to the impact of a
centralised bureaucracy.
Several factors have contributed towards this trend towards centralisation. The most
important factor being national government, which is the favoured sphere of
government in the country as it has the greatest concentration of expertise (a
perception) (Ballard 2009:13). Motivation to introduce the Single/Integrated Public
Service (also see section 3.9.8) is summarised below (Ballard 2009:14-15):
“strategic intervention to strengthen and enhance government across all three
spheres;
due to a lack of coordination and integration, it would ensure effectiveness of
governmental initiatives and efforts on the ground;
create a single easy window of access to services;
ensure a fair distribution of human resources and expertise to strengthen the
capacity at those points of access, especially at local level;
integrate the three spheres of government into a common institutional
framework;
establish a public service with harmonious systems, conditions of service and
norms;
promote more efficient coordination, which facilitates seamless service
delivery; and
cluster services for the convenience of citizens through a ‘single window’,
whether a physical structure or in cyberspace”.
Ballard (2009:17) states that closer scrutiny of the explanatory note on the Single/
Integrated Public Service, which was issued with the Draft Public Administration Bill
of 2008 has revealed the following implications which are far-reaching for
municipalities; in terms of the impact and encroachment of its constitutional
autonomy. The following matters have been identified and are summarised below:
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limits placed on the terms and conditions of employment;
creation of a generic framework of applicable norms and standards for policy-
making;
appointments and other career incidents of all staff are vested in the municipal
council;
restructuring can only take place after consultation with the minister;
creation of a cadre of senior managers;
establishment of minimum and maximum remuneration and benefits; and
secondments and transfers linked to transfer functions without the consent of
the employee.
However, despite the advocated seamless service delivery model associated with a
one-stop service delivery, developmental duties of municipalities have not been
transferred to provincial and national government (Ballard 2009:18).
Although the intention with the centralisation is a one-stop public service to citizens it
is not yet known whether centralisation will be more beneficial than decentralisation
for the citizen (public). There is, however, another consideration other than
centralisation and decentralisation
4.5.4.5 Federal system
A federal system permits lower levels or spheres to operate with a certain degree of
independence from the national level or sphere. Local government in a devolved
system negotiates a local interpretation of national policies within a framework of
national statutory guidance. Closer interpretation of the Constitution of 1996 reveals
that a system of devolution operates, whereby powers are created and allocated to
local government for execution (refer to schedules 4 and 5 of the Constitution of
1996).
In practice, all systems have some measure of coordination and cooperation
between various levels. International writers refer to this manifestation as
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cooperative federalism. In SA, local government is deemed to be independent with a
guaranteed autonomy in terms of section 41(1)(g) of the Constitution of 1996, which
states that national and provincial government must :“…exercise their powers and
perform their functions in a manner that does not encroach on the geographical,
functional or institutional integrity …” (Ballard 2009:14).
Thus, a federal system inclusive of public participation could also benefit citizens.
4.5.4.6 The ignorance of citizens
Molinyane (2012:55) argues that: “In democratic states various arguments have
been made to allow citizens to remain in contact with their representatives
(Parliament, the provincial legislative and municipal councils, the respective political
executives and public institutions). However, the success of these contacts will
depend on how citizens make use of the facilities that are available”.
In many developing democracies, most citizens are unable to communicate with their
representatives or with the officials responsible for effecting government policy
efficiently. Some members of society are also ignorant of the resources that are
available and of their rights to demand an acceptable level of services. In particular,
the illiterate component of society is often deprived of essential services.
Furthermore, they are unable to determine what services they are entitled to, or the
quality of the services they are entitled to. Section 16 of the MSA of 2000 deals with
this aspect; it requires municipalities to develop a culture of municipal governance
that helps foster community participation. Also, municipalities are required to
establish ward committees to promote participation among those members of a
community that do not directly participate in municipal matters. This includes women,
illiterate people, other disadvantaged groups and the disabled (cf. section 17(3) MSA
of 2000).
Thus, more education of citizens is needed if public participation to the benefit of
citizens is to be optimally achieved. This, however, is not the only challenge facing
government.
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4.5.5 Challenges of cooperative intergovernmental relations
Although remarkable progress has been made since 1999 with the implementation of
the IGRFA of 2005, the mere existence of an Act and its impact is no guarantee that
it will be translated into action, with the intended results (Edwards 2008:77).
Challenges have been registered despite the fact that the structures and policies for
dealing with a constitutional framework on cooperative governance exists. However,
it is argued that the interpretation, meaning and implementation needs to be
addressed. Cooperative governance principles are not (always) applied in practice
according to Coetzee (2010:88). The ability to manage the implementation of IGR is
a mutual challenge across all spheres. This core challenge of cooperative
governance finds strategic expression in the work of the IGR forums (Edwards
2008:73). IGR/ cooperative governance challenges that have been reported from
various sources are:
4.5.5.1 Good governance
Because the SA society is fragmented along the lines of political, social and
economic relationships it makes the operation of good governance extremely difficult
(Mhone 2004:37). In this regard the following is highlighted:
McLean (2004:161) states that national government’s role in service delivery
is to introduce legislation, formulate policy and monitor provincial and local
government. National government’s policy instruments that are used to
influence and control provincial and local governments need to be reviewed
(Gildenhuys and Knipe 2007:303 and Msaseni and Hilliard 2000:155).
According to Burger (2001:71), provinces on the other hand were established
to be mechanisms enhancing democracy not management. This democratic
role of provinces is undermined by the fact that decisions are made by
national government without taking the unique differences between provinces
into consideration (Burger 2001:71). Government claims that policy shifts
have been made, but without much public discussion or consultation (Mhone
2004:39). Mhone (2004:43) explains that the “politician’s dilemma is seen to
be the need to contain parochial and clientelist policies, and redistribution
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policies, by empowering distanced agents to make recommendations and
therefore rely on technocrats who (may) favour their own interests and not the
masses of peoples’ interest” (Mhone 2004:43) (The same can also be said for
politicians). Mentzel (2000:138) comes to the conclusion that provinces are
the weakest link in the chain of government which can, amongst others, be
attributed to the lack of skills and incorrect power-sharing between the
spheres of government (Coetzee 2010:92-93). However, national
government’s perspective is that the provinces have too much latitude in
decisions on the allocation of resources and by deviating from national
guidelines they may undermine national policy (Implementation of the IGRFA
of 2005 Report 2005/6 - 2006/7:31 in Coetzee 2010:93).
The country must encourage autonomously elected local authorities and give
local authorities binding decision-making power in policy areas (Msaseni and
Hilliard 2000:157) to implement decentralisation and improve democracy.
However, the information that is available for guiding and directing national
government to design policy instruments is insufficient, imperfect and
fragmental (Gildenhuys and Knipe 2007:303) and does not contribute to good
governance (Coetzee 2010:91-92). The reason for the situation is that the
three spheres of government have the potential to have different views and
different policy choices, especially local government, because this sphere is
closest to the electorate. Local government is thus accountable for its policy
choices to the communities. They must act responsively and responsibly in
solving and addressing community problems (Gildenhuys and Knipe 2007:302
and Msaseni and Hilliard 2000:154). The constitutional division makes public
participation possible which in turn enables decision making at a local level
(Napier 2008:164). To improve the functioning of local government, public
participation must be emphasised (Napier 2008:165). In the words of
President Zuma (in Coetzee 2010:7): “Local government must work.” In his
speech Zuma also acknowledges that there are problems that need to be
addressed (Zuma 2010:7 in Coetzee 2010:92).
The following examples and tendencies with the implementation of the main
principles and real working situations of good governance and IGR are found
within municipalities (Coetzee 2010:98):
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There has been a decline in enthusiasm for political participation, while the
roles of managers and policy implementers are increasing (Mogale 2004:224).
The Mo Ibrahim Index of African Governance gave the country 77% for
participation and human rights. However, the same institute awarded SA only
45% for democratic governance in 2009/2010 (Anon 2010:6). Napier
(2008:171-173) states clearly that a very small percentage of the public will
attend and participate in ward committee elections in Tshwane municipality,
the reason being a lack of interest. Public participation is therefore inadequate
(Coetzee 2010:99).
The result of an inefficient and ineffective governance system is an unstable
situation. From a theoretical political system perspective, if needs and
demands (input) of citizens are not met by the different policies of government
(outputs), a situation of instability (feedback) exists. Instability in municipalities
manifests through uproar and violent behaviour.
No coherent system is in place to measure service delivery (Botes et al.
2006a:5) which implies that the whole aspect of service delivery is a non-
existent exercise. It leads to re-emphasising the importance of effective
monitoring, support, oversight and intervention mechanisms to improve the
situation (Coetzee 2010:100).
Poor management (financial management, ineffective technical management
and lack of general management) in the three different spheres of government
contributed to protests (Botes, Lenka, Marais, Matebesi and Sigenu 2006a:5).
As an example of poor management it can be mentioned that some municipal
managers cannot read or write (Roodt and Eddy 2010:5). Furthermore 28% of
municipal workers’ posts are not reflected in the organisational structures
(Roodt and Eddy 2008:6). In Johannesburg there is a shortage of 560
personnel in an operational department (Disaster Centre) (Roodt and Eddy
2010:6). Poor management can be attributed to the fact that “many functions
have already been ‘informally’ delegated to municipalities, without effective
legal provision, or without adequate financial resources having been
transferred” (Botes et al. 2006a:12). This implication therefore leads to
political instability and, if not addressed, an improper situation of violence and
protest will result (Coetzee 2010:100).
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The institutional lack of transparency. Transparency refers to the extent to
which the function of government institutions is open to public scrutiny (Vyas-
Doorgapersad and Ababio 2006:392). Transparency is therefore also one of
the principles of good governance to which there is no compliance (Coetzee
2010:99), a point also underlined by Edigheji in Nelana 2005 and Nelana
2005 in Nealer and Naude 2011:111).
There are also other challenges that the three spheres of government have to deal
with.
4.5.5.2 Tension between the relative autonomy of spheres of government
Chapter 3 of the Constitution, does not provide enough detail regarding cooperative
government (Coetzee 2005:156). This lack of detail in the understanding of IGR
brings about a more flexible and negotiable relationship which is not the intention of
the original legislation. It is crucial that the powers and functions of the different
spheres must be interpreted correctly. If not, cooperation may occur (or may not)
(Implementation of the IGRFA of 2005 Report 2005/6 - 2006:44 in Edwards
2008:73). In this respect different spheres are not truly equal, since the Constitution
provides for extensive overriding and overseeing. In other words, government
spheres overstep their boundaries in terms of powers and functions. Tension and
confusion exist over the roles of various spheres of government (McLean 2004:158,
173 and corroborated in the previous section).
The tension and confusion which Malan (2005:227) also identifies, manifests itself in
the fact that each individual local or provincial government claims to be independent
(Gildenhuys and Knipe 2007:302). Independence does not mean domination of one
sphere over the other. However, the problem is that national government has the
power through the Parliament to set conditions for provincial and local choice (duties
and functions) and therefore directly controls and influences the decisions of
provincial and local government.
Tension also exists vertically between departments in the same sphere, for example,
at a national level when one department oversteps its mandate and practices that of
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another department (DCoG and the National Treasury has some debates about this)
as well as between district and local municipalities. Another challenge is at the level
of service delivery.
4.5.5.3 Access and quality of services
The effective provision of services usually requires the participation of more than one
organ of state. Therefore, the importance of an effective intergovernmental system at
local level is imperative to ensuring the implementation of a people-centered IDP
(Anon 2004:16 in Edwards 2008:72). Since 2000, there has been a single sphere
structure in metropolitan areas and a two-sphere system in non-metropolitan areas
structured for both local and district municipalities. It is very important to define the
functions each of these structures must perform (Anon 2004:16 in Edwards
2008:72).
Improving access to services and offering better quality services also remains a
crucial developmental outcome. However, the investment in maintenance and
rehabilitation of municipal infrastructure has become a vital prerequisite for continued
service delivery. Within a cooperative approach, this requires that national
government should come alongside struggling municipalities to help shoulder the
burden of funding and the poor state of bulk infrastructure. There should be full
support through the National Fiscus for service delivery implementation where
municipalities have an insufficient revenue base (DCoG: RWP 2011:8).
Furthermore, many municipalities which are central to the implementation of
government policies still do not have the necessary capacity, even where resources
are available, to implement government programmes and ensure that there is a
sustainable delivery of basic services. Each municipality should have a realistic, IDP,
a credible LED programme, material and human resources, and the management
and operations systems needed to implement programmes.
Coordination is a further challenge that needs to be addressed.
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4.5.5.4 Coordination
The Presidency’s Ten Year Review in 2003 observed that, in practice, there was little
alignment between planning, policy and implementation in the three spheres of
government. The result was that national government priorities did not filter down to
provincial and local government (and vice versa) (Implementation of the IGRFA of
2005 Report 2005/6 - 2006/7:19 in Edwards 2008:73).
In terms of policies, discrepancy in policies at a national level may not receive the
necessary funding at subnational government levels. Furthermore, unrealistic
national policies do not take operational context, human resource and capacity
constraints at subnational governments levels into consideration (Implementation of
the IGRFA of 20055 Report 2005/6 - 2006/7:29 in Coetzee 2010:91).
In SA the policy processes are highly regarded for their high levels of public
participation and the inclusion of civil society is often seen as a prerequisite for a
sustainable and representative policy process (Clark et al. 2000:10 and White and
Müller 2009:153). But this process, although necessary, is cumbersome and
presents an additional challenge to the policy process. Local communities are by
definition a diverse group consisting of a myriad of income groups, races and social
classes, all with different interests, priorities and values. This diversity of interests will
result in a conflict of interests and local government must therefore act as the final
arbitrator in this volley of conflicting interests, and it is unlikely that any one interest
group will have its desires met in full (Deegan 2002:52 and White and Müller
2009:153). Acting as arbitrator and managing public participation is time consuming
and costly and it stretches local government capacities.
Further, whilst the MSA of 2000 has given excellent instruction for IDP, an emerging
reality is that notions of ‘integration’ and ‘coordination’ may actually be constraining
municipal integrity and decision-making. This is because ‘alignment’ of national,
provincial and local planning may not necessarily be appropriate or necessary for all
municipalities. National government leads by setting in motion the planning cycle –
the agenda may then be interpreted according to the spatial and socio-economic
realities of each sphere. What is necessary is joint planning, communication of
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planning priorities, discussion and negotiation, and the recognition of inclusive and
empowered local communities (DCoG: RWP 2011:34).
It may then be said, that the idea of cooperation is both ‘underdeveloped’ and
‘overextended’ in relation to effective service delivery. The fiscal requirement for a
single point of accountability works against the sharing of contributions implicit in the
concept of integrated planning. The lack of a ‘how’ for joint decision-making across
spheres, further isolates success in coordinated planning, as planning for
coordinating rather than planning to deliver may be the consequence (DCoG: RWP
2011:34).
There is also no proper coordination in existence with regard to current legislation
and new legislation produced by the three spheres of government (Coetzee
2010:91).
IGR should promote relationships with a wide range of stakeholders through multi-
sphere dialogue to promote cooperative governance – this includes liaison with local
government, provinces, sector departments and other state and non-state actors to
promote service delivery, economic growth and social upliftment. Ideally, municipal
IGR and IDP coordinators should lead the policy analysis and coordination process
to ensure provincial and local cohesion. It is crucial that the system of cooperative
governance continually operates in ways that result in better coordination and
integrated planning, budgeting and service delivery within and across spheres of
government, not only to promote sustainable community development but also to
create a better life for all the citizens of our country (Edwards 2008:73).
Challenges also exist regarding role division within the municipal council.
4.5.5.5 Role division
The Constitution of 1996 does not provide for the separation of executive and
legislative powers at municipal level. A municipal council can therefore exercise both
legislative and executive functions. In terms of legislation impacting on IGR, the
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mayor of a municipality is the key political office-bearer responsible. The mayor is
also the political office-bearer who drives the preparations and implementation of the
municipality’s budget, and this can be seen as another important activity in terms of
IGR (DPLG 2005:18 in Edwards 2008:73).
Capacity challenges in terms of IGR are said to be far reaching.
4.5.5.6 Capacity challenges
There are certain capacity challenges to implement and promote IGR that will have
to be addressed as a matter of urgency. According to Edwards (2008:77), these are:
Legislative capacity: Deals with the ability of NCOP delegates to voice their
opinions when legislation directly affects the interests of their region. Another
problem is the lack of effective communication between the national
assembly, NCOP delegations and provincial legislatures. Draft bills are often
provided to the NCOP, but not enough time is set aside for provinces to
provide proper feedback (Simeon and Murray 2001: 77–84 and Edwards
2008:77). What is needed is the creation of a culture of cooperation that
requires cooperative governance capacity building.
Administrative capacity: Provinces and local spheres of government need
to ensure the functioning of an effective and efficient public administration. In
light of this, provinces have difficulty establishing effective administrative
structures, systems and processes for managing and delivering effective
services to the public in the various regions. The Ten Year Review Report
(PCAS 2003:14 in Edwards 2008:77) concluded that the performance of both
provincial and local government reflects great imbalances, with some leading
provinces and local spheres doing well, whilst others still struggle to achieve a
basic acceptable level of operational efficiency and effectiveness (Mathebula
2004:189 in Edwards 2008:78).
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Fiscal capacity: It is said that revenue-raising in SA is by and large reserved
for national government. For example, all broad-based taxes (such as income
and corporate taxes, VAT, fuel levy and customs revenue) are assigned to
national government. Effective IGR involves the transfer of such funds
between the spheres to achieve the developmental objectives of the
government. For SA, intergovernmental finances are a matter of fulfilling
developmental and social obligations, and are based on a revenue-sharing
model which is negotiated annually, taking local needs into consideration
(DPLG 2005:10-11 in Edwards 2008:78). The Division of Revenue Act 2 of
2006 published annually by the National Treasury, sets out the allocations to
national, provincial and local governments and details the various conditional
grants to provinces and municipalities. The yearly budget speech further
details the division of revenue each year, in line with the respective functions
and fiscal capacity of each sphere. It is clear that the provinces largely depend
on the unconditional equitable share and conditional grants. However, local
governments can raise much more of their own revenue (such as property tax
and user charges), although there are large variances amongst the
municipalities (DPLG 2005: 10-11 in Edwards 2008:78). Local government is
also entitled to an equitable share of national revenue, including transfers to
allow people to receive a minimum basket of free basic services such as
water and electricity.
In addition, capital transfers are made to local government, for example via
the Municipal Infrastructure Grant (MIG). Thus the equitable share is
unconditional and provinces and local government can spend it as they see
fit, within national guidelines, plans and priorities. The MFMA of 2003, makes
provision for interaction between the three spheres and the need for
assistance and capacity building. It also regulates the timing for
intergovernmental grants to assist municipalities with preparations for multi-
year budgeting (DPLG 2005: 10-11 in Edwards 2008:78-79).
Lastly, from the perspective of a government official, the National Treasury
officials have unfair access to funding to promote their projects and in view of
this uneven funding access it is proposed that there be a separation of
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functions by having one institution that deals with government funding and
another that deals with financial, supply chain management, and internal audit
norms and standards.
Intergovernmental capacity: Since 2000, approximately 65
intergovernmental bodies have been created. Amongst the first was the IGF,
with its main aim being to bring provincial premiers and national ministers
together on a quarterly basis for policy discussions. The provincial
governments questioned the effectiveness and efficiency of the IGF as an
instrument of IGR. Criticism against this instrument includes the following:
o The agendas of the IGF have few critical or important matters.
o Most of the IGF meetings were of an informative instead of a consultative
o nature.
o Ministerial attendance at these meetings has been poor.
It is said that MinMECs have taken over the function of coordinating between
national and provincial departments and the creation of the National Council of
Provinces has further marginalised the IGF (Doyle and Naude 2002:76-77 and
Edwards 2008:79). To ensure effective coordination, the IGF was replaced in 1999
by the PCC, with the specific purpose of coordinating and implementing policy for
effective coordination to follow an integrated approach to planning and to ensure the
effective allocation of resources. Although the MinMEC structures have made
significant contributions to intergovernmental cooperation and coordination, the
structure as a whole has also been criticised for being too limited. Some of the
limitations of MinMECs are that they are too sectorally focused and tend to
encourage the fragmentation of policy formulation; they are poorly attended (in
particular by low-ranking officials who cannot make decisions at MinMEC meetings).
MinMEC meetings are also dominated by national government and are not
structured to accommodate decision-making consensus. Despite these criticisms
MinMECs are some of the most important instruments for promoting IGR (Doyle and
Naude 2002: 77-78 and Edwards 2008:79-80).
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The technical committees and structures set up to facilitate IGR have achieved
mixed results. Although some of the technical structures that coordinate activities
between national and provincial line departments have been effective, the
Technical Intergovernmental Committee (TIC) failed to achieve more effective IGR at
the national sphere (Presidential Review Commission 1998). The TIC was replaced
by the FOSAD in 1998.
Since 1997, the national Minister of Finance and the provincial ministers have been
meeting regularly as the Budget Council to govern fiscal relations. About 20 other
MinMECs have been formed to discuss policy in specific areas.
There are also other challenges of cooperative governance that will be discussed in
the next section.
4.5.5.7 Other challenges of cooperative governance
On the other hand, the lack of cooperative governance at the different spheres has
been attributed to the fact that the three spheres had to deal with issues such as
bureaucracy, and a lack of:
properly coordinated and structured information systems to facilitate provincial
monitoring;
effective communication between different role players;
capacity to implement policies and programmes;
trained personnel; and
commitment to cooperate (mandates of the different government departments
in legislation contradict one another) (Du Plessis 2004: 19–20 and Edwards
2008:75-76).
In defining the challenges it is obvious that they are registered from varying policy
perspectives. Thus, in addressing each challenge policy changes may be inevitable.
Edwards (2008:80) however, argues that particular strategies to overcome the IGR
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challenges need to be developed and that this is where the attention must be
focused. Following, are proposals to address the challenges identified.
4.5.6 Proposals to improve the SA system of cooperative governance
The DCoG’s Draft Revised Green Paper on Cooperative Governance (RWP
2011:64-69) has identified the following proposals and sub-proposals to improve the
SA cooperative governance system; also identified in the DCoG’s Review of the
White Paper on Local Government of 1998 (2011:7) as summarized in Table 4.1
below. These are also supported by Edwards (2008:76-77) in the recommendations
to address the IGR Audit Report 1999.
Table 4.1: Proposals and sub-proposals to improve the SA cooperative
governance system
Proposal Sub-proposals, some also contained in the Draft Revised
Green Paper on Cooperative Governance (RWP)
To improve the way national government regulates provincial and local government.
1. All departments that administer legislation impacting on provincial and local governments must ensure that they establish the capacity to systematically administer, oversee, review and enforce their own legislation.
2. 3. Outstanding regulations under existing legislation should be
introduced, and outdated existing municipal regulations should be reviewed, with all regulations and guidelines systematically reviewed at least every three to five years.
4. 5. A single integrated system of administering municipal legislation based
on standardised regulations, guidelines and circulars should be developed similar to the system employed by the National Treasury. A technical support agency should assist sphere wide regulators and sector-wide regulators to develop a consistent and effective system of administering their own laws.
6.
7. 8. A standing interdepartmental committee of DCoG, the National
Treasury and the DPSA should be established to ensure that these departments share knowledge and information, their respective regulations and guidelines are consistent, that they engage with the regulations and guidelines of sector departments with one voice, and that they have the space to recommend options to cabinet when they do not agree on the scope or content of sector regulations. Because it will impact on the legislative mandates of departments, the standing committee should be established by cabinet decision and report as a committee to cabinet.
9. 10. A special cabinet committee on provincial and local government should
be established that will discuss and scrutinise all policy and legislation 11.
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12. impacting on sub-national government before they go to cabinet for decision.
Improving supervision of provincial and local performance
1. A complete review of reporting provisions in sections 47 and 48 of the MSA is needed.
2. 3. The publication of a bi-annual State of Local Government Report to
Parliament is required. 4. 5. The introduction of a State of the Province Report to National
Government as well as the publication of a national State of Provincial Government Report to Parliament.
6. 7. National government should assume responsibility for conducting
capacity assessments in relation to municipal powers and functions. 8. The Constitution should be amended to give National government a
discretionary power of intervention in the event that provinces fail to intervene in local government without providing due cause for the non-intervention.
9. 10. National government must define provincial monitoring responsibilities
in respect of local government, as well as propose minimum resource requirements.
Clarifying and governing the allocation of functional responsibilities between the spheres (also supported by Simeon and Murray 2001:85 in Edwards 2008:81)
1. National government (under the leadership of DCoG working with the National Treasury and relevant national line departments) embarks on a systematic process of reviewing the functional responsibilities of the three spheres in the schedules in respect of areas where there is uncertainty, and makes proposals for clarification.
2. 3. The assignment provisions in the MSA and the authorisation and
adjustment provision in the Municipal Structures Act must be comprehensively reviewed with a view to formulating a new governance model for powers and functions.
4. 5. The system for functional assignments needs to become integrated
into supervision procedures and protocols to enhance accountability for the duties and obligations of each sphere.
The review of district, government and the two-tier system
Key options for reform (decisions need to be made on whether to): 1. 2. Abolish the two-tier system altogether: Re-demarcate local municipal
boundaries, and assign district functions to local municipalities or provinces.
3. 4. Complete a re-demarcation of the local sphere according to the
differentiated approach, and high performing districts support poorly performing, non-viable locals.
5. 6. Provide national government or agency support to locals which would
eliminate the need for districts. 7. 8. Retain and restructure districts as shared administrative and service
centres for locals, managed externally, or by national government. 9. 10. Retain districts as political government in only some areas of the
country. 11. 12. Combine provincial and district levels into a single tier of government. 13. Leave the system as it is, and review role of district municipalities as
set out in Sections 83 and 84 of the Municipal Structures Act.
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The review of provincial government
Options for provincial government include (decisions need to be made on):
1. 2. Leaving the system as it is and discount major structural change as an
option. 3. 4. Abolishing provincial legislatures thereby removing the provinces’
status as representative government. 5. 6. Constituting legislatures differently. 7. 8. Retaining provincial government with a number of reforms. 9. 10. Amalgamating existing provinces into fewer provinces. 11. Establishing more provinces than nine. 12. 13. Retaining some provinces, but not a wall-to-wall provincial system. 14. Retaining provincial government as a sphere of government under the
Constitution, but constitute its role, demarcation and functions through national legislation.
Developing whole-of-government policy coherence Intergovernmental development planning
1. There has to be greater clarity about the respective planning powers and functions of the three spheres of government.
2. 3. Craft coherent strategy across all three spheres for the NDP. 4. 5. Craft a progressive strategy for the application of differentiations
across provincial and local government. 6. 7. Strengthen role of intergovernmental structures, such as the PCC,
MinMec, in giving direction to planning strategy. 8. 9. Strengthen the role of provincial premiers and local government
leaders in implementation. 10. 11. Consult and gain support for the national development plan with civil
society. 12. 13. Confer with the National Treasury on improving fiscal and functional
skills for planning within the different cycles of the spheres of government.
14. 15. IDPs should position municipalities and communities to better manage
cities’ growth, urbanisation and rural dynamics.
Deepening Local Democracy
1. The policy to improve the functionality of ward committees must be finalised and consulted upon, together with the new framework legislation.
2. 3. Ward committees should more clearly represent a range of civil society
stakeholders, such as local residents associations, and women, youth, cultural, religious, taxi, professional and other organisations.
4. 5. Wards covering a large geographical area should have area-based
sub-structures of ward committees. These could include street, village and other sub-committees.
6. 7. More funding and other resources should be allocated to ward
committees, and the proposed new funding model assessed by DCoG and National Treasury for viability.
8. 9.
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10. Council should be obliged in law to seriously consider proposals from ward committees.
11. 12. Each ward committee should be allocated a CDW to act as its CEO. 13. 14. Each ward committee should oversee the adoption of a Ward
Development Plan that should feed into the IDP. Ward committees should take responsibility for small projects within the ward using local labour – for example, fixing potholes, pavements, street lights and the like. Ward committees should also oversee bigger projects in the ward.
The Intergovernmental Fiscal System (IFC)
1. Conduct research into alignment of reforms in the allocation of powers and functions, including emerging policy on differentiation, with fiscal arrangements.
2. 3. Ensure revisions to the equitable share formula are aligned with
emerging policy on differentiation, and any structural reforms, such as municipal boundaries, or revisions to the two-tier system.
4. 5. Prepare a discussion paper on the issue of discretionary spending by
provinces. 6. 7. Improve the oversight on spending of conditional grants by provinces
and municipalities: e.g. the municipal infrastructure grant, and special purpose grants, such as for major infrastructure development.
8. 9. Produce discussion paper based on the IFC recommendations in
respect of allocating more powers and functions as exclusive to a particular sphere.
10. 11. Work with key fiscal intergovernmental stakeholders to disg and for
purposes of improved management of functions. 12. 13. Review cause and effect of ‘fiscal dumping’ and ‘unfunded mandates’
and propose controls and procedures to align with governance arrangements for powers and functions.
Coordination and sharing of data and information on the government
1. Promote the use of e-Government platforms for ease of access to government information by multiple users.
2. 3. With the guidance of relevant bodies, consider establishment of a
single authority or agency to manage data and information (particularly on local government), that can inform a service delivery watch facility, and an ‘early-warning’ service.
Proposals to support organisational form to support cooperative governance priorities
1. A special cabinet committee should be established that will discuss and scrutinise all policy and legislation impacting on sub-national governments before they go to cabinet for decisions.
2. 3. The coordinating departments of government should review and
institutionalise the forms required to improve core national government functions such as administration of policy and legislation, regulatory and policy impact assessments, and intervention and monitoring mechanisms, in pursuit of the overall coherence of the system of cooperative governance.
Source: (DCoG’s Draft Revised Green Paper on Cooperative Governance
2011:64-69)
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Other proposals to improve the SA cooperative governance system, not contained in
the table above, are:
Nealer and Naude (2011:113-115) and other authors propose some practical
guidelines for the implementation of cooperative governance, for both managers and
public policy makers:
Identify and define the locus and focus: First and foremost, an accurate
identification of the locus (context) and focus of the development
challenge(s) at hand should take place through a systematic approach to
public problem-solving. Development from a ‘command and control’ type of
state towards an ‘enabling’ state, a model in which the State is not proactively
governing society but is more concerned with defining objectives and
mustering resources from a wide variety of sources to pursue those goals,
has been witnessed (Peters and Pierre 2001 in Nealer and Naude 2011:113-
115).
Define sustainable development for the specific organisation: It is crucial
that organisations and institutions define sustainable development within their
organisation and community to ensure consistency of understanding and
implementation. A recommended definition of sustainable development clearly
includes the economic, social and environmental dimensions (UN 1992 and
UN 1997) with a focus on equity, growth and environmental maintenance
(Brundtland 1987 in Nealer and Naude 2011:113-115).
Develop and maintain effective partnerships: Establish partnerships and
mechanisms where all the participants agree on how to cooperate, work
together and add value to each other’s contributions, rather than duplicate or
compete with one another. Governments now realize that they can no longer
manage on their own. They have to try to facilitate and combine different
groups of actors and arrange the integrated quests to public problem-solving.
The nature and extent of this collaboration will be the key to successful
achievement of common public goals (Salamon 2002:8 in Nealer and Naude
2011:113-115).
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Adopt an approach of integration: Fox and Meyer (1995:65) regard
integration as “…the condition in which all the parts of the total organisation
are held together in a state of dynamic equilibrium; concerned with the means
organisations use to coordinate the work between differentiated task groups”.
Develop and maintain effective leadership: Strong leadership (donors) is
needed to direct and steer cooperative governance towards sustainable
development (Nahavandi 2009; Tubbs, Husby and Jensen 2009; Robbins,
Judge, Millet and Waters-Marsh 2008 and Wells and Hejna 2009:67).
Develop and maintain effective systems: As some areas of sustainable
development could only be assessed by inference from what is observable
and not always through quantifiable measurement (Becker 2010; Wallis, Kelly
and Graymore 2010), continuous monitoring, reporting and evaluation
systems need to be in place for more effective cooperative governance
(Burger 2009 in Nealer and Naude 2011:113-115).
Implement good practice approaches: It is fruitful to utilise good practices,
lessons learnt, and to expand capacity throughout the participating
community. Identify these as continuous and keep the process simple, clearly
defined, well structured, properly communicated, coordinated and managed,
to ensure effective roll-out of sustainable development programmes.
Allocate and effectively manage needed resources: Adequate resources
and capacity to deal with the task at hand (i.e. strengthening civil societies to
act on equal footing, awareness-raising, skills development, and modern
technology) are prerequisites.
Manage diversity effectively: The vital role of women and youth in
environmental (and other resource) management and development must also
be recognised and their full participation therein must be promoted. A sincere
attempt must also be made to incorporate different cultural beliefs and
traditional knowledge.
The following core suggestions are made by Coetzee (2010:102-103):
One of the first issues which must receive attention is the review of all inter-
governmental structures across government. Along with this policies and
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legislation of local government must be reviewed in order to improve
implementation. This will also improve stability. In order to bring about
coordination and co-operation, good communication and discussions between
the three spheres of government are essential. Underlying is the
establishment of trust between the spheres, which has, up till now, been
absent. Monitoring, evaluation, oversight and support systems must be
established to promote accountability. The relationship between local, national
and provincial governments must be shaped so as to give enough policy
choices to provincial and local governments.
Secondly, capacity building and coordination must be enhanced. There must
be a review of the integration process to build capacity in coordinated
planning, budgeting and the use of implementation protocols in every sphere
of government. In order to address capacity building direct attention must be
given to skills. The Skills Development Programme (SDP) will make a
contribution to address this issue, which in turn will improve service delivery.
“The right balance between coordination, performance and accountability may
be the key to better IGR and to improving the capacity of government to
deliver on key priorities” (Malan 2005:238). Although the IGRFA of 2005
makes provision for specific implementation protocols in conducting IGR as
well as the internal procedures of intergovernmental structures, the
relationship between these structures and institutions is not always clear.
Therefore, specific operational principles regulating intergovernmental
structures need to be established.
Thirdly, it is essential that definite attention is given to good communication
between the ward committee and the community. Tension between the ward
committee and the community contributes to instability in communities. It is a
positive step that this issue should be addressed by the LGTAS. Performance
management systems for councillors should be established and councillors
should be responsive and accountable to communities (LGTAS 2009:22).
Finally, it will be beneficial if programmes are set in place in order to measure
the efficiency and implementation of service delivery.
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Lastly, the following proposals are also made:
A strategy to restructure local government representation on the MinMECs.
Although representatives of SALGA have membership on MinMECs,
municipal managers and mayors should also be included. Alternatively, the
establishment of a forum for members of executive councils and mayors
should be established alongside MinMECs to facilitate relations between the
province and local governments within the provinces (Mettler n.d.:3 in
Edwards 2008:81).
One of the immediate priorities is to ensure that implementation and
coordination agencies of basic services engage in “full service lifecycle
costing and management”, including capital, operational and maintenance
costs as well as factoring in the environmental externalities. Ways need to be
found to make full service lifecycle costing the norm linked to funding
incentives that reward good practice in this regard (LGSETA Local
Government, Economic Growth and Development 2011:7).
There are not only challenges but some successes and potential successes of IGR
and cooperative governance that should also be noted.
4.5.7 Successes of cooperative IGR and experimentation
There are both successes and potential successes that it is believed some
experimental cooperative governance approaches may bring about.
4.5.7.1 Successes of cooperative IGR
According to Du Plessis (2004:25-26 in Edwards 2008:73, 75) reasons for successes
have been attributed to the fact that the Constitution sets out principles for
conducting IGR and provides for intergovernmental fiscal arrangements. The IGRFA
of 2005 provides specific guidelines that should be applied to the three spheres of
government in terms of implementing policy and legislation, establishing cooperative
governance in SA, addressing the challenges of intergovernmental structures,
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manage the conduct of IGR, settle disputes, monitor and report. The Constitutional
Court enforced cooperative governance, and government departments conclude
MoUs to ensure effective governance. A commitment to assist officials with IGR was
also introduced with the launch of the IGR toolkit, and a guideline document on
provincial and local IGR was made available on the website of the former
Department of Provincial and Local Government (now CoGTA) to promote effective
interaction.
An example of another success is the NCOP programme, Taking parliament to the
people. The Constitution captures the main function of the NCOP as being a
structure that participates in the national law-making process and provides a national
forum for public debate on provincial issues. The Free State leg of ‘Taking
Parliament to the people’ (as one such example) alludes to the importance of
cooperative governance by informing the community how legislation affects them.
One of the functions of the NCOP – and more specifically the provincial and
municipal liaison sections – is provincial and municipal oversight. When the
provincial executive intervenes in a municipality in terms of Section 139 of the
Constitution of 1996, it is important that the NCOP provide the necessary support
before such an intervention is approved (or rejected). It is clear that the NCOP plays
a pivotal role in promoting IGR. The role of municipalities has become
developmental in nature, and as a government body it is the closest structure to
communities in terms of service delivery. The NCOP therefore increasingly finds it
important to nurture the progress of municipalities (NCOP News January 2007:2-3 in
Edwards 2008:75).
The hope of potential successes lies in some experimental cooperative approaches.
4.5.7.2 Experimentation
As no single actor/participant, public or private, has the knowledge and information
required to solve public problems, no single actor/participant has sufficient action
potential to dominate unilaterally in a particular governing model. The task of
government, therefore, is to combine different groups of actors/participants and to
create different arrangements for dealing with management problems: some may
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involve public private partnerships and co-responsibility. The central reality of public
problem solving for the foreseeable future will be its collaborative nature with a
reliance on a wide array of third parties in addition to government to address public
problems and pursue public purposes (Salamon 2002:8 in Müller 2010:143). It is
therefore not surprising that the 1990s were hailed as the ‘Age of the Network’
characterised by modes of governance that link actors/participants in the public,
private, community and voluntary sectors. The emergence and growth of these
networks and multi-organisational partnerships reflect, according to authors such as
Lowndes and Skelcher (1998:315) and O’Toole (1997:117), the complexity and
intransigence of issues facing government with the pressure to deliver more with
less; the search by public bodies for integration and a desire to address in innovative
ways those issues that cross organisational boundaries (Müller 2010:143).
Brinkerhoff (2002 in UJ GOV 3D 2007:338) reiterates that the multi-actor, cross-
sectoral, nobody-in-charge features of policy implementation create linkages among
the various organisations, civil society groups, NGOs, and private sector entities with
a role in the implementation process. These linkages distribute functions to those
involved in ways that establish varying degrees of interdependency among them
(Brinkerhoff 2002 in UJ GOV 3D 2007:338). These interdependencies create
requirements for coordinated action in order to achieve policy objectives.
Müller (2010:144) further states that several recent innovations have built on
institutional and policy foundations designed to tap actors/participants and resources
considerably beyond the capacity of the individual administrative agency. The ability
to exploit the full range of public private arrangements, intergovernmental initiatives,
third-sector and voluntary organisations, and various forms of consortia and alliances
is becoming increasingly popular in current waves of governmental innovation. The
network context, therefore, appears to be crucial for the implementation of
innovations. Carley and Cristie (2000:175-176) agree that networks or partnerships
hold the most promising institutional prospect for integrated environmental (or other
resource) management because no single acto/participant, public or private, has the
knowledge and information required to solve resource problems (Müller 2010:145).
He lists the following examples:
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Co-management organisations may be of different types and span different
levels of authority and responsibility and include decision-making bodies,
advisory bodies, mixed bodies and executive bodies (Borrini-Feyerabend,
Pimbert, Farvar, Kothari and Renard 2004:279 and Müller 2010:145). Co-
management organisations can also be distinguished on the basis of the
scale on which they operate to improve natural resource management and
local livelihoods. According to Borrini-Feyerabend et al. (2004:288-289), the
three most important levels of operation appear to be the local level; the
district or provincial level; and the national or international level (Müller
2010:145). The functions of
co-management organisations at the local level usually relate to analysing
situations, appraising different types of interventions, making strategic
decisions, developing plans and agreements, implementing, monitoring and
evaluating activities and adjusting them on the basis of lessons learned. Co-
management organisations at provincial, national and international levels are
more concerned with enabling conditions, scaling up concerns and
institutional learning. The authority and terms of reference may be specified in
legislation or in participatory management agreements, and members may be
paid or be voluntary (Borrini-Feyerabend et al. 2004:280 and Müller
2010:145).
An example of this is Working for Water, one of the Government’s flagship
programmes initiated in 1995. There are also others such as Coast Care and
Working for Wetlands, modeled on the initial successes of the example cited
above (Müller 2009:84 in Müller 2010:148).
An innovative collaborative in the organisational form of a public-private
partnership between government and the commercial forestry sector going
under the name of Working on Fire (WoF) was established in 2003 to create
an efficient and effective nationally coordinated fire-fighting network by
pooling and sharing of resources. WoF operates as a Section 21 not-for-profit
company in partnership with other fire-fighting agencies, including
conservation agencies, municipalities and the forestry industry through a
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nationwide system of fire bases where fire-fighting crews are stationed.
Operations coordinated by dispatch and coordinating centres in each of the
eight fire-prone regions of the country, report to a National Coordinator linked
to the National Disaster Management Centre (Müller 2009:87-88 in Müller
2010:149).
A collaborative network known as the Cape Action for People and the
Environment (C.A.P.E.) was formally established in 2001 to implement a
strategic plan developed in response to the threat to the Cape Floristic Region
– one of the worlds “hottest” hotspots of biodiversity. C.A.P.E. was
institutionalised through a MoU signed between stakeholders from
government, research and conservation NGOs. Its governance structure
consists of the C.A.P.E Coordination Committee, representing national
ministers and members of executive councils with the overall function to co-
ordinate the long-term implementation of the C.A.P.E. It is a strategy
supported by a coordination mechanism, and the C.A.P.E. Coordination Unit
hosted by the South African National Biodiversity Institute. The C.A.P.E.
Implementation Committee, which represents 21 government departments,
municipalities, statutory bodies and accredited non-governmental partner
organisations, carries out the vision of C.A.P.E. (Müller 2009:86-87 in Müller
2010:149).
The first of SA six biosphere reserves (the Kogelberg Biosphere Reserve)
was awarded international conservation status by the United Nations
Educational, Scientific and Conservation Organisation (UNESCO) in
December 1998 after an eight-year-long process of establishment. Kogelberg
was followed by the Cape West Coast (2000), the Waterberg reserve (2001)
and the Kruger to Canyons reserve (2001), the Cape Winelands (2007) and
Vhembe (2009). The aim of biosphere reserves is to promote sustainability by
linking conservation and development. They are typically zoned into core,
buffer and transition areas, each fulfilling the various functions of
conservation, development and research (Müller 2010:148). The stakeholders
involved in a biosphere reserve typically operationalise their partnership by
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establishing either a public trust or a not-for-profit company (Section 21
Company) as the governance structure (Müller 2009:85-86 in Müller
2010:148).
The primary water resource management catchment-based institution to be
established in each of the 19 water-management areas is the Catchment
Management Agency (CMA) (the first was established in 2005) to facilitate
decentralised public decision-making based on a participatory approach to
water resources management through the involvement of stakeholders and
roleplayers as mandated by the National Water Act 96 of 1998. The CMA is a
legal entity, headed by a governing board, which must be representative of all
the relevant stakeholders. A CMA can choose the organisational model
ranging from various hybrids of decentralized/networking / outsourced to
centralised in-house arrangements most appropriate to its area and will be
funded largely through the collection of water-use charges (Müller 2009:89-90
in Müller 2010:148-149).
The Land Care Programme is an example of a community-based natural
resource management initiative championed by the national Department of
Agriculture and facilitated through the provincial departments of agriculture.
The goal of the Land Care Programme is to develop and implement integrated
approaches to natural resource management in SA by encouraging
community groups, provincial and local governments to responsibly manage
and conserve the land, vegetation, water and biological diversity in their local
area while simultaneously improving the livelihoods of communities. On a
project-by-project basis the institutional arrangements can take various forms
from informal committees to more formal partnership arrangements such as a
not-for-profit company or trust (SA 2010: National Department of Agriculture in
Müller 2010:149).
Another alternative cooperative governance mechanism can be found in the
Eden District Municipality and its local municipalities’ research report on
Shared Services (Eden District Municipality and its Local Municipalities
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2011:7) that states that Chapter 3 of the Constitution of 1996 is dedicated to
IGR and prescribes what the relations between the different spheres of
government should be. Secondly, various provisions in the Municipal
Structures Act 117 of 1998 prescribe cooperation. Thirdly, the IGRFA of 2005
also creates forums for cooperation between district and local municipalities.
Finally, the MSA of 2000 promotes developmental local government and an
integrated approach to such development requires cooperation. Therefore,
local government legislation, as well as the processes within local government
is aimed at enhancing good relations between municipalities with shared
responsibilities and competencies over the same geographical area. Although
not specifically legislated, shared services for local government are high on
the agenda of national government. Shared services, specifically, were
mentioned in the Five-Year Local Government Strategic Agenda, as well as in
Outcome 9 of the National Agenda that was issued by the Presidency during
2010 and speaks to responsive, accountable, effective and efficient local
government systems (Eden District and its Local Municipalities 2011:7).
It is evident from the above that an openness to consider and experiment with
alternative governance mechanisms combined with an approach of
government decentralisation and a devolution of the responsibility for natural
resources to local communities, contributed to a generally facilitating
environment in the late 1990s for the emergence of collaboratives (Margerum
2008:498-500). Margerum (2008:498-500) also developed a typology of
collaboratives by examining the institutional level at which they focus their
activities:
o firstly, at the operational or action level collaboratives focus on direct
action or ‘on the ground’ activities such as monitoring, education and
restoration;
o secondly, at the organisational level collaboratives focus on policies and
programmes of government organisations in particular; and
o finally, at the policy level collaboratives focus on government legislation,
policies and rules.
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o Dorasamy and Pillay (2009:102) confirm that the partnership model
necessitates concerted efforts of engagement in activities that are mutually
beneficial, with partnership outcomes greater than individual outcomes.
However, the needs of the partners, the problems that require attention
and the exploration of new ideas require careful consideration. Ultimately,
the opportunity to build capacity can be harnessed.
o It is now necessary to focus on the influence of cooperative governance on
support, capacity building and training aimed at local government.
4.6 The influence of cooperative governance on the NCBF
The influence of cooperative governance on support, capacity building and training
aimed at local government is discussed with a focus on the following:
Capacity required by the State.
Contributions by Further and Higher Education Institutions.
Public service training.
How the draft NCBF addresses cooperative governance.
4.6.1 Capacity required by the State
The perspectives provided are diverse and cut across various stakeholders’
mandates.
The NDP, Chapter 13: ‘Building a Capable State’ (2011:365-366) identifies five focus
areas that need attention to build a capable state, i.e.:
The political-administrative interface.
Making the public sector and local government careers of choice.
Developing technical and specialist professional skills.
Improving relations between the three spheres of government.
Clarifying the mandates of the SOEs and improving their governance
structures.
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Levy and Tapscott (2001:19) state that attention is required to address the lack of
capacity and management and that managers must be empowered (Implementation
of the IGRFA of 2005 Report 2005/6 - 2006/7:14 in Levy and Tapscott 2001:19).
They also explain that poor intergovernmental coordination and integration is a
problem of capacity and not of procedure (Implementation of the IGRF Act 13 of
2005 Report 2005/6 - 2006/7:27 in Coetzee 2010:96).
Also, Mogale (2004:216 in Coetzee 2010:97) argues that substantial assistance
should be given to local government in capacity building and service delivery
instruments. A promise was made that urgent attention would be given to capacity,
as well as to the development of skills (Motlanthe 2009:11). The skills shortage also
led to sewage ending up in dams and rivers. Poor water quality can also be
attributed to the lack of skills (Roodt and Eddy 2010:5 and Coetzee 2010:97).
Furthermore, reference can be made to the 12% vacant posts of senior managers in
local government. The National Capacity Assessment Report found that SA
municipalities were performing less than 50% of the functions they were meant to
carry out (Roodt and Eddy 2010:5 in Coetzee 2010:97). The necessary capacity
must thus be created in order to improve the integration of service delivery across all
three spheres of government (Motlanthe 2009:170).
Particular challenges relate to capacity and resource constraints, for example, at
local government level according to the Council for Scientific and Industrial Research
(CSIR) ‘the quality of the basic service delivery by municipalities in their respective
municipal areas is deteriorating because of over-utilisation of water resources,
uncontrolled urbanisation, and inadequate budget control, technical skills, planning
and maintenance by municipalities in their respective municipal areas’ (CSIR
2007:10 in Nealer and Naude 2011:110). The capacity for trans-disciplinary thinking,
cross-sectoral communication, coordination and collaboration needs to be further
strengthened by, for example, active representation and participation on public
forums such as the Mooi River Forum in Potchefstroom, South Africa.
Also, the DCoG: RWP (2011:109-115) states that coordinated capacity building and
support is required in view of the following:
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Despite various skills capacity enhancement programmes for municipal
efficiency, skills deployment initiatives to support municipalities have still not
been harmonised and coordinated effectively. Resources continue to be
wasted and initiatives are still duplicated. This challenge points to a need for a
framework to guide and support the different stakeholders’ involvement and
the initiatives (the NCBF was reviewed to address this aspect) (DCoG: RWP
2011:109-115).
The intent of the policy and legislation to guide organisational performance is
often not matched by practice. Furthermore, there has been almost no expert
independent evaluation of municipal performance that enables accurate
benchmarking and assessment of which municipalities are succeeding and
which are failing (DCoG: RWP 2011:109-115). Although capacity and
performance are related, they are not synonymous and failure to distinguish
between these concepts can lead to misleading conclusions (NCBF: 2012 to
2016 2012:51).
Weak support and oversight, and the lack of differentiated assignment of
responsibilities point to the failure to provide an enabling framework to build
the institutional strength and functionality of municipalities. However, the
various interventions, ranging from Project Consolidate; the Five-Year Local
Government Strategic Agenda; Siyenza Manje and Masibambane and others,
have, to varying degrees, contributed to the deployment of skills at local
government level. Some important considerations have emerged from lessons
learnt during these initiatives, which are:
o The direct, institutionalised, hands-on approach is favoured, as this
provides capacity building more closely linked to work-place needs and the
state of the municipality.
o It is important to prepare the 'capacity building environment'. In future
endeavours this must be done with a greater degree of central
coordination.
o There must be better integration of different initiatives within and amongst
each programme area, as this will improve the impact of municipal
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capacity building. This will also ensure better coordination across different
programme areas.
o Government must play a larger role as strategist, enabler, coordinator and
deliverer, while also developing synergy with other stakeholders involved
in capacity building.
o Although the monitoring of processes and outputs of capacity building
initiatives occur, there is very little evaluation of the impact of these
programmes on capacity (maybe the use of the word impact in relation to
capacity building needs some future debate) (NCBF: 2012 to 2016:
2012:51).
o The linkage of training opportunities being used for capacity building to
SAQA standards must be improved as this contributes to increasing the
level of qualified individuals, career progression, setting standards and
improving the quality of service provision. (This statement should be
contextualised by reference to specific occupations as there is room for
non-accredited training, e.g. orientation courses).
The capacity of government employees is mostly sourced from Further and Higher
Education Institutions, other than the schooling system.
4.6.2 Contributions by Further and Higher Education Institutions
There are continuing arguments that graduates are becoming increasingly
unemployable because of the gaps between employer requirements and the skills
and attributes presented by graduates (Kroukamp 2006:235 and Dorasamy and
Pillay 2009:108). While employability related activity should become part of the ‘core’
academic provision for public management, students should be enabled to recognise
the importance of their skills development in employment. Herein lies the need for
partnerships to recognise diverse learner needs and associated challenges in
designing public management programmes, in an attempt to re-evaluate the role of
employability and the way in which this is managed within the relationship between
higher education and public sector institutions (Dorasamy and Pillay 2009:108-109).
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Hamza and Bardill (2009:116-117) state that there is a general consensus that
education is one of the fundamental requirements for the achievement of sustainable
development. This was emphasised at the Earth Summit in Rio de Janeiro in 1992
and was further underscored at the World Summit on Sustainable Development
(WSSD) held in SA some 10 years later. Three years later, in 2005, the UN’s
General Assembly adopted the ‘Decade of Education for Sustainable Development
January 2005–December 2014’ with the intention of providing a framework for the
improvement and integration of education for sustainable development. Events such
as these have placed the role of education and training institutions under the
spotlight. In particular, they raise important questions concerning the role of schools
and institutes of administration in absorbing the theme of “sustainable development”
into the development of education and training programmes that can contribute
towards the practical achievement of a sustainable future (Dorasamy and Pillay
2009:110).
Also, “because the public seeks high quality services, organisations in the public
sector must be high performing. In order to perform highly, persons working in the
public sector should be of the highest level of skill and preparation. Consequently,
the institutions that educate and train these persons must be always striving for
excellence because, most assuredly, better governance is fundamentally related to
the more effective preparation of public administrators” (International Association of
Schools and Institutes of Administration 2008 in Hamza and Bardill 2009:120-121).
Public sector competence thus has to be strengthened by developing a sense of
direction for the public service that takes into account its environment and global
position in a realistic manner (Bertucci in Rosenbaum and Kauzya 2006:281 in
Dorasamy and Pillay 2009:105). The quality of public service delivery has a
significant relationship to the quality of governance.
Similarly, Dorasamy and Pillay (2009;105) state that the competence of higher
education in meeting public sector needs must be developed against the dynamic
environment of the public sector. Transformation toward effective public service
delivery requires strategic investment in human resources as well as a commitment
to innovation (Vil-Nkomo 1997, Wessels and Pauw 1999:88 and Dorasamy and
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Pillay 2009:105). While many higher education institutions may have strategic
documents that make their partnership intentions clear, there does not appear to be
any specific implementation documents addressing partnerships that specifically
address learning needs in public management (Education White Paper 3 of 1997 in
Dorasamy and Pillay 2009:105). The identification of scarce skills and strategies for
the retention or development thereof is a vital area of focus.
The interactive process between higher education and the public sector should be
reflected in a higher education/public sector plan. The plan must provide a
framework that could focus on (Barnes and Phillips 2000:183 and Dorasamy and
Pillay 2009:109):
establishing formal structures for the partnerships;
capacity building of the partners;
capacity building of graduates;
capacity building of under-graduates;
monitoring and evaluating the effectiveness of the partnership;
promoting partnership goals; and
quality assurance.
The relevance of the plan requires extensive consultative and negotiation processes
between higher education and public sector institutions. Herein lie a major challenge
for establishing effective and sustainable partnerships (Dorasamy and Pillay
2009:109).
Furthermore, research plays a key role in the production, development and
dissemination of knowledge. It can be argued that higher education is an important
starting point for basic research as it is a nurturing ground for intellectual
development and international collaboration. The Education White Paper 3 of 1997
alludes to the lack of capacity, distribution and outcomes of research in the higher
education system. In particular, research specifically directed at determining learning
needs in public management, must be undertaken between higher education and
public sector institutions, since it is an important mechanism for developing
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appropriate learning capacity (Dorasamy and Pillay 2009:109-110). Achieving
greater coherence between higher education programmes and public sector needs
continues to be seen as an important catalyst for creative partnerships (Dorasamy
and Pillay 2009:110).
4.6.3 Public service training
The National School of government’s vision, which has the mandate to provide
training to all three spheres of government, (although its focus on local government
is limited) to enhance the overall scope, quality and impact of the human resources
of the public service through the delivery of appropriate education and training
programmes is commendable but nevertheless faced by a number of important
challenges. Amongst others, these relate to the poor cohesion in the government’s
education and training strategy and policy; the capacity of institutions to whom
delivery of programmes are out-sourced; the current consortia arrangements
between Higher Education Institutions; the lack of sustainable development themes
in course delivery; conflicting goals between the requirements of the National
Department of Higher Education and Training (DoHET); government training
institutions; and poor alignment between short course programmes and formal
degree programmes (cf. Hamza and bardill 2009:130).
There are also provincial academies linked to the Office of the Premiers that are
functional in some provinces and provide training to provincial offices while the
LGSETA is currently addressing the capacity of established municipal training
institutes such as the Municipal Training Institute in the Northern Cape. However,
collaboration between the three spheres is not yet receiving the necessary attention.
Both the Department of Economic Development and DoHET, respectively, have
developed strategies to address SA’s perceived skills gap. The New Growth Path:
National Skills Accord of 2011 of the Department of Economic Development has
eight commitments, to:
Expand the level of training using existing facilities more fully.
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Make internship and placement opportunities available within workplaces.
Set guidelines or ratios of trainees: artisans as well as across the technical
vocations, in order to improve the level of training (this aspect is being
disputed by some stakeholders).
Improve the funding of training and the use of funds available for training and
incentives on companies to train.
Set annual targets for training in state-owned enterprises.
Improve SETA governance and financial management as well as
stakeholders’ involvement.
Align training to the New Growth Path and improve Sector Skills Plans.
Improve the role and performance of FET colleges.
The NSDS III: 2011 to 2016 of the DoHET has eight goals:
o Establishing a credible institutional mechanism for skills planning.
o Increasing access to occupationally-directed programmes.
o Promoting the growth of a public FET college system that is responsible to
sector, local, provincial and national skills needs and priorities.
o Addressing the low level of youth and adult language and numeracy skills
to enable additional training.
o Encouraging better use of workplace-based skills development.
o Encouraging and supporting cooperatives, small enterprises, worker-
initiated, NGO and community training initiatives.
o Increasing public sector capacity for improved service delivery and
supporting the building of a developmental state.
o Building career and vocational guidance.
The success of the strategies will need to be proved. Raga, Taylor and Albrecht
(2011:164) however, emphasise that municipal capacity building programmes should
be prioritised as the public sector is aggressively competing with the private sector
for staff that possess scarce skills, especially in the technical fields. Accordingly, a
programme and strategy for the acquisition and retainment of such scarce skills by
municipalities should be a priority.
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A discussion on how cooperative governance influenced the drafting of the NCBF
follows.
4.6.4 The Draft Revised NCBF: 2012 to 2016 and cooperative governance
It is evident that cooperative governance is a crucial policy position that had to be
considered in reviewing the NCBF, as the purpose of the framework is to provide an
approach that will enable sustainable municipal capacity; to improve the coordination
and monitoring of the provision and resourcing of support, capacity building and
training to municipalities; to determine where municipal capacity is at and introduce
relevant initiatives that achieve the predetermined impact (NCBF: 2012-2016: 2012:3).
It also encourages an integrated approach to capacity building through addressing
individual, institutional and environmental capacity gaps towards achieving
sustainability in the functionality, performance and delivery of services by
municipalities (NCBF: 2012-2016: 2012:8) and is aligned to the MDA.
Any stakeholder who provides and resources support, capacity building and training
initiatives aimed at local government should be a member of the National Municipal
Capacity Coordination and Monitoring Committee (NMCCMC) that meets on a
quarterly basis and compiles an Integrated Support Plan annually (since 2011),
indicating differentiation and reporting progress against predetermined impact
measures quarterly (from 2012), the following extract from the NCBF indicates the
stakeholders involved (NCBF: 2012-2016, 2012:35-36):
National departments
The core departments referred to in (c) to (e) below will through the NMCCMC
and related working groups establish a working relationship as members of
the NMCCMC and related working groups and will jointly address at least the
following matters (NCBF: 2012-2016, 2012:35-36):
o Determine, provide and resource relevant support, capacity building and
training required by local government, as contained in an annual Capacity
Building Plan.
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o Assist with the coordination of differentiated support, capacity building and
training initiatives aimed at local government.
o Monitor support, capacity building and training initiatives aimed at local
government through quarterly progress reporting to the NMCCMC against
the national integrated Capacity Building Plan and predetermined impact
(outcome) measures.
o Assess the impact achieved with support, capacity building and training
initiatives aimed at local government, annually.
o Advise on appropriate support, capacity building and training initiatives
aimed at local government.
o Facilitate the address of priority support, capacity building and training
initiatives aimed at local government.
o Share information and good practices on support, capacity building and
training initiatives aimed at local government.
o Contribute to the Working Groups that will be set up from time to time, to
address matters of mutual interest.
The two partners who will co-chair the NMCCMC are ((NCBF: 2012-2016, 2012:36)
the LGSETA and SALGA.
There is a core of national departments that has a direct impact on municipalities.
The following departments will serve on the NMCCMC with the DCoG and MISA
representatives that are involved in support, capacity building and training aimed at
local government (NCBF: 2012-2016, 2012:36):
National Treasury.
Department of Economic Development.
Department of Energy.
Department of Environmental Affairs.
Department of Higher Education.
Department of Human Settlements.
DPSA.
Department of Rural Development and Land Reform.
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DWA.
Other departments that will have an important role to play are (NCBF: 2012 2016,
2012:36):
Departments in the Presidency.
Department of Agriculture, Forestry and Fisheries.
Department of Public Works.
DTA.
Department of Transport.
Any department that is involved in support, capacity building and training
aimed at local government should form part of the NMCCMC.
Provincial departments
Departments of provincial cooperative governance and local governments also form
part of the membership of the NMCCMC at a national level and should consolidate
their internal coordination (i.e. various units that are involved in support, capacity
building and training aimed at local government in their provincial departments).
They will be expected to establish a structure similar to the NMCCMC at a provincial
level but advisedly include the district municipalities (last mentioned obtaining a
mandate from, representing and providing feedback to their local municipalities). The
provincial structure will consolidate support, capacity building and training initiatives
aimed at local government within the province and, where relevant, request
assistance from national and other provincial departments and associated
institutions and address the same matters as national departments but at provincial
level (NCBF: 2012-2016, 2012:36-37).
Other stakeholders at a provincial level that will have an important role to play in the
provincial structures are the (NCBF: 2012-2016, 2012:37):
Premiers’ offices.
Provincial academies in the Office of the Premier.
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Municipal training institutions.
Municipal owned entities.
Such provincial quarterly meetings should be held so that they inform the NMCCMC.
Municipalities (NCBF: 2012-2016, 2012:37-38)
Metros form part of the NMCCMC as they represent the majority of municipal
employees who receive support, capacity building and training.
District municipalities should be mandated to represent their local municipalities on
provincial structures, however, should the province feel comfortable with local
municipalities also being represented in their structure the practice is supported.
Municipalities will need to consolidate support, capacity building and training
initiatives that they are/will be exposed to annually in an Integrated Municipal
Institutional Plan linked to their IDPs (including support, capacity building and
training).
Although existing structures such as training committees that have been established
as subcommittees of the LLFs, in most municipalities, are used to develop and
monitor implementation of the WSP (individual capacity building) the focus is not all
encompassing. Such training committee members that should be representative of
relevant role-players in the municipal functional units; the IDP Manager; Skills
Development Facilitator and Human Resource/ Corporate Services Manager;
individual and institutional performance managers; councillors and ward committee
training coordinators; the Chief Financial Officer; Unions and a representative of the
Office of the Municipal Manager; should form a municipal capacity coordination
structure. This representation/municipal capacity coordination structure could ensure
the consolidation of all individual, institutional and environmental support, capacity
building and training plans, i.e. an Integrated Municipal Institutional Plan (including
the implementation of the Human Resource Plan; WSP; MTAS Support Plans; MISA
and other support and capacity building initiatives to address the Municipal
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Demarcation Board’s or specific research findings such as the Auditor-General’s
report or Blue/Green Drop Assessment, etc.; so that individual, institutional and
environmental capacity are approached holistically.
The municipality will also need to ensure that the structure is functional and meet at
least quarterly to track progress made with the IDP Institutional Plan and redress
challenges identified and measure progress/impact made. Such quarterly meetings
should be held to inform provincial MCCMCs’ plans that in turn inform the
NMCCMC’s Plan.
Other Stakeholders (NCBF: 2012-2016, 2012:38)
The following stakeholders may contribute to support, capacity building and training
aimed at local government; in line with their legislative mandates but may also
participate in the NMCCMC, as discussed under national sector and provincial
departments:
Unions active in local government.
The DBSA
Professional bodies.
Donors.
Parastatals.
Higher and Further Education Institutions.
Other appropriate agencies.
Diagram 4.4 illustrates how the NMCCMC structures interrelationships
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Diagram 4.4: The NMCCMC structural interrelationships
Minister
Minister’s
Delivery
Agreement
Implementation
Forum and
substructures
MinMEC
Technical
MinMEC
GPoA structures
The Director-General: DCoG receives a report
from the relevant Deputy Director-General who is
reported to by the relevant executive Manager
who is reported to by the responsible senior
manager
Other national
and provincial
sector
departments’,
municipalities and
stakeholders’
internal channels
of approval
Internal (DCoG) Capacity Coordinating
Committee [Chair and Secretariat Services
DCoG] (The Internal Capacity Coordinating
Committee includes representatives from each
branch and the Municipal Infrastructure Agency)
Information shared with the:
Technical Support Units (TSUs)
supporting provinces
MISA
NMCCMC, i.e. Capacity Coordination
Committee [Secretariat] and Integrated
Capacity Building Management of the
Information System
Plenary Information sessions with those
departments who do not form part of the
Technical Working Groups of the
NMCCMC (could be mirrored at provincial
level) per identified programmatic area, that
is:
NCBF’s plans and differentiation model
Stakeholder’s
capacity
building
structures, e.g.
DPSA’s Batho
Pele Forum
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NMCCMC
Provincial committees reflecting the
composition of the NMCCMC and including
metros and districts (representing their locals)
and/or locals and providing information to the
NMCCMC
A Municipal committee integrating support,
capacity building and training and providing
information to the provincial committees
Qualifications, learning programmes and
modalities
Human Resource Management and
Development
Professionalisation
Sub working groups may be established to
address specific matters, e.g. The Qual.
Learning Programmes and Modalities
Working Group could establish a
Management/Leadership subgroup or Human
Resource subgroup or qualifications or
administrative skills
Department of
Water Affairs’
Water Services
Leadership
Group,
National
Treasury
Working Groups
Source: (NCBF 2012 to 2016 2012:41]4.8)
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4.7 Summary
This chapter provided a background of the SA cooperative governance system and
discussed concepts relevant to cooperative governance, support, capacity building
and training to provide an understanding of the context of the NCBF’s role and
development.
The most prominent national IGR structures are dealt with and elements of IGR in
practice in SA are discussed in order to provide the basis for discussing the
challenges and successes of cooperative IGR and how the DCoG proposes to
improve the SA cooperative governance system.
Lastly, the influence of cooperative governance on the Draft Revised NCBF: 2012 to
2016 is discussed and reports on the relevant context of the reviewed policy
document focusing on a cooperative governance approach. In doing so it can be
said that the NCBF: 2012 to 2016 has adhered to the following good governance and
cooperative governance principles to address support, capacity building and training
aimed at local government by various stakeholders across the three spheres and
associated institutions:
Joint planning (to improve resourcing and minimize duplication).
Co-management/co-facilitation.
Collaboration
Coordination (to improve impact with support, capacity building and training
initiatives).
Monitoring and advising.
Reporting.
Sharing of good practices.
Interfacing on functional matters of mutual interest.
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CHAPTER FIVE
A DIFFERENTIATED APPROACH TO SUPPORT, CAPACITY BUILDING AND
TRAINING FOR LOCAL GOVERNMENT
5.1 Introduction
The Minister for COGTA’s Delivery Agreement (2010:58) states that “[n]ot all
municipalities have the same capacity to raise revenues, as levels of poverty vary
considerably and are particularly high in mostly rural municipalities” and that (The
Minister for COGTA’s Delivery Agreement 2010:73) “there is evidence of a huge
lack of capacity at provincial level to perform their functions adequately...At this
stage the country does not have a systematic approach towards performance
monitoring and support for local government (despite Chapter 6 of the Municipal
Systems Act dealing with such). Most of the efforts are ad hoc…”. This statement
underscores the need for local government to use a differentiated approach as a
measure to resolve the pressing issues at local government level. But, will it be
sustainable if the actual requirements to ensure functional spheres are not
addressed? That is, if every sphere and the institutions in that sphere’s needs are
each not addressed according to its uniqueness?
The NDP (2011:23) also states that a capable state does not materialise by decree,
nor can it be legislated or crafted from conference resolutions. It has to be
painstakingly built, brick by brick, institution by institution and sustained and
rejuvenated over time. It requires leadership, sound policies, skilled managers and
workers, clear lines of accountability, appropriate systems and consistent and fair
application of rules.
According to the Draft Framework for a Differentiated Approach: Discussion
Document (FDA) it is now widely acknowledged that the one-size-fits-all approach
(adopted by national and provincial government) to legislative and policy
implementation, and to fiscal, functional and planning arrangements for local
government has not assisted municipalities with varying legacies and backgrounds
to deliver uniformly on their mandates and obligations. The ‘one-size-fits-all’
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strategies did not take into consideration the impact of major integration challenges
compounded by spatial differences between municipalities in terms of capacity, to
raise revenue and to deliver services (2011:4-5). However, there is some legislation,
such as the MPRA of 2004, which adopted a differentiated approach but it is not yet
known whether the approach will achieve the desired effect.
This chapter attempts to address the following questions that were posed in Chapter
One (see section 1.3) “What are the variables influencing differentiation in local
government in terms of support, capacity building and training?” and “Does
the NCBF: 2012 to 2016 adequately take government’s policy on differentiation
into consideration?”
This chapter considers where differentiation originates and what it means. The
citizen’s perspective - in contrast to differentiation, is considered to show that citizen
expectations must be met (irrespective of differentiation or not). Hence, the
requirements of a functional organisation (such as a municipality) are also
considered because municipalities are required to apply certain good practices to
deliver adequate services. Differentiation, in practice, in SA local government is
discussed (as well as the current debate on the differentiated approach and how it
relates to support, capacity building and training). The aim of Chapter Five is to
explore what the current policy debate on differentiation entails and to find out why
differentiation may be necessary or not. Its planned implementation and influence on
support, capacity building and training is also discussed.
The chapter commences by investigating how differentiation is referred to in
legislation. Next, the background is sketched to the current differentiation debate and
where it originates. Concepts relevant to the differentiation context are discussed,
such as: differentiation, basic services, the management of resources, segmentation
and support, functionality, viability and equity.
The perspective of the citizen is reflected on followed by differentiation required in
structuring organisations (such as municipalities) in order to meet their objectives.
Differentiation in practice in SA local government is discussed with due reflection on
segmentation models, the developmental state and policy, powers and functions,
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financial resources, the urban-rural divide, institutional systems, local economic
development and capacity challenges.
The proposed approach towards differentiation by CoGTA is shared and lastly, the
role of differentiation in support, capacity and training as contained in the NCBF:
2012 to 2016, is dealt with. This chapter considers whether the NCBF: 2012 to 2016
has adequately taken the policy on differentiation into consideration.
5.2 Differentiation as contained in legislation
Once again, cooperative governance (dealt with in Chapter Four) is pertinent in the
implementation of differentiation as it affects the nature of the relationships across
the three spheres of government and associated institutions and thus influences
how, through cooperative governance local government is supported. In legislation,
reference to categories, types and kinds of municipalities is viewed as a reference to
the context of differentiation.
5.2.1 The Constitution of 1996
Section 155 (1 to 7) of the Constitution states that:
Category A is a municipality that has exclusive municipal executive and
legislative authority (commonly known as a metro).
Category B is a municipality that shares municipal executive and
legislative authority in its area with a Category C municipality within
whose area it falls (known as a local municipality).
Category C is a municipality that has municipal executive and legislative
authority in an area that includes more than one municipality (referred to
as a district municipality) (Section 155 (1)).
(2) National legislation must define the different types of municipality that may be
established within each category.
(3) National legislation must -
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(a) establish the criteria for determining when an area should have a single category
A municipality or when it should have municipalities of both category B and
category C;
(b) establish criteria and procedures for the determination of municipal
boundaries by an independent authority; and
(c) subject to Section 229, make provision for appropriate division of powers and
functions between municipalities when an area has both category B and category
C municipalities. Division of powers and functions between a category B
municipality and a category C municipality may differ from that between another
category C municipality and that category C municipality.
(4) The legislation referred to in subsection (3) must take into account the need to
provide municipal services in an equitable and sustainable manner.
(5) Provincial legislation must determine the different types of municipality to be
established in the province.
(6) Each provincial government must establish municipalities in its province in a
manner consistent with the legislation enacted in terms of subsections (2) and (3)
and, by legislative or other measures, must –
(a) provide for the monitoring and support of local government in the province; and
promote the development of local government capacity to enable municipalities
to perform their functions and manage their own affairs.
(6A) If the criteria envisaged in subsection (3) (b) cannot be fulfilled without a
municipal boundary extending across a provincial boundary –
(a) that municipal boundary may be determined across the provincial boundary, but -
(i) with the concurrence of the provinces concerned; and
(ii) after the respective provincial executives have been authorised by national
legislation to establish a municipality within that municipal area; and
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(b) national legislation may -
(i) subject to subsection (3), provide for the establishment in that municipal area of
a municipality of a type agreed to between the provinces concerned;
(ii) provide a framework for the exercise of provincial executive authority in that
municipal area and with regard to that municipality; and
(iii) provide for the re-determination of municipal boundaries where one of the
provinces concerned withdraws its support of a municipal boundary determined
in terms of paragraph (a).
(7) The national government, subject to Section 44, and the provincial governments,
have the legislative and executive authority to see to the effective performance by
municipalities of their functions in respect of matters listed in Schedules 4 and 5, by
regulating the exercise by municipalities of their executive authority referred to in
Section 156 (1).
Section 195(5) of the Constitution states that legislation regulating public
administration may differentiate between different sectors, administrations or
institutions. Other than that, there is no legislation currently dealing with
differentiation for provincial or national government specifically, as it does for local
government. It is necessary to reflect on this as cooperative governance will be more
successful should all spheres have, among others, the capacity to exercise their
mandates and support one another. National and provincial government, however,
also experience capacity challenges as does local government (and a capacity
challenge is one of the determinants of differentiation).
5.2.2 The Local Government: Municipal Structures Act 117 of 1998
Chapter 1 of this Act describes the categories and types of municipalities, as follows:
'category', in relation to municipalities, means a category A, B or C municipality
envisaged in Section 155(1) of the Constitution while 'type' in relation to
municipalities, means a type of municipality envisaged in Section 155(2) of the
Constitution, and defined in Part 2 of Chapter 1 of the Municipal Structures Act.
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In Part 2 of Chapter 1 of the Municipal Structures Act types of municipalities are
dealt with in Sections 7-11: S7. General: The different types of municipalities that
may be established within each category of a municipality are defined in accordance
with the following systems of municipal government or combinations of those
systems, as set out in Sections 8, 9 and 10:
A collective executive system which allows for the exercise of executive
authority through an executive committee in which the executive
leadership of the municipality is collectively vested.
A mayoral executive system which allows for the exercise of executive
authority through an executive mayor in whom the executive leadership
of the municipality is vested and who is assisted by a mayoral
committee.
A plenary executive system which limits the exercise of executive
authority to the municipal council itself.
A subcouncil participatory system which allows for delegated powers to
be exercised by subcouncils established for parts of the municipality.
A ward participatory system which allows for matters of local concern to
wards to be dealt with by committees established for wards.
Section 8 deals with types of category A municipalities;
Section 9 the types of category B municipalities;
Section 10 the types of category C municipalities; and
Section 11 is titled ‘Determination of types for provinces’. Provincial legislation must
determine the different types of municipalities for each category of a municipality that
may be established in that category in the province.
Chapter 5 deals with functions and powers of municipalities with Section 88 focusing
on cooperation between councils and Section 89 on district management areas.
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5.2.3 The Local Government: Municipal Systems Act 32 of 2000 (MSA)
Chapter 3 of the MSA is about Municipal Functions and Powers while Chapter 8
deals with different types of municipal services’ provision such as proposals towards
multi-jurisdictional service utilities and municipal entities, to ensure that services are
being delivered.
In the context of the Act differentiation is referred to in:
Sections 22 (2)(b), 37, 49, 72, 84, 104 and 120 when referring to making
regulations or issuing guidelines in terms of community participation, IDP,
performance management, local public administration and HR, municipal
services, credit control and debt collection, and miscellaneous matters,
respectively.
Section 74 when determining a tariff policy.
Section 97 in determining a credit control or debt collection policy and “as
long as the differentiation does not amount to unfair discrimination”.
Section 98 when determining by-laws and “as long as the differentiation
does not amount to unfair discrimination”.
Section108 (5) (b) in the determination of minimum standard setting “to
differentiate between different kinds of municipalities according to their
respective capacities”.
5.3 Background to differentiation
Steytler (2009:7) says in SA, the status of local government as an order of
government has been constitutionally protected. This is hardly innovative. After
World War II local government became part of the constitutional framework of many
federal countries because democratisation was linked to decentralisation. What
makes SA’s constitutional recognition of local government different is the manner
and content of constitutional entrenchment: SA has created a coherent model of
local self-government in terms of a self-sustaining, community driven institution that
provides basic services and is a key agent for development. A comparative study
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that he conducted (Steytler 2009:7) also reveals where SA may have gone wrong,
that is, by going against global trends, e.g. the two-tier system of local government.
Nealer and Van Eeden (2009:134) state that SA’s local government system has
come a long way from the period when there were over 800 racially segregated local
government sphere institutions. These institutions included municipalities, town
councils, town boards, divisional councils, village management boards, health
committees and similar entities and were scattered all over the country. Notably,
large peri-urban and rural areas fell in regions where there were very limited or no
municipal services rendered.
Municipalities, however, now aim to maintain and provide more diverse and complex
basic municipal services to new geographical areas, as well as to the millions of
citizens who might have been neglected in the past. The newly-established and
merged municipalities are demarcated according to geographical aspects, such as
interdependence, capacity, existing boundaries, land use, administrative
consequences and the topographical, environmental and physical characteristics of
an area. Unfortunately, the last mentioned factor did not specifically take into
consideration geographical demarcation aspects, such as the extent of the surface
water catchment (river basin) areas and the overall geology (such as sensitive
dolomite areas with hydro-geologically unconfined groundwater aquifers). A large
number of the municipalities of SA are situated in dolomite-underlain areas (Nealer
and van Eeden 2009:134-135).
Pointing to differences between municipalities the DCoG developed a Draft
Framework for a Differentiated Approach to Municipal Support: Discussion
Document in 2011 (FDA). This draft framework indicates that “Over the past few
years, there has been increasing acknowledgement of the differential nature of
municipalities. Indeed, the Constitution at the outset differentiated the local
government system by institutionalising three sets of municipalities: Category A
(metropolitan municipalities), Category B (local municipalities) and Category C
(district municipalities)”. A number of different informal classifications have also
started to emerge, as a way to better understanding the reality of municipalities.
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The above has given rise to the renewal of the view in government that a
differentiated approach, implemented by spatially categorising municipalities and
using “relatively fixed” characteristics (i.e. characteristics that in aggregate are
unlikely to change dramatically during the period of a year or two) is necessary.
Characteristics include historical legacy, socio-economic vulnerability, capacity
shortages and an inability by a municipal area to take control of its physical location.
Accordingly, profiling of municipalities could assist government in providing
differentiated and targeted capacity support (Draft FDA to Municipal Support:
Discussion Document 2011:4). The characteristics alluded to in the discussion
document are those classified mostly as environmental capacity in the NCBF: 2012
to 2016 (2012:6) while the ‘capacity shortages’ (the institutional capacity (NCBF:
2012 to 2016 2012:6)), could in some cases be a symptom of the environmental
capacity challenges, i.e. the potential or competence, or lack thereof, found outside
of municipalities’ formal structures (Draft FDA to Municipal Support: Discussion
Document 2011:3).
The envisaged targeted capacity support could enable better performing
municipalities to manage a clearly defined and coherent concentration of functional
assignments that enable a faster rate of development and good governance. The
vulnerable municipalities, however, should be ‘freed’ to concentrate on basic service
delivery functions, with far fewer demands on their limited finances and capacities.
Complex financial management and reporting, engineering services and project
management for infrastructure (institutional capacity), for example, could be
managed in alternative ways (Draft FDA to Municipal Support: Discussion Document
2011:4). It could also necessitate the possible augmentation of a spatially
differentiated approach with provision for targeted capacity support and an ‘early-
warning’ system, not only to spatially challenged municipalities but to all
municipalities (DCoG RWP 2011:93)
Many reforms and performance shortcomings relating to local government are inter-
related and require a coherent approach and focused address; as confirmed by the
Policy Review on Provincial and Local Government in 2008 and the recent review of
the White Paper on Local Government of 1998 (Draft FDA to Municipal Support:
Discussion Document 2011:4).
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5.4 Concepts of importance within the context of differentiation
Auriacombe (2001: xvii) argues that without concepts, science would not exist and
communication between individuals and scientists would not be possible. A concept
is a language entity that refers to classes, groups, categories or collections of objects
or events or to the relation between things or events. Concepts are meaningful if
they can be defined (Bekker 1994:44 in Auriacombe 2001:xvii).
5.4.1 Differentiation
To differentiate means: “to recognise or identify as different or distinct” (NCBF
2012:10). It is important to make a distinction between differences between
municipalities and differentiation between municipalities:
Differences refer to the characteristics of municipalities (see a further
explanation in the discussion on segmentation of municipalities).
Differentiation refers to the way municipalities are treated in the light of
those differences (NCBF 2012:10).
5.4.2 Differentiation and basic services
Basic services are services such as water, sanitation and electricity (Mubangizi,
2009:158). Many municipalities are not in a position to provide their communities
with these services and it is because of this that local government may need a
differentiated approach to support (as municipalities are all at different levels of basic
services’ provision), to ensure that all communities have access to basic services.
Conceptualising service delivery is a complex – even contorted – process that draws
on various state departments operating at various government levels. Furthermore,
it invokes the support of non-state actors in the private sector and civil structures. In
this regard, Mubangizi and Mubangizi (2010 in Mubangizi, 2009:152) assert that one
of the fundamental challenges in service delivery is the inability to coordinate efforts
in a manner that will utilise various resources, while avoiding wastage and
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duplication. Therefore, service delivery refers to a series of activities by various
institutions that mobilise and process resources and present them to a targeted
group of people in a satisfactory and sufficient manner. Ultimately, these services
and initiatives should be of value to these target groups. Notably, institutional
capacity to mobilise, process and present services to recipients is fundamental to the
service delivery process. The relevant institution’s capacity could be viewed within a
sustainable livelihoods framework (Neefjes 2000:44 in Mubangizi 2009:152). The
framework aims to provide an integrated and analytical basis for understanding
development challenges; also, identifying capacity in terms of human, natural, social,
financial and physical resources.
A sustainable livelihood provides people with the capacity to generate and maintain
their means of living, as well as to enhance their well-being and that of future
generations (Carney 1998:8-10 in Mubangizi 2009:152). A sustainable livelihoods
framework offers a way of looking at people’s livelihoods in terms of access to
physical, natural, social, financial and human resources. Access to, and control of,
these resources leads to livelihood activities that ensure a sustainable livelihood. For
instance, for people to engage in the livelihood activity of farming, they need access
to land as a natural resource. Furthermore, they need access to human resources,
farming skills and financial resources to purchase physical resources such as
farming implements and storage facilities. Lastly, in order for their farming to be
beneficial, these individuals need social resources to enable them to market their
products or engage in negotiating better prices. Therefore, supportive policies are
needed to provide access to, and control over, resources. In addition, people should
be able to engage in processes that enable them to be part of the policy-making
process. Within this paradigm, citizen participation becomes crucial to sustainable
livelihoods (Mubangizi 2009:152-153).
The argument made to ensure basic services is thus for a sustainable livelihoods
framework with supportive policies (which could include differentiation) but includes
the institutional capacity to mobilise, process and present services to recipients.
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5.4.3 Differentiation and the management of resources
Nealer and van Eeden (2009:136) say that the transformed local government
environment has brought about many changes in the nature and extent of basic
public services delivered at the grass-roots level of a developing country with limited
resources and unlimited needs and they use the area of potable water (drinking
water) supply services as reference.
In managing the area of potable water, they say it is important to gain insight into the
nature and extent of SA’s post-1994 municipal governance of basic public services
such as potable water within a semi-arid and developing environment. The place and
role of potable water supply and the government’s attempts to provide this service in
a more effective, efficient, economic, equal, empathetic and environmentally friendly
manner may be regarded as of pivotal importance. Government will have to take
note of the most urgent challenges of specific basic services. These challenges must
be addressed in a more coordinated, pro-active and macro goal-orientated manner
to ensure that government’s public management is improved. Government, together
with its citizens, should know and understand that, as inhabitants of a semi-arid
country, serious consideration must be given to James Clarke’s (Clarke 1991:79 in
Nealer and van Eeden 2009:136) statement as far back as 1991: “Seventy one per
cent of the Earth’s surface is covered in water. While ninety eight per cent thereof is
undrinkable sea water, only 1.2 per cent constitutes fresh water, which is locked in
the polar caps and in glaciers. Consequently, inhabitants have a mere 0.8 per cent to
inter alia, drink, irrigate their crops, manufacture steel, cool power stations, bath and
transport sewage” (Clarke 1991:79 in Nealer and van Eeden 2009:136).
To understand this situation better, the municipal officials, political office-bearers and
committed citizens of municipal areas require, amongst others, more knowledge on
the nature and extent of the so-called hydrological water cycle, from rainfall to water
runoff (IUCN 2005:22 in Nealer and van Eeden 2009:140) (i.e. what the
management of any resource may entail).
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Nealer and van Eeden (2009:141-142) argue that municipal managers, leading
officials and committed political office-bearers of a municipality should be equipped
with knowledge and information regarding the physical environment. Furthermore,
they should be able to utilise geographical mapping tools in order to improve their
‘big-picture thinking’ and long-term planning skills. Other aspects include but are not
limited to:
The demarcated geographical jurisdictions of municipalities that do not
concur with the identified surface water (rivers) drainage regions. This
situation prevents logical, holistic and effective integrated water resources
management.
A lack of effective municipal planning and budget compilations include
aspects such as conducting municipal surveys and profiles of privately
owned land, as well as setting budgets for restructuring, expanding and
the maintenance of local government infrastructure (CSIR 2007 in Nealer
and van Eeden 2009:141). One of the reasons for this might be that the
nature and extent of the newly-merged municipal areas have not always
been made clear to all the public service delivery-rendering municipalities.
Some of their leading managers and political office-bearers are still “in the
dark” and have no insight into the utilisation of for example the
geographical, hydro-geological and planning maps needed for “big-picture
thinking” (Bertram, Interview 2009; Kleinhans, Interview 2009 in Nealer
and van Eeden 2009:142).
The typical nature and extent of municipal public services have now
become
much more diverse and complex. Due to a high urbanisation level of 56%
in the country, millions more citizens need these services (SACN 2006) at
many more locations and further away from sources than the
municipalities during the previous government dispensation had to take
care of (Nealer and van Eeden 2009:142).
The current municipal environment is highly politicised. Notably, it must be
recognised that citizens play a pivotal role in more effective public
policymaking and implementation (Nealer and van Eeden 2009:142).
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Hydro-geological aspects are playing a more important role where
municipalities are responsible for water-related basic public services, such
as potable water supply, wastewater, sewage and waste management –
especially where they fall in areas underlain with dolomite rock (Nealer
and van Eeden 2009:142) .
A lack of attention to maintenance and the sustainability of water
management infrastructure has resulted in high levels of per capita water
loss due to internal leakages in houses and deteriorating infrastructure,
such as potable water reticulation pipelines (Nealer and van Eeden
2009:142).
Community members are mostly uninterested in the origin and
management
of their potable water, as well as the management and disposal of their
wastewater and sewage (Nealer and van Eeden 2009:142).
A resource such as potable water would then also fall within a proposed
differentiated approach as it has “relatively fixed” characteristics (i.e. the hydrological
water cycle that influences the availability of adequate potable water varies from one
area to another) (Nealer and van Eeden 2009:142) . The argument in terms of water
would also be relevant in terms of other natural resources. Nealer and Van Eeden
(2009:146) state that unfortunately, the committed municipalities are continually
experiencing new pressures to deliver a wider variety of usually more complex basic
urban public services to citizens who are developing new and more sophisticated
needs. This quest to deliver public services in a more effective manner now requires
an optimum level of cooperation and integration between all the role-players and
stakeholders involved. Together, these actors will be able to bring about a positive
change.
Thornhill (2009:36) says the White Paper on Local government of 1998 addresses
the political structure of the new system of local government. Provision is made for
dynamic leadership in the political structure. Furthermore, powers could be
delegated to provide for wider participation in political processes. The policy
guidelines also provide for a mixed electoral system, implying that a council should
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partly consist of ward representatives and partly of proportional representatives
elected on a party list system (Thornhill 2009:36).
Thus, effective policy formulation and the capacity to manage resources effectively
needs attention, using different measures from one municipality to another.
5.4.4 Differentiation, segmentation and support
According to the Draft FDA to Municipal Support: Discussion Document (2011:5), in
segmenting (determining differences between municipalities or creating typologies
for) municipalities, government wants to aggregate municipalities into some workable
number of relatively homogenous categories (segments) according to needs, and
then treat these categories (segments) differently or according to a differentiated
approach through targeted support interventions. The following steps form part of a
segmentation process:
Identification of a broad based group/location according to conditions and
needs.
Identification of relatively homogeneous groups that will receive and
respond to targeted support interventions in a similar way.
However, there may be various segmentation groupings.
It is thus crucial to understand that there is a direct relationship between the
envisaged support interventions and the segmentation. For example: electricity
needs to be provided. There are different groups (segments) of municipalities
responding to this function in different ways:
Some can manage reticulation, distribution and billing to generate their
own electricity.
Some rely on districts or Eskom.
Some struggle to provide the necessary infrastructure.
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Some have largely indigent populations and must provide significant
amounts of ‘Free Basic Electricity’ within an area of limited tax revenue.
Thus, we can see that once relatively homogeneous groups have been identified
(also called categories or segments) the second step is to differentiate the support
interventions to best address the needs of that particular group (Draft FDA to
Municipal Support: Discussion Document 2011:5).
The DCoG (Draft FDA to Municipal Support: Discussion Document 2011:5-6) gives
another example of metros that can generate their own revenue, reticulate and
manage customer services, and may only need to be monitored for managing
excessive electricity losses that might affect their sustainability. Whereas for large
urban municipalities that do not generate their own electricity, the need may be for
technical support to manage their energy demand and infrastructure maintenance
plans to ensure quality and reliable services (i.e. reduced power outages). Smaller
urban municipalities might need support on infrastructure planning, and the customer
management side, for example, switching to pre-paid metering systems for lower
income areas, etc.
The DCoG (RWP 2011:95-96) states that despite the Cabinet resolutions “to
mainstream the hands-on support approach to all municipalities”, and the various
skills capacity enhancement programmes for municipal efficiency; skills deployment
initiatives to support municipalities have still not been harmonised and coordinated
through a single point of support. This results in resources being wasted and
initiatives duplicated. This challenge points to a need for a framework to guide and
support the different stakeholders’ support initiatives to ensure that there is a
differentiated approach but in a coordinated fashion. Differentiated support initiatives
could be:
Governance interventions (cross-cutting).
Sector-wide capacity development (cross-cutting).
Municipal infrastructure assessments (cross-cutting).
Municipal infrastructure capacity support that consists of:
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(i) Capacity development support.
(ii) Direct delivery support.
(iii) Technical support.
(iv) Implementing coordination to support municipal infrastructure provision.
The DCoG: RWP (2011:96) says that the principle of differentiation is that each
municipal area’s unique circumstances needs to be taken into consideration before
applying a uniform fiscal and policy regime, or expecting equitable standards in
performance and service delivery. The differentiated approach calls for better
coordinated and targeted support for smaller municipalities, whilst simultaneously
empowering cities to play a stronger and more direct role over crucial built
environment functions such as the delivery of housing.
Clarity is further needed on who is ultimately responsible for oversight and support,
and the degree to which national government may intervene directly in municipalities
(DCoG: RWP 2011:96). The COGTA Memo (2010:1) states that the Constitution
establishes a system of cooperative government in the Republic, constituted as
national, provincial and local spheres of government. In terms of the principles of
cooperative government set out in Chapter 3 of the Constitution, each sphere of
government must respect the constitutional status, powers and functions of another
sphere. The national government and the provincial governments must furthermore
support and strengthen the capacity of municipalities to manage their own affairs.
In order to ensure effective, transparent, accountable and coherent governance in
the Republic, the Constitution makes provision for processes of intervention by one
sphere of government into another in circumstances where there is a failure to fulfil
executive obligations imposed in terms of constitutional or statutory provisions
(COGTA Memo 2010:1).
The Constitution furthermore makes provision for national legislation to regulate
these interventions. Section 139(8) provides that national legislation may regulate
the implementation of Section 139 as well as the processes established by it
(COGTA Memo 2010:1-2). The COGTA Memo (2010:2) states that currently there is
no legislation contemplated in Section 139(8) to regulate interventions arising from
other causes. The proposed Bill, The Intervention in Provinces and Municipalities Bill
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of 2010 is to make provision for the supervision of provinces and municipalities and
to regulate interventions (for the purposes of this thesis Section 100 being relevant to
provinces is not discussed) in terms of Section 139, but will apply to discretionary
financial interventions and Sections 139(4) and (5) interventions only to the extent
that the Bill’s provisions are not inconsistent with the MFMA.
For a provincial intervention in a municipality in terms of Section 139(1), the Bill
provides the following menu of intervention steps for the provincial executive
(COGTA Memo 2010:3):
Measures to regulate the exercise by the municipality of its powers to
ensure fulfilment of the obligation.
A directive binding the municipality to take specific steps to ensure
fulfilment of the obligation.
Assumption of responsibility for the obligation by the provincial executive.
The preparation and imposition of a financial recovery plan for the
municipality in accordance with Sections 137(1), 141(1), (3) and (4) and
145 of the MFMA, if the intervention is a discretionary financial
intervention.
Suspension of any internal structure or functionary of the municipality and
the appointment of an administrator to perform the functions of the
suspended internal structure or functionary.
Dissolution of the council and appointment of an administrator to
administer the municipality until a new council is declared elected.
5.4.5 Differentiation, functionality and viability
According to the NCBF: 2012 to 2016 (2012:3) the aim with support, capacity
building and training for local government is to achieve the objectives in the
Constitution and legislation through relevant management practices and systems; to
address the deliverables contained in the MDA and move municipalities to
sustainable functionality; performance; and adequate delivery of services, at the
level of the individual, institution and environment.
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Can one then argue that the characteristics for a viable municipality are also those
relevant to a functional municipality? According to www.ewf.be (2012:3) each
organised human activity creates the need for two fundamental and opposing needs:
The division of labour into various tasks (that is, specialisation).
Their coordination.
Therefore an institution (such as a municipality) can essentially be defined as “the
sum of the methods according to which work is divided into various distinct tasks and
by which their coordination is carried out”. In more comprehensive terms, an
institution can be better defined as “a set of resources that are directed toward a
common purpose, constantly connected to the external context” (www.ewf.be
2012:3).
With this explanation (www.ewf.be 2012:3), it is possible to establish the constitutive
elements that are fundamental to any type of institution i.e. the main purpose or
mission and the context of reference. Each institution, from its foundation, has its
own organisation and therefore, its own structure which has its own reason for
existing with regard to a main purpose or mission, and takes on the value of an
"absolute priority in relation to the other objectives that an institution may have"
(www.ewf.be 2012:3).
DCoG defines (Draft FDA to Municipal Support: Discussion Document 2011:25) a
viable municipality as one that is able to:
Grow in population and economic terms.
Govern and democratically represent the interests of the community.
Satisfy the responsibilities for administration and services in accordance
with legislation.
Provide the services needed at a cost that the residents are willing to pay
(i.e. cost effective).
Fund services from its financial resources.
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One would want a sustainable institution to be both functional and viable.
Functionality thus refers to the institution’s ability to arrange its individuals and other
resources in such a way that it achieves its purpose. However, it may function within
one set of circumstances but should change happen it may not be functional within
the changed set of circumstances, unless it is constantly aware of the changes within
its context and is able to adapt to those changes. Viability includes the consideration
of the broader environmental factors in which an institution finds itself and of which it
has to remain aware as they will influence the institution’s performance and ability to
deliver its services adequately and consistently.
5.4.6 Differentiation and equity
Mubangizi (2009:148-149) says that the World Bank’s World Development Report of
1983 placed renewed focus on the management of development and essentially
entrenched the administrative reform agenda in the public service. Although there
are various definitions, administrative reform is based on the following key
cornerstones:
Planned changes to current bureaucratic structures
Innovative ways for the state to function
Improved efficiency and effectiveness in the public service.
Although a range of administrative reform strategies have been advanced, public
participation is particularly crucial to the success of administrative reforms. Through
participation, the public acts as a forerunner to administrative reform strategies, such
as accountability, governance and partnerships.
Decentralisation and creating local government units pre-empt certain changes to
public participation. In SA, decentralisation has not only brought government closer
to its people, it has also created space for participation within the local government
sphere and has improved the chances of accelerating service delivery and promoting
sustainable livelihoods. However, not all citizens within local government units have
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benefited from decentralisation in equal measure. In fact, some authors have warned
against the “dangers of localism” and the fact that certain local governments lack the
necessary resources to meet their objectives. They also note the inadequate support
from central government (Mubangizi 2009:149).
The MSA pays attention to the process through which the IDP should be drafted.
Moreover, it places a high premium on citizen participation. Subsequently, Chapter 4
of the Act is dedicated to community involvement and participation in both the IDP
and local government processes. In this way, the IDP provides an opportunity for
learning and sharing ideas. Furthermore, it has the potential to bring together people
from different cultural backgrounds under the banner of working towards a shared
vision of developing their communities. The IDP plays an important role in the
poorer, rural-based municipalities. The fact that the municipalities are poor demands
targeted community-focused development planning that addresses poverty and
builds a firm foundation to create a thriving and sustainable community. A
community-focused approach would no doubt require that communities participate in
the planning and implementation processes (Mubangizi 2009:151-152).
Citizen participation encompasses the idea that people (without public or private
institutions) can help themselves respond to locally conceived problems. It is argued
that participation takes place when people identify their own requirements and
determine locally specific means of responding to their needs and requirements.
The concept and practice of citizen participation gained acclaim during the mid-
1980s. This was largely due to glitches in internationally driven support for a
representative democracy to advance ordinary people’s ideals in relevant
developmental decision-making processes (Mubangizi 2009:152).
Observing the rural poor in developing countries, Chambers (1984:10 in Mubangizi
2009:152) was perturbed by the fact that development planners, researchers and
policy-makers did not pay much attention to these communities. In advocating a
reversal of the situation, Chambers (1984:10 in Mubangizi 2009:152) argues that:
“…reversals in learning and in management entail changes from authoritarian to
participatory communication; better staff in poor and remote districts; and enabling
and empowering weak clients to make effective demands for services and for their
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rights”. Although Chambers (Mubangizi 2009:152) was referring to the rural poor, he
also highlighted the importance of including marginalised members of society in
mainstream development plans and practices.
5.5 Differentiation from the perspective of the citizen
Thornhill (2009:26-27) says that local government is traditionally viewed as
government closest to the people. It is probably also the oldest form of democracy as
it is defined currently. Therefore, local government and its administrative structures
were required to take decisions based on the will of the people i.e. true democracy.
As cities grew in size and national states developed in the Western world pure
democracy made way for representative democracy. This development posed new
challenges regarding the establishment and the reflection of the will of the
inhabitants of a city and ultimately the national state. In the context of the
contemporary state and urbanised communities the role of government is becoming
more complex. Cities consist of diverse communities with divergent needs. The State
consists of even greater diverse communities comprising the State. Therefore, a
reconsideration of the role of communities in a democratic government is imperative.
The situation is also aggravated by the complexity of responsibilities of the State.
These include inter alia social services, economic stability, environmental protection,
political education, educational advancement and health promotion. Local
government is required to act as agent to provide services related to these functions.
This has a significant effect on the system especially in a developmental state in
which the public sector is required to play a prominent role.
Bosire (2010:23) says that: “Local government is increasingly being recognised
internationally as the ideal vehicle to deepen democracy and facilitate the
realisation of citizens’ rights. This is evident in the United Nations International
Guidelines on Decentralisation and the Strengthening of Local Authorities, as well as
the practices of institutions such as the World Bank and the International Monetary
Fund…Other human rights – such as those to health, education, a clean
environment, housing, water and sanitation – are directly linked to local government”
(Bosire 2010:24).
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Korten’s ‘The great turning: From Empire to Earth Community’ (in Book Review,
2011:217) continues previously introduced debates on how people-centred (in this
case the so-called “Earth Community”) development intervention strategies can
transform public bureaucracies into responsive support systems, which strengthen
local participation, community control and management. For Korten, following
Joanna Macy, the term “the Great Turning” captures the sense of the time we live in
and the realisation that the transition between eras follows a more profound historical
route than what was previously thought. To enable the turning(s), a rather bold
Korten (in Book Review 2011:218) is of the opinion that the world now has the ability
to change the hierarchies of domination and restructure a radically democratic
partnership model of organising human relationships. This should be done via a
three-tiered approach, i.e. cultural value and spiritual fulfilment towards partnerships;
economic policies that empower those at the bottom; and political turning towards a
democracy of people.
No political democracy can survive and flourish if the mass of its people remain in
poverty without land and without tangible prospects for a better life. Attacking poverty
and deprivation must therefore be the first priority of a democratic government (NDP
2011:1). The success of the approach is premised on (NDP 2011:2):
The active efforts and participation of all South Africans in their own
development.
Redressing the injustices of the past effectively.
Faster economic growth and higher investment and employment.
Rising standards of education, a healthy population and effective social
protection.
Strengthening the links between economic and social strategies.
An effective and capable government.
Collaboration between the private and public sector.
Leadership from all sectors in society.
The NDP (2011:5-6) states that government strategy to date has been to provide a
range of social services, including social security. Because of the uneven capability
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of the state, local government has excelled at doing the things that are easier, such
as paying grants and providing water and electricity and faltered at doing some of
the difficult things such as improving education, promoting employment and building
houses closer to jobs. By default local government has distorted the developmental
effort. Leadership, unity and cohesion are difficult in a still-divided society, yet these
are the very things that help to anchor successful nations and development
strategies.
Citizens’ needs are influenced by a variety of factors that are subsequently
discussed (possibly not all factors are mentioned in view of the diversity of South
African communities):
5.5.1 The economy
SA’s policy makers did not adequately account for the effects that the world
economy would have on the domestic environment (NDP 2011:7). The NDP (2011:8)
states that globalisation has increased the complexity with which all countries must
contend. Systemic risks such as financing, banking, debt and currency crises will
remain ever present. Capital is generally more mobile than labour, resulting in
significant implications for wages. Africa’s growth and development increases the
size of the continent’s economy. This can also provide Africa with a greater voice in
global, political and economic institutions (NDP 2011:8). From the citizens’
perspective they have to pay more with less which may affect the payments of
municipal services and the availability of resources to effectively manage the
resources. On the other hand the SA Government must further explore how it can
benefit from the opportunities of ‘a greater voice in global, political and economic
institutions’, mentioned above.
5.5.2 Service delivery
Thornhill (2009:37) says the White Paper on Local Government of 1998 attends to
the core reason for the existence of municipal government and administration, i.e.
service delivery. In this regard provision is made for municipalities to utilise the full
spectrum of service delivery options including contracting out, public-private
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partnerships and related mechanisms. The White Paper addresses the vexing issue
of financing local government services. The White Paper acknowledges the
extensive services required to redress the injustices of the past, but also notes the
need for sustainable municipalities. Thus, it proposes that municipalities should be
assigned revenue sources and that provision should also be made for
intergovernmental transfers to supplement their revenue and enable them to provide
the extensive services now entrusted to the newly established sphere of local
government. Specific provision must also be made for budgeting, accounting,
financial reporting, and the introduction of Generally Accepted Accounting Practices
(Thornhill 2009:37).
Thornhill and Madumo (2011:131) say that despite the variety of challenges
municipalities face, ward committees could encourage and formulate programmes to
promote public participation. This could ensure that a municipal council is in a better
position when making decisions to help facilitate improved service delivery. Public
participation is essentially a process that engages communities from the planning to
the implementation and the evaluation phases of a particular activity or a project
(Draai and Taylor 2009:114 in Thornhill and Madumo 2011:131). Ward committees
are relevant stakeholders in bridging the communication gap between the municipal
councils and the communities they govern. They provide a platform for engagement
on the issues that concern local government and its processes. Notably, ward
committees are in a better position to represent the true views of their communities.
Therefore, the functioning of ward committees should be a major focus area for
every municipality entitled to establish them (Thornhill and Madumo 2011:142).
The DCoG (5) (2011:2) provides information on the Institute for Democracy in
Africa’s (IDASA) study. (IDASA is an independent public interest organisation
committed to building sustainable democratic societies in collaboration with African
and global partners). The study does not reflect the opinions of all South Africans,
but is considered as representative of citizens residing outside of major urban
centres. The survey solicited responses to questions concerning governance,
satisfaction with service delivery and ways to enhance local government
performance, among others.
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As a point of departure, a question was asked to evaluate knowledge about the
allocation of powers and functions between the national, provincial and local
government. It was found that while 86% of the respondents do know that water
provision is the responsibility of the Local Council, only 55% know that local
government is also responsible for refuse removal. On the other hand 75% and 72%
of the respondents think that primary and secondary education are the responsibility
of the local government, while 69% think that housing and 45% think that birth and
death registration are the council’s responsibility while they are in actual fact not or
only to a limited extent (DCoG (5) 2011:2).
About satisfaction with services delivered, 11% were of the opinion that their council
provides good quality services, 18% expressed a neither good nor bad opinion and
70% believe their council does not provide good quality services (DCoG (5) 2011:2).
In comparison with the findings of the 2006 Afrobarometer, satisfaction levels with
service delivery in the four provinces show a decline from 39.5% to 11%. Reasons
for the decline as perceived by respondents include increasing corruption,
councillors and ward committees not functioning properly, government failure to
listen to the people, inadequate and under qualified staff and insufficient funds
(DCoG (5) 2011:2-3).
Respondents were asked what they as citizens, themselves, had done to address
these problems. 42% claimed to have approached their councillor and 37% said they
communicated their concerns with CDWs. In contrast, 37% of the respondents
mentioned that they took no action to resolve the problems (DCoG (5) 2011:3).
The DCoG (5) (2011:4) says regarding the quality of public participation in decision
making, it was asked whether people actively participated in meetings organised by
the councils over the last year. It emerged that 37% of respondents claimed not to
have participated in any meeting; 25% only attended one or two meetings; 30% had
been to 3 – 5 meetings and the rest attended more than five meetings. Figure 5.1
below shows meetings attended in 2010.
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Figure 5.1: Public participation in local government meetings attended in 2010
Source: (DCoG(5) 2011:4)
As indicated in the chart above, ward and sector committee meetings are the most
preferred gatherings of a large number of respondents. Reasons for not attending
any meeting are lack of information about planned meetings (this accounts for 30%
of respondents in this category), while for others attending has not been a priority
(DCoG (5) 2011:4).
The DCoG ((5) (2011:4-5) says the survey shows that 66% of responses support the
view that government staff and councillors privately benefit through illegitimate
means from resources earmarked for service delivery. A deeper interrogation
revealed that 82% of respondents believe access to services also depends on
whether one has friends or is related to a public servant or a councillor.
The DCoG ((5) 2011:5), in conclusion, says the overall outcome of the survey is that
currently only one in ten citizens expressed satisfaction with the quality of service
delivery from local government. This represents regression in that four years ago
four in ten citizens were satisfied with service delivery. In the main, the survey
portrays an increasing distance between those who govern and those who are
governed in SA. According to IDASA (in DCoG (5) 2011:5), the survey also
highlights that local government is increasingly governing the local municipalities on
behalf of its citizens and not with its citizens, which affects its legitimacy negatively
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and steers SA away from its collective vision of establishing a developmental
democracy.
Tshandu (2010:50) says government in SA drafted the Batho Pele (People First)
principles to demonstrate that it views its communities as its most important focus
(people first). These eight principles apply across all spheres of government and are-
consultation;
service standards;
access;
courtesy;
information;
openness and transparency;
redress; and
value for money.
From an institutional perspective, the political and administrative heads of
departments need to ensure that the Batho Pele concept is properly communicated
within their respective departments, with the effort culminating in drawing up a
comprehensive Service Delivery Improvement Plan (SDIP) which is adequately
integrated into other departmental and strategic priorities (Tshandu 2010:50).
Tshandu (2010:51) says once the SDIP has been finalised, it needs to be published
and displayed at the service delivery point to inform the customer. A corollary to this
is that adherence to this programme has to be monitored and results against it
published every year. This is an essential step in the accountability process between
the service provider and the customer. However, this good practice is not
implemented by all municipalities and could go a long way to managing and
addressing the expectations of the community around service delivery.
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5.5.3 Service delivery protests
Thornhill and Madumo (2011:129) say that over the past few years, municipalities
have faced challenges in providing equitable public service delivery throughout SA.
Dissatisfaction concerning service delivery led to protests in various municipalities.
There are a variety of causes that could have triggered these protests, such as
misaligned local governing structures and the lack of public participation by the
community members in decision-making concerning the quality of services (Thornhill
and Madumo 2011:130).
Communities show their satisfaction or dissatisfaction with service delivery in various
ways. Karamoko (2011:10) says since June 2006, the frequency of community
protests has fallen significantly and the intensity of violence accompanying these
protests has increased. Local government corruption and grievances for which local
government is not solely responsible, such as housing, are among the main causes
of protests; followed by access to clean water and electricity, inadequate sanitation,
insufficient refuse removal and unsanitary toilet systems (Karamoko 2011:10).
Grievances were often invoked in combination, e.g. if one is mentioned another
follows. Protesters have also cited incompetence or the need to hold government
officials accountable in 33 incidents and on 38 occasions claimed that state officials
broke their promises. “While it is impossible to give an accurate account of the
reasons behind protests, an examination of the frequency with which protesters
express certain complaints still provides some insight into the nature of community
protests on the whole” (Karamoko, 2011:11).
The Community Law Centre (CLC) (DCoG (4) 2011:7) moves away from narratives
which depict community protests as only occurring on the streets led and driven by
people from low-income neighbourhoods, by examining how the withholding of rates
by more affluent communities is emerging as a new modality through which
dissatisfaction is being expressed.
The argument is that the citizens will not be concerned with differentiation as long as
their needs are met.
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5.6 Differentiation required in structuring and managing an organisation
An organisation’s (i.e. such as a municipality’s) mission is the founding element on
which the system structures itself internally and toward which the resources, the
choices, the decisions and behaviours are oriented, forming a common bond. An
organisation’s internal variables are traditionally as follows (www.ewf.be 2012:4):
Structure: the "form" to attribute to the organisation, that is consistent with
the mission to be pursued, or more specifically, the overall relationships
that connect the elements that constitute an organisational entity.
Strategies: the pursuit of the mission by creating secondary objectives.
Operative mechanisms: the instruments that make structures operative.
HR: an organisation’s main resource.
Reward system: behaviour evaluation criteria.
The internal variables cannot naturally disregard each other, but are interdependent,
and influence and define each other.
There is, however, an optimal organisational model based on the type of business
and the environment. Within a reasonably stable context of reference, an approach
to the optimal organisational model can be made by successively adjusting the
internal variables. If the context of reference is, instead, of a turbulent and
unforeseeable nature, the search for an optimal model will be distinguished by the
continuously changing internal variables, with the objective of maintaining reciprocal
(alternate) consistency. These are the main concepts that form the base of the so-
called ”situational approach” (that is, adjustment of the organisation to the context)
that has dominated one in modern organisational analysis (www.ewf.be 2012:5).
Organisations are structured for managing interactions between the various parts
that they are made up of (www.ewf.be 2012:5), for example:
Operators, who carry out the activities directly connected to obtaining the
products/services where there is the maximum level of standardisation.
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Technicians (and equivalent personnel), who have direct authority over the
processes and who therefore have maximum control over them.
Managers, who have global responsibility for the organisation and its
development, including the pursuit of the "mission".
Support staff who provide external support for the flow of the operational
activities.
These positions must be properly specified in an organisational chart and their tasks
defined (the concept of “who does what”) through shared procedures and/or practice
(the concept of “how to do what”)(www.ewf.be 2012:5).
The first need of an organisation appears generally to be obvious and typical of
every productive process; the second need may be more complex, however, and
require specific “coordination mechanisms” that can be identified, in short, as follows
(www.ewf.be 2012:7):
Reciprocal adaptation.
Direct supervision.
Process standardisation.
Result standardisation.
Operative capacity standardisation.
Reciprocal adaptation results in coordination through the simple process of informal
communication, allowing those who do the work to also control it. Being a primitive
coordination mechanism, reciprocal adaptation is used, naturally, by very simple
companies. Direct supervision, that is, the identification of a supervisor with
coordination responsibilities, becomes necessary in less simple conditions where
reciprocal adaptation between workers is no longer sufficient.
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As a productive system becomes more complex, standardisation becomes
necessary for (www.ewf.be 2012:7):
Processes, where coordination is done during the planning and validation
phase, before starting the activity.
Results, where the characteristics of reference for the product/service are
predetermined.
Operative capacity, where minimum knowledge of the personnel who do
the work is defined.
A certain amount of reciprocal adaptation (concept of “concurrence”) and direct
supervision (concept of “leadership”) is therefore always necessary, independent of
the amount to which standardisation has been put into practice, and even more so
when the standardisation itself is difficult or less appropriate for the specific
productive process (“situational approach”) (www.ewf.be 2012:5).
Both “concurrence” and “leadership” concern the sphere of personal characteristics
and require (www.ewf.be 2012:7), in the first instance, a sufficient predisposition to
collaborate and secondly, adequate and natural authority. Both of these
characteristics can be improved upon (perhaps through persuasion and involvement)
but cannot be acquired if they do not exist at all.
Once the basic objectives are defined, the strategies for obtaining them are not
always the result of planning, which is often useless over a long period as precise
forecasts are not possible, but are rather the starting point for a journey subject to
variations and changes. In this regard, using the image of the ant that knows very
well to where it must carry the grain of wheat, but selects the path based on the
obstacles that it finds, Henry Mintzberg (in (www.ewf.be 2012:8) coined the
expression “crafting strategy” to underline the concept of an emerging process,
which is far removed from the classic image of strategists sitting around a table,
intent on predicting the future.
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The most effective managers are not those who are detached from operations but,
on the contrary, those who are immersed in it while being able to extrapolate from it
messages of synthesis. Large-sized and reasonably diversified organisations are
characterised, in general, by greater managerial complexity, but at the same time
they can obtain economies of scale that help them reduce production costs and
make a profit to be used for investments and research. On the contrary, although
small- and medium-sized organisations generally have in greater operative flexibility
which allows them to adapt more quickly to changes in their context, they can also
have insufficient financing capacity and access to credit, overall costs that are higher
in proportion and, oftentimes, a need to use external support services (www.ewf.be
2012:8-9).
The organisation and the market in which it operates are immersed, as already
mentioned, in the so-called “social context” from which they are determined and
which they determine, in an indivisible bi-partite relationship (www.ewf.be 2012:9).
Management by objectives can be considered the antithesis of the traditional
bureaucratic concept described and theorised by Weber (in www.ewf.be 2012:8). It
foresees that every manager imposes his action by identifying and pursuing specific
objectives, as quantifiable as possible, which are contracted with the hierarchy and
to be reached within a certain period of time. The fields in which objectives are
established are at least those (but are not necessarily limited to) in which the results
have a direct influence on the life of the organisation, such as for example
(www.ewf.be 2012:10) on the market position, investments and innovation and
human and financial resources.
Due to the fact that they are pertinent to the life of the organisation, the objectives
must obviously be shared by those who are involved in their achievement. It follows
that the main traits of management by objectives are, therefore (www.ewf.be
2012:10):
Competitive democracy.
The personalisation of work relationships.
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Attention directed toward purposes rather than toward regulations.
The mobility of positions based on results.
In this context, while the most vicious old bureaucratic circles are reduced, it is
possible, perhaps in extreme conditions, that new problems are created on new
fronts, such as for example (www.ewf.be 2012:10-11):
Excessive pressure on management.
Excessive internal competition.
Difficulty in fulfilling long term objectives.
Difficulty in coordinating different objectives.
Also these new problems, if present, must be acknowledged and corrected.
The growing complexity of the external context has demonstrated, as previously
stated, that a universal and stable model does not exist for organising every type of
organisation. If, on the one hand, an organisation’s structure is a function of its
development, on the other, growing environmental turbulence requires flexibility
(www.ewf.be 2012:8). The search for organisational efficiency is therefore connected
with different “organisational criteria” based on the context in which the organisation
operates. These are (www.ewf.be 2012:8):
The first criterion corresponds to conditions of stability, when production
levels and characteristics remain relatively stable over time.
The second criterion corresponds to conditions of operative flexibility,
when the organisation finds it must face changes on production levels or to
changes in demand.
The third criterion corresponds to conditions of strategic flexibility, when
an organisation must face changes that concern both qualitative as well
as volume characteristics of its production, which are caused by processes
of technological obsolescence, but also by the success of international
markets or social and cultural changes.
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Finally, the fourth criterion is defined out of the need for constantly
changing structures, which is caused by continuous and deep changes to
productive process technologies and controls.
This approach establishes that the organisational structure is based on a series of
strategic factors that may be summarised (www.ewf.be, 2012:15), in sizes,
complexity and diversification of technology and the degree of predictability of the
context.
Various standard structural configurations or organisational models are possible
(according to Mintzberg) (in www.ewf.be 2012:15):
Simple: based on direct supervision and does not require bureaucracy or
staff units and is used in smaller and/or strongly charismatic companies.
Mechanical: based on process standardisation, the most substantial part is
composed of workers with jobs that have little or no discretionary power
and it is mostly found in large scale industrial manufacturing and in large
service organisations.
Professional: based on the standardisation of personnel skills and
characterised by an operating team made up of qualified professionals,
requires significant staff units, and is typical of organisations that produce
individual products with a high technological content or that provide skilled
services in a market that is not particularly differentiated.
Divisional: based on the standardisation of process/product
characteristics, its main application is found in "high tech" companies with
a heterogeneous market, foresees wide internal autonomy and is
dominated by a strong division of labour.
Ad hoc: based on reciprocal adaptation, not hierarchical and informal, it is
well adapted, paradoxically, to very complex organisations composed of
specialists and with very dynamic objectives such as, for example,
electronic and/or IT companies.
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Obviously there are also intermediate configurations in which standard
configurations are integrated to satisfy a specific context.
Therefore, with reference to what was stated previously, the main parameters that
characterise an organisational model can be identified as follows (www.ewf.be,
2012:15-16):
The market.
Production characteristics.
Work organisation.
The type of authority.
Communication.
Personnel.
5.7 Differentiation in South African local government
The following subsections contextualise differentiation in terms of the South African
local government context.
5.7.1 Various segmentation models
The DCoG (RWP 2011:86 and 88) informs that during the consolidation phase of
local government (post-2000) a number of departments developed different ways of
differentiating or classifying municipalities to more accurately understand the
differentiated challenges facing municipalities. The different classification systems
focus on different variables in terms of application.
5.7.1.1 The National Treasury
The National Treasury developed a hybrid method, combining both space economy
characteristics with performance characteristics, to identify the relative resourcing of
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municipalities using seven indicators (DCoG: RWP 2011:85-86):
Percentage of households without access to basic services (from 2001
census).
Property rates per capita (the National Treasury local government
database and 2001 census). This is seen to be a good proxy for viability.
Poverty rate (from 2001 census).
Percentage staff vacancy (MDB and StatsSA).
Municipal debt per capita.
Municipal densities (population density of a municipal area using 2007
StatsSA Community Survey).
National contribution to Gross Value Add (GVA) (based on 2004 statistics).
Using this information, municipalities are classified into six groups from very high
performing to very weak.
5.7.1.2 Municipal Infrastructure Investment Framework (MIIF)
The DCoG (FDA 2011:6) says that relatively well developed examples of the
differentiated approach already exist in the MIIF and Comprehensive Infrastructure
Plans (CIP), using the Municipal Services Financial Model (MSFM). This model uses
the identified extent of infrastructure to be provided (as per a segmented model) to
inform the actions needed to achieve the eradication of backlogs by a certain target
date. It covers:
The capital expenditure required to provide this infrastructure.
The methods of financing this capital expenditure.
The operating expenditure required to ensure that the infrastructure
provided is properly operated and maintained.
The methods of raising revenue to cover this operating expenditure,
drawing on the provisions of the Municipal Fiscal Framework (MFF).
The monitoring system required to assess progress with respect to
infrastructure delivery.
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A municipal infrastructure asset management strategy aimed at ensuring
that the systems are in place in a municipality to manage the infrastructure
provided.
The MIIF then places specific emphasis on estimating expenditure and assessing
the capital finance and operating revenue requirements to cover this expenditure.
The overall objective of the framework is to assess the amount of capital which is
required to meet the municipal infrastructure delivery targets of government and to
assess the options for ensuring that sufficient capital finance is available to cover this
capital cost to ensure that the infrastructure programme is financially sustainable,
which implies that there is sufficient operating revenue to cover the operating and
maintenance costs of infrastructure-related services. Earlier MIIF categories, and
MIIF 7 (2009/10) have recognised the very different circumstances which exist in
municipalities across the country and the related difference in their financial viability
(DCoG: FDA 2011:6-7).
DCoG’s MIIF uses the legal categorisation of municipalities and further
disaggregates them into particular typologies based on spatial characteristics, size of
institution and budget, population and percentage urban population (DCoG: RWP
2011:86-87) with the following result:
A: Metros: Large urban complexes with populations over 1 million and
accounting for 56% of all municipal expenditure in the country.
B1: Local municipalities with large budgets and containing secondary
cities.
B2: Local municipalities with a large town as a core.
B3: Local municipalities with small towns, with relatively small populations
and significant proportion of urban population but with no large town as a
core.
B4: Local municipalities which are mainly rural with communal tenure and
with, at most, one or two small towns in their area.
C1: District municipalities which are not water service authorities.
C2: District municipalities which are water service authorities.
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Figure 5.2: Classification of municipalities by the MIIF
Source: (DCoG: RWP 2011:86-87)
This method of categorisation is useful to understand the different types of
municipalities and what their characteristics are likely to be, but it is not a rational
indicator of particularly management capacity, nor does it provide any indication of
the primary economic / livelihood drivers in a municipality (DCoG 2011:87).
The DCoG (DFA 2011:8) says the strengths of the MIIF are that it provides for four
settlement types, in order to allow for different service level costs associated with
particular settlement conditions and for different service delivery programmes for
each settlement type. For this exercise the four grouped geographical types used in
Census 2001 were used, namely:
Urban - formal
Urban - informal
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Rural - informal (Communal Areas, formerly called ‘tribal areas’ by
StatsSA)
Rural - formal (mainly commercial farming areas with property held
freehold rights).
The model also caters for different service level decisions for households living in the
various geographical or settlement types. This model has been adapted to apply to
the country as a whole, to provide a picture of ten year trends for the aggregated
municipal operating and capital accounts, in terms of both expenditure and income. It
considers the six functional groupings below thus providing for a full package
(DCoG: DFA 2011:8-9):
Water supply and sanitation, referred to as water services.
Electricity.
Municipal waste management or refuse services.
Roads and storm water.
Public services (e.g. community halls, parks, recreational facilities).
Special infrastructure which includes:
o Economic infrastructure and buildings for projects which can be run
as independent financial entities (e.g. a conference centre, a market,
an abattoir, etc.). This does not include ‘economic networks’, which is
a broader definition including transport and communication networks,
which are singled out and included in other categories.
o Public places which do not involve buildings but require capital
works, with a pedestrian mall or public square being examples.
o Municipal public transport infrastructure.
Administration buildings and systems.
GAPD which typically includes:
o Governance: councillor remuneration and the overheads associated
with council affairs including the secretariat to the council.
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o Administration: the municipal manager’s office, treasury and other
administrative functions such as office administration, HR, legal and
information technology services.
o Planning: IDPs, strategic plans, spatial plans and land use
management including building plan approvals.
Development facilitation: LED planning including relationships with private
sector enterprises; management of property developers, regulation of
business activity, including licensing, etc.
The Local Government Skills Audit (2007 to 2010) adopted six (instead of four
above) functional units to assist with comparable research from a national
perspective.
The weakness of the MIIF is that it is problematic, within rapidly shifting household
dynamics, but necessary to try to identify ‘poor households’. The setting of a “poverty
baseline” has remained arbitrary and is still not “official”. It is furthermore assumed
that the high income household group as a whole can cross-subsidise low income
households. The model separates households into two groups: low income (below
R3 500 pm) and high income. For the sake of simplicity no middle income group is
used (DCoG: DFA 2011:9-10). DCoG (DFA 2011:10) says “South Africa’s poverty
rate is, however, so high and the numbers of households living in poverty so many
that this assumption should be tested. This kind of data also informs indigent
registers, and is important for estimation of free services to be supplied, and the
costs thereof. The reality of this assumption, i.e. those 4,981,640 households will in
effect subsidize 7,518,972 households”.
The model provides for the inclusion of a range of service levels for each municipal
function or service. The range of service levels to be applied can be selected by the
user but there are standard descriptions of service levels which are applied by
certain national sector departments. It is, however, not always acceptable to
communities; due to a variety of reasons, to receive the ‘basic’ level of services, e.g.
in an urban environment public standpipes within 200 meters of the dwelling or VIP
toilets are no longer acceptable. Municipalities often indicate shortages resulting
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from choosing higher levels than ‘basic’ as ‘underfunding’ of infrastructure through
the grants. The model uses 2001 census statistics to determine the backlogs – it is
currently 2014 and due to population growth and migration these statistics are
inadequate to really determine where the needs are (DCoG: DFA 2011:10-11).
5.7.1.3 The Municipal Demarcation Board (MDB)
The MDB (2009:157) states that while the classification of municipalities has yet to
be used for the demarcation of municipal boundaries, it may be useful to undertake a
spatial analysis of the municipal variations to identify if there are any boundary
implications which should be considered when making future determinations. This
would require an understanding of the link between municipal capacity and the
associated administrative boundaries. Considering what municipalities do in different
areas and/or provinces, the local available resource base and development
imperatives may indeed result in either an increase or decrease of municipalities in
some locations.
The MDB Capacity Assessment Report for 2008/09 (2009:156-157) also says that in
at least the last three MDB National Capacity Assessment Reports, a system of
district and local municipality classifications have been used to better understand the
variations in the municipal results. In particular, the information has highlighted the
differences between the rural or poorer socio-economic regions in SA and those
which are more urban and/or with greater resources. The Constitution
acknowledges, and the Municipal Structures Act provides for, an asymmetrical
system of local government (CoGTA is currently undertaking a review of provincial
and local government in which the asymmetry of local government will need to be
addressed).
Moreover, a number of classification 1 local municipalities continue with their
struggle to develop sufficient capacity to render a comprehensive range of municipal
functions. District municipalities in the Free State and Mpumalanga perform few or
any functions (MDB 2009:156-157).
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5.7.1.4 Municipalities segmented according to audit performance
The DCoG (FDA 2011:12) states that it is only the Auditor General (AG) that
measures actual performance of organisations – not fully – only financially – it gives
the following opinions based on its audits:
Unqualified. This is an audit opinion without significant concerns on any
other matters, including audit reports with emphasis on matter (matters of
information) only.
Other matters. The audit opinion is unqualified financially, but auditors
had concerns which require the focused attention of the leadership,
audited entities and oversight, to be eliminated.
Qualified. The financial statements are satisfactory, except for certain
information or parts thereof.
Disclaimer. The audited entity could not provide information or evidence
to support the information, transactions and balances in the financial
statements. This opinion is highly undesirable.
Adverse. The financial statements are fundamentally unreliable, because
the information of records on which the financial statements are based do
not agree with those held by the auditors. This opinion is highly
undesirable.
Government has a drive towards clean audits in all its spheres. Auditor-General,
Terence Nombembe, cautioned that for Operation Clean Audit 2014 to succeed,
SA’s mayors need to lead the movement towards the clean administration of their
municipalities. In his consolidated general report, which summarises the audit
outcomes of all the country’s municipalities and related municipal entities.
Nombembe said there was a marginal improvement in this year’s results,
“fractionally better than the previous year” (www.info.gov 2011:1).
Of the 237 municipalities audited, only seven municipalities received ‘clean’ audit
reports. The municipalities with clean administration, as measured by the audit
reports, are Mpumalanga’s Ehlanzeni district municipality; Steve Tshwete and Victor
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Khanye municipalities; the City of Cape Town; the district municipalities of
Metsweding (Gauteng); Frances Baard (Northern Cape); and the local municipality of
Feta Kgomo (Limpopo) (www.info.gov 2011:1).
Nombembe (www.info.gov 2011:1) said it was also worth noting that of the
municipalities reported on, 57 had improved on their 2008/09 audit outcomes;
however, 15 had regressed and 165 remained unchanged, while the audit outcomes
of 12 of the 49 municipal entities reported on improved, two regressed and 32
remained unchanged. KwaZulu-Natal (KZN) and Gauteng registered the most
notable overall improvements in audit outcomes – the two provinces recorded 12
and 11 improvements, respectively.
Other movements indicate that, of the 27 consolidated municipalities reported on,
only the City of Cape Town improved to a ‘financially unqualified with no findings'
audit opinion. The audit outcomes of the three other metros with finalised audits,
remained unchanged as financially unqualified with other matters that need to be
addressed, for example, deficiencies in their reporting on service delivery and/or
compliance with laws and regulations (www.info.gov 2011:1).
Nombembe (www.info.gov 2011:1) said it was encouraging to note a significant
reduction in the number of municipalities; which is considered one of the worst types
of audit results (in other words, auditors were not provided with sufficient
documentation to express an opinion).
Among other financial management issues that need to be addressed by
municipalities and municipal entities, the AG raised concerns regarding non-
compliance with supply chain management prescripts; the extent and prevalence of
information and communications technology challenges; the ongoing need for and
dependence on consultants to deliver financial statement-related work that full-time
employees should be doing; and the increased level of unauthorised (total R4,969
million) and irregular (total R4,135 million) expenditure (www.info.gov 2011:1).
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5.7.1.5 DCoG spatially vulnerable municipalities’ segmentation model
The DCoG (FDA 2011:12) indicated that the settlement patterns, location and geo-
technical issues may also impact service delivery and municipal viability. The
DCoG’s Municipal Spatial Classification System (segmentation model) developed
municipal profiles according to levels of functionality, socio-economic profile and
backlog status. In developing the vulnerability framework, the
indicators/classifications below were applied. The information was then assessed on
a scale of performance results; these were then ranked from the best to the worst
result per local municipality, where-after the municipalities were divided in quartiles
to indicate a range of four classifications.
Four classifications are identified (DCoG: DFA 2011:13):
Class 1: Most vulnerable (57)
Class 2: Second most vulnerable (58)
Class 3: Second highest performing (58)
Class 4: Highest performing (58)
The results indicating the Class 1 or most vulnerable segment, illustrated in the map
below, were informed by a data driven process, and ranked results in the fields of
socio-economic conditions, municipal capacity and service delivery levels. The
majority of municipalities found most vulnerable were previously located within the
disestablished Apartheid homelands:
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Figure 5.3:Class1 - Most vulnerable municipalities
Source: (DCoG: DFA 2011:13)
Class 1 (most vulnerable) municipalities: Data sources for the selected indicators
were StatsSA, Global Insight, Community Survey 2007 (of StatsSA), MDB, the CSIR,
the National Treasury, the DPLG and the AG (DCoG: FDA 2011:13).
The local municipalities falling within the class 2 category are the second most
vulnerable grouping of local municipalities nationally. When examining the spatial
location, the class 2 municipalities (vulnerable) tend to be found in the following
locations (DCoG: DFA 2011:14):
Commercial farming areas with small service towns.
Municipalities in which a portion was previously located in the
disestablished Apartheid homelands.
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Semi desert areas or those areas with low population densities.
DCoG (DFA 2011:14) indicated that the municipalities found in class 3 are the
second highest performing groups of municipalities. The majority of these
municipalities fall outside the abolished Apartheid Bantustans. These municipalities
tend to be:
commercial farming areas supported by small towns;
smaller mining towns; and/or
semi desert areas.
The municipalities found in class 4 are the best performing group of local
municipalities nationally. These municipalities tend to contain (DCoG: DFA
2011:14):
highly urbanised communities;
large urban centres; and
mining towns.
The weakness of this model, as with most models that may be reviewed, is the
persistence of anomalies in the ratings. ‘Low’ categories will always have better
performing elements, and ‘high’ rankings will always have poorer elements. This is
why it is proposed that typologies, classifications and segmented approaches are not
concretised as policy, but serve to inform, guide and shape a differentiated
governance response. To illustrate by example highly vulnerable areas in
Mpumalanga and Northern Cape, specifically regarding service delivery backlogs, for
reasons related to data-led analysis processes; actually fell into the Class 2 ‘second
most vulnerable’ segment. If these municipalities were then to be officially
segmented into Class 2, government support mechanisms would ‘miss’ them,
whereas if they are under the spotlight for targeted and appropriate support,
differentiated approaches serve their needs most accurately (DCoG: DFA 2011:14).
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5.7.1.6 The LGSETA’s municipal segmentation
Rough estimate numbers was provided by the LGSETA 2012 Municipal
Segmentation: Restructuring Model (2012:7). The LGSETA’s response to
differentiation is as follows:
Figure 5.4: Municipal segmentation: Restructuring model
Source: (LGSETA 2012 Municipal Segmentation: Restructuring Model 2012:7)
The LGSETA differentiates between size and number of employees (a feature also
distinguished during the skills audit typology, i.e. generalists versus specialists); level
of skill required; WSP complexity and functionality (the last-mentioned links to the
NCBF’s transformation continuum).
5.7.1.7 Deliberation on typologies
This section highlights to the deliberation on typologies developed to determine
whether one typology can be developed.
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Table 5.1: Summary of municipal typologies developed
Information on
the municipal
typologies
DPLG (now DCoG) municipal typologies
The municipal typology
in preparation for the
Local Government
Human Resource Skills
Audit
To assist with the
execution of the MIG
An IDP rating
system to identify
which municipalities
need support
To identify PC
municipalities
For purposes of the
NCBF
To identify urban
and rural nodes
Background The development of this municipal typology emerged during the preparation for the local government skills audit in August 2005 from assessments of existing support and capacity building initiatives and
the conclusion drawn was that these were not having optimal impact because they adopted a “one size fits all” approach and needed to be more targeted and differentiated to meet the
particular needs of municipalities
This municipal typology differentiates municipalities according to the support needed
and bases this support on the analysis of backlogs and the capacity to spend the allocated grant funds
The IDP categorisation was developed within the DPLG/CSIR IDP
support programme to categorise municipalities in terms of their ability to produce and implement credible IDPs
PC was launched in October 2004 to address key challenges faced by municipalities through the provision of national and provincial hands-on support aimed at building the capacity of local government to enable service delivery
The NCBF for Local Government (2007 - 2011) proposes an adaptation of the stages of municipalities
because of the detailed description of the nature of the overall existing state of municipalities. It further notes the National Treasury’s classification by size, urban and rural nature
The Integrated Sustainable Rural Development (ISRDP) and Urban Renewal Programmes (URP) are two initiatives introduced by the President in February 2001 to systematically and in a coordinated manner address
poverty and under-development in those areas with the highest concentration of population
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The Skills Audit municipal typology is based on those intrinsic characteristics of a municipality that do not change suddenly such as, the geographic, spatial and historic/ political characteristics, including characteristics such as service delivery levels, the reason being that above characteristics and existing levels of development have a direct bearing on sustainable development and the skill requirements of senior management The following 10 measures are examined in this classification of municipalities:
Broad spatial characteristics
Political structures
General management
Human resources
Financial aspects
Powers and functions
Technical services
Community/social services
Community participation
IDP
The following was considered in compiling the MIG municipal typology:
Budget required/ financial viability
The capacity (systems, processes and human resources) to implement MIG projects
Nature of the support required
The IDP ratings look at the following KPAs, with specific criteria under each, towards establishing the quality of a credible Municipal IDP:
Spatial Development Framework
Service delivery
Good governance
LED
Financial viability
Institutional arrangements
Powers and functions
Performance management system
The following Key Performance Elements (KPEs) are the main areas of mainstreaming hands-on support in the PC 5 years:
Public empowerment, participation and community development
Capacity building, systems, human resources development and improved organisational culture
Free basic services which target poor households, appropriate billing system and reducing municipal debt
Integrated human settlement development
LED, job creation, Extended Public Works Programme and municipal infrastructure
Anti-corruption campaign
Performance monitoring, evaluation and communication
Special intervention in rural and urban development nodes
The stages of municipalities plotted according to the transformation continuum and the National Treasury’s classification by size, urban and rural nature each type with its own criteria
To address poverty and under-development in those areas with the highest concentration of population
Type 1:
Local municipality
Mainly traditional authorities and or contains no established towns
Group 1:
Large, low capacity municipality Group 2:
1
(1 – 2): Poor and inadequate
Issues not addressed to any extent
Municipalities were identified during the extensive profiling exercise undertaken in all the then 284
[Transformation Continuum that is still part of the NCBF] Type 1:
Established
21 districts and townships identified to address poverty and under-
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Type 2:
Local municipality
One or more towns
Predominantly within the former Transkei, Bophuthatswana, Venda and Ciskei (TBVC) states Type 3:
One or more towns
Located outside the former TBVC states Type 4:
Category B Municipality
Large urban centres Type 5:
Category A Municipality (Metro) [Districts were not typified]
Small, low capacity municipalities Group 3:
Municipalities with no spending Group 4:
Large, well-performing municipalities Group 5:
Small, well-performing municipalities All Groups
Infrastructure management support needed for sustainable infrastructure implementation, i.e.
Development of CIPs
Backlog eradication strategies
Service delivery mechanisms
Role of commercial and development banks in infrastructure funding Not classified
Performing well thus no intervention required
3
(3 – 4): Gaps
Limited information on planning, projects and integration
Some issues addressed but not all 5
(5 – 6): Most issues adequately addressed 7
All integration aspects and KPAs addressed adequately
Role players engaged
municipalities, looking at service delivery indicators such as housing, water and sanitation, electricity, refuse removal, the number of indigent households, unemployment and income that showed that there were 139 municipalities that continued to experience challenges in the delivery of services and were thus the focus of the PC
Type 2:
Stabilised Type 3:
Consolidated Type 4.
Sustainable
development in areas with the highest concentration of population
Source: (DPLG 2006:3-10)
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Each typology outlined in Table 5.1 above was developed to better understand a
specific area of focus and although there may be similarities the differences point to
or assist with the specific area of focus. One typology may thus not be possible in
view of the comprehensive scope of the powers and functions allocated to local
government but typologies may be able to assist with the development of targeted
support plans.
It can therefore be concluded that all municipalities were categorised in recognition
of a degree of difference – but how difference is understood – with its fiscal, spatial,
functional and governance implications, is only now emerging as unique challenges
within the efficiency of the state (DCoG: RWP 2011: 89).
5.7.2 Differentiation, the developmental state and policy requirements for
local government
Nzwei and Kuye (2007:196) say that public administrators are tasked with the job of
elaborating and detailing broad policy frameworks (such as for differentiation) as put
forward by political office-bearers. This entails the entire policy process, from
formulation of policies, to the implementation and the review of policies. Thus, the
importance of policy making in the whole spectrum of public administration is not
subject to debate. The UN Millennium Development Goal Report of 2005 shows that
African countries in recent years, rather than add growth or remain stunted, have
regressed in terms of development and its tangible indicators such as life
expectancy, poverty and hunger (UN 2005:6-9 in Nzwei and Kuye 2007:196). While
natural factors such as drought or famine and diseases like HIV/AIDS may have
played a role in these grim figures, issues such as governance and leadership
should not only be factored into the equation but given pride of place (Nzwei and
Kuye 2007:196).
Despite the decline of the developmental state apparatus, there are some
characteristics of the developmental state which are worth considering. These
characteristics are those that encourage the commitment to a national
developmental interest, the sense of a collective drive towards a national objective
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and the relative lack of corruption in state development institutions (Nzwei and Kuye
2007:204).
Nzwei and Kuye (2007:199-200) say that the developmental state is expressed as a
development conscious state in which economic development is enhanced through
political commitment and a competent bureaucracy driven by state, political and
economic structures. Some of the functions of the developmental state are in the
form of micro and macro policies that create an enabling environment for
businesses. In this case, some neoliberal requirements for development and
economic growth such as political stability, creating effective mechanisms to fight
corruption and financing expensive infrastructure, are dependent on the State (Clark
and Jung 2002:20).
Another function of the State in the developmental state is the control over finance.
This means that the State has control over investment decisions, access to foreign
exchange, and control over bank credit and foreign loans (Haggard and Chenf 1987
cited in Edigheji 2010:108). States can also use the financial tools available to
enforce performance standards on industry and firms and put pressure on
multinational corporations to contribute to projects geared towards national
development. Thus, these aspects must be inherent to the implementation of
differentiation just as those following on the NPM paradigm.
Nzwei and Kuye (2007:204) identifies policy targeting as a route to unravelling the
crisis of the developmental state in Africa as it can be used as an implementation
tool for poverty alleviation. In this case targeting becomes pro-poor guiding public
expenditure and service delivery. Policy targeting for development becomes all the
more significant with the influence of globalisation, which has catalysed the adoption
of new bureaucratic and governance changes and strategies. This includes the NPM
paradigm (Common 1998:440 in Nzwei and Kuye 2007:204), cloaked with
appellations such as: entrepreneurial government, network governance, public
private partnerships and reinventing government. Kroukamp (in Nzwei and Kuye
2007:204) considers the influence of globalisation on the South African public sector
from the increasing call for bureaucratic reforms by developed countries, as a
condition for global development and investment processes in the developing
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countries. This portends a renovation and modernisation of governance in a bid to
provide conditions that benefit economic development from the support and
investment angle. Most administrative reforms are thus designed to bring about this
economic restructuring of the developing world. This means that issues of efficiency,
cutting of costs, streamlining government and enhancing managerial rationality are in
the mix of the principle of the NPM (Nzwei and Kuye 2007:204).
The current distribution of the population and the economy also has the following
policy implications (DCoG: RWP 2011:88-89):
The need for a more sustainable approach to economic and settlement
planning at multi-jurisdictional regional level.
The need for a differentiated governmental approach to settlement
support. A process of testing and comparing differentiation systems is
however needed to arrive at an informed framework within which to
manage difference – for levels of capacity needed, and intervention and
support as well as deriving pointers for the cross-cutting policy
implications. This framework should be able to allow for unique ‘solution
design’ including a “response package” that not only addresses socio-
economic factors but also governance and management factors in
determining the optimal way for service delivery to communities. In this
regard the following key issues require consideration:
o Structural adjustments required to ensure sustainable and quality
service delivery, as well as meaningful participation at local level.
o Roles and responsibilities of national and provincial government should
be improved to ensure better outcomes at local level and improve the
cooperation and coordination between all three spheres.
o Powers and functions that should be given to each category of
municipality and the most suitable institutional arrangements to ensure
efficient outcomes.
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The need to prioritise institutional, service delivery and economic
development support to the high growth cities and city-regions and the
high-density settlement areas of the former homelands with large and
growing populations but little economic activity and high rates of poverty.
If the State ‘as an agent of development takes up the mandate to accomplish
development’ it may mean the implementation of different initiatives for different
municipalities to achieve the same end i.e. their sustainability.
5.7.3 Differentiation and powers and functions
Powers and functions and differentiation are linked to each other by way of
legislation. Thornhill (2009:27) says the sphere or level of local government is a
creation of each state. Its composition, functions and powers are determined
according to the role the State requires it to play. Therefore, it could be expected that
the system of local government and administration will possess the characteristics
peculiar to a particular state and will also reflect the current governing party’s (or
alliance’s) policies regarding the decentralisation of functions.
The sphere of local government is also assigned original powers in the Constitution
of 1996 through Section 156. Thus, municipalities are not hierarchically linked to the
national or provincial government, but are considered as equal partners in promoting
the development of the South African society. The heading to Section 153 of the
Constitution, 1996, commissions municipalities to perform developmental duties.
Section 153 states unequivocally that a municipality must give priority to the basic
needs of society and promote the social and economic development of the
community. Municipalities are also required by the Constitution of 1996 to participate
in national and provincial development programmes (Section153 (a)) (Thornhill
2009:30).
The effectiveness of any system of local government and administration is highly
dependent on the functions and powers assigned to it. In the case of SA the
Constitution of 1996 assigns legislative and executive authority to the council and
states the objects of local government (Thornhill 2009:30).
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The functions of local government are set out in Schedules 4 and 5 of the South
African Constitution of 1996. These include inter alia functions performed (Thornhill
2009:31):
concurrently with the national and provincial spheres e.g. air pollution,
child care facilities, local tourism, municipal planning and municipal health
services; and
in functional areas of exclusive provincial competence e.g. local amenities,
local sport facilities, municipal roads, noise pollution and refuse removal.
The quality and the extent of the services to be provided are not identified e.g. the
health, housing and environmental functions performed concurrently with the
provincial and the national spheres are not stated clearly in the Constitution of 1996.
Functions and powers are also assigned in legislation e.g. housing to selected
municipalities and welfare services. However, municipalities cannot solely be held
accountable in the case of possible under performance as in many cases they lack
clear policy guidelines from national or provincial governments; or/and financial and
HR capacity to fulfil their extensive obligations (Thornhill 2009:31).
Thornhill (2009:37-38) states that it should be mentioned that various successes
have been achieved in SA since democratisation in 1994, e.g.:
The Department of Health as the national government’s executive arm
responsible for the concurrent health function has succeeded in increasing
access to primary health care with an additional five million people
benefiting since 1994 (Naidoo 2004:230 in Thornhill 2009:37-38).
However, major challenges remain, e.g. some clinics in rural areas
(municipal category C) stand empty due to shortages of doctors and
nurses as well as other health workers (Naidoo 2004:236 in Thornhill
2009:38). Thus one of the crucial services required to improve the quality
of life of society cannot be provided by the State and consequently the
private sector is expanding its area of operation to the detriment of the
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indigent that have to rely on public institutions for medical care which in
turn do not have the capacity to provide the services required.
Thornhill (2009:38) says housing has been identified as a concurrent
function in Schedule 4 to the Constitution of 1996. This implies that the
provincial and national spheres of government are jointly responsible for
the provision of housing. The local sphere is not identified as a partner in
this regard, but it is responsible for infrastructure and some municipalities
are designated as providers. The housing backlog has not been reduced
to acceptable limits and although ± 1,45 million houses have been built
from 1994 to 2004 (Naidoo 2004:251 in Thornhill 2009:38), lack of local
leadership capacity, red tape and bureaucracy (Naidoo 2004:256 in
Thornhill 2009:38), shoddy workmanship, corrupt practices and financial
constraints, have limited the degree of the success. Government (national,
provincial and local) has succeeded in performing its developmental duty
in one regard as at least 90% of the self-building projects involve women
as the most vulnerable group in society. However, it has failed in another
regard as the housing backlog has not decreased noticeably and various
communities are demanding faster action by government (Thornhill
2009:38).
For infrastructure that supports human settlements (housing, water,
sanitation, roads and parks) the picture is complicated. The planning
function is located at local level, the housing function assigned to
provincial level and the responsibility for water and electricity is split
between bulk service and reticulation. In practice, this does not work.
Human settlements are badly planned, and there is little coordination
between those installing water reticulation infrastructure and those
responsible for providing bulk infrastructure. Responsibility for housing
should shift to the level at which planning is executed – the municipal
level. Weak capacity in poorly resourced local authorities does not justify
chaos. These problems must be solved for effective urban development
(NDP 2011:14).
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It is possible to have more differentiation in the powers and functions of provinces
and municipalities when taking capacity into account. The present system can be
improved with clarifications in the areas of housing, water, sanitation, electricity and
public transport. The NDP proposes that regional utilities must provide services on
behalf of less resourced municipalities on an agency basis without undermining the
accountability of the services. Large cities should be given greater fiscal and political
powers to coordinate human settlement upgrading, transport and spatial planning
(NPD 2011:24).
The MDA (2011:36) states that municipalities “are responsible in terms of the
Constitution for specified services referred to as municipal services; these include
water supply and sanitation, electricity, municipal roads, solid waste and refuse
removal and their associated infrastructure”. It is further explained that district
municipalities have “two main responsibilities: (i) development facilitation (C1); and
(ii) service provision (C2), primarily water services, electricity and roads. The
application of these responsibilities varies” when it is a C1 or C2 district municipality
(The MDA 2011:36).
The desired outcome of the differentiated approach is to also regulate functional
arrangements for the three spheres in new national legislation that will (DCoG:
RWP 2011:91-92):
Provide for new governance procedures for allocating functional
responsibilities across government according to a differentiated approach.
Provide for a process to define minimum capacity, norms and standards
for service delivery functions for each category.
Provide options for differentiating IDP in accordance with municipal
capacity.
Provide options for increasing delivery functions, e.g. housing in
accordance with municipal capacity.
Provide options for alternative methods of delivery where necessary.
Introduce a basket of options for increased public participation in the
affairs of government.
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Provide for five-yearly assessments of performance linked to the electoral
mandate; thereafter assignments may be adjusted for the next term.
Provide for support and capacity building solutions that will address the
unique circumstances of a municipality.
Provide for a mechanism for monitoring and evaluation within the review of
functional allocations linked to the five-yearly performance review of formal
assignments.
Link the fiscal system to stable assignment delegations across
government.
5.7.4 Differentiation and financial resources
Financial resources are necessary for any local authority and the National Treasury
(Department of Finance (DoF) Undated:8) indicates that there are five main reasons
why access to financial markets is considered important for local authorities. These
may be summarised as follows:
Access to capital: Local governments in SA are responsible for
infrastructure that requires large, ‘lumpy’ capital investments on a periodic
basis. Given the extensive needs in SA, financing this investment on a
‘pay-as-you-go’ or ‘taxation-in-advance’ basis is usually neither possible
nor efficient. Particularly where the need for capital greatly exceeds what
is available on a grant basis from the central fiscus, access to capital
markets can provide municipalities with the capital resources necessary to
finance infrastructure investments efficiently.
Inter-temporal equity: The benefits of the infrastructure investments that
municipalities make often endure for extensive periods and accrue to
future generations of taxpayers and consumers. It is equitable for such
generations to bear some of the costs of these benefits. Financing
investment over time with funds accessed from capital markets allows for
this.
Efficiency: Because capital markets allocate capital resources on a
commercial basis, capital is allocated efficiently. Moreover, the opportunity
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costs of capital provide incentives to ensure efficient standards of delivery
and discourage ‘overbuilding’ and wasteful investment.
Accountability: Markets tend to punish poor fiscal and management
performance through pricing (pushing up interest rates or making capital
increasingly scarce). This can promote accountability and fiscal discipline
at local level. It may also provide other stakeholders (national government;
the provinces and aid agencies) with a convenient means to assess the
relative performance of municipal governments.
Short-term matching of revenues and expenditures: In the short term – for
example within a given financial year – municipal revenues and
expenditures are seldom completely congruent in time. Short-term
borrowing allows municipalities to deal with this lack of synchronicity.
International experience suggests that achieving these benefits depends on the
method of access and the conditions under which this access occurs. In principle
there are two main routes: local governments can access capital markets through
‘on-lending’ from central government, most often through a public intermediary (a
financial parastatal), or they may access the markets directly (DoF Undated:8-9).
In SA the DBSA, which is increasingly active in the municipal market, already
represents one ‘indirect’ access mechanism. As already recorded, the interface
between this mechanism and the private market in respect of municipal debt is an
important issue which will require further attention once the policy framework is
established in legislation. The DBSA aside, there are three broad reasons why
government wishes to facilitate direct access by municipalities to the capital markets
(DoF Undated:9):
Limitation of implicit or contingent liabilities: It is important to protect
central government from ultimately inheriting the debts of local
government. When sub-sovereigns borrow through central government the
debts of these bodies easily become the implicit or contingent liabilities of
central government. Policy and legislation need to ensure that central
government is not perceived as a banker of last resort. This is necessary
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for prudent fiscal management at the national level and is fundamental to
government’s ability to maintain its macro targets. It is also needed to
ensure that municipalities face strong incentives to improve their own
management and credit worthiness, knowing that it is unlikely that central
support will be forthcoming to compensate for local mismanagement or
policy errors.
Systemic discipline: International experience suggests that the indirect
borrowing route can result in situations where credit allocation decisions
become increasingly less commercial in character. Under such conditions,
capital does not necessarily flow to the most productive users, but to those
players which are politically the most astute. In other words the efficiency
and accountability outcomes become diluted. Incentives for inefficient and
wasteful decision-making can replace those which encourage the
productive use of capital and tight financial management.
Expanding investment resources: Subsovereign borrowing via the State
can result in the “squeezing out” of private capital from the municipal
sector, thereby narrowing the aggregate resource available for investment.
Moreover, central control of borrowing can also create incentives for local
governments to elude these restrictions through innovative off-budget schemes.
Centralised borrowing, therefore, does not necessarily increase the ability of central
government to control the liabilities of local government, but it may simultaneously
diminish the overall financial resource base for investment in worthy projects (DoF
Undated:9).
Direct access to capital markets offers the potential for a more transparent, market-
based system to develop where there is a greater chance of achieving the benefits of
accessing capital markets. However, it is also true that moral hazard problems –
which arise from the assumption by capital markets that borrowing by local
governments is ultimately backed by central government - may also develop where
there is direct borrowing by sub-sovereigns from private financial markets.
Ultimately, such problems can never be eliminated completely (DoF undated: 9-10).
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The State has to play an active role in broadening the participation of the mass of
South Africans in the productive private sector and in quality jobs, and in the creation
of new enterprises. This active developmental state in municipal regions must
administer pricing regarding tariffs charged for services in a manner that allows for
basic service provision to the poor and a minimum level of basic needs. The core
business of municipalities must ensure improved revenue streams in a manner that
broadens the reach and range of services and a redistribution of surpluses (DCoG:
RWP 2011:90).
Whilst investment in basic infrastructure and services should occur across the board,
limited resources (which differ from one municipality to another) should be applied
strategically and government investment should go into areas that will yield the
highest impact in terms of economic output, employment creation and poverty
reduction when it comes to economic fixed capital formation. Investments in sparsely
populated rural areas should be based on a new vision of sustainable rural
economies and should focus on innovative employment generation strategies that do
not necessarily require large sums of capital. Beyond government investment, local
citizen involvement in economic development and innovation should be vigorously
encouraged (DCoG: RWP 2011:90).
5.7.5 Differentiation and the urban-rural divide
In SA, the classification of the country into rural and urban areas is rather fluid in
nature. There is a clear shift away from this system towards an all inclusive one.
However, the concept remains important with regard to targeted development
programmes, such as the URP and the RDS, as well as for statistical purposes
(StatsSA 2003:1 in Mubangizi 2009:154).
Mubangizi (2009:154) says that the MDB of SA, a structure tasked with sectioning
and establishing SA’s current municipalities, is careful not to distinguish between
rural and urban areas. Instead, it focuses on the functional linkages that exist
between rural and urban areas. To this effect, the board asserts: “The Constitution
and Municipal Structures Act is silent on the concept of urban and rural when
describing Category B municipalities. However, the White Paper on Local
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Government correctly points out that, in some cases, the separation of rural areas
from cities and towns has imposed artificial political and administrative areas that are
otherwise functionally integrated. It also creates inequality for rural residents who
contribute to the town’s economy but do not benefit from its resources” (cited in
StatsSA 2003:2 in Mubangizi 2009:154).
Urban areas are characterised by a high population density and are relatively well
serviced in terms of infrastructure. The cities of Johannesburg and Cape Town, with
a population of more than 3 million people (Pillay, Tomlinson and Du Toit 2006:4 in
Mubangizi 2009:155), are typical examples of urban areas. There are other small
towns that qualify as urban areas – although they may not have such a high
population density (Mubangizi 2009:155).
The primary mechanism used by the National Treasury to define rural municipalities
is the methodology adopted by the DCoG which is based on the context within which
municipalities operate and uses variables such as the number of poor households,
the proportion of households with access to services (water, sanitation and
electricity), and information on capital and operating budgets to group municipalities
into seven different categories (DCoG: RWP 2011:86). SA’s RDS defines rural areas
as “those areas that have the lowest level of services, and the greatest average
distance to the nearest service points” (Mubangizi 2009:154). These areas include
large-scale farming enterprises and are largely (but not exclusively) former
homelands or Bantustan areas. Furthermore, municipalities have little potential to
raise sufficient taxes to meet the costs of services. The definition proposed
characterises rural areas as those with low access to services and a low potential to
raise taxes (Mubangizi 2008:275 in Mubangizi 2009:154-155). According to Kumalo,
rural areas’ dependence on a cash-economy is due to a decline in subsistence
farming practices (Kumalo 2005:161 in Mubangizi 2009:155).
Increased population density in towns is a world phenomenon. However, in SA the
removal of influx control policies created a significant and unprecedented increase in
rural-urban migration. The influx control measures of the Apartheid government
guaranteed that only those black people employed in urban areas could stay there
permanently (Moller 1992:6 in Mubangizi 2009:155). Rural-urban migration can be
357
attributed to several factors. Notably, the impact of the rural-urban migration has
further deepened rural poverty in SA. Among other things, it has depleted the labour
force and changed the livelihood strategies in rural areas (Kumalo 2005:159 in
Mubangizi 2009:155).
There are contrasting pictures which mirror the urban-rural divide. Challenges
imposed by urbanisation on the receiving cities such as pressure on infrastructure,
social welfare programmes, limited economic opportunities and service delivery are
evident. Other areas, particularly rural municipalities, lose economically active
people to the cities and this slows down development significantly (DCoG: RWP
2011:61).
The DCoG (DCoG: RWP 2011:91) proposes introducing differentiation ‘across the
spectrum’ as to them it is clear that urban and rural environments have differing
needs based upon their respective regional socio-economic conditions. It is clear
that highly urbanised provinces or regions need to respond to the challenges of
housing demand, high immigration and urban sprawl, plus the demands of sustaining
concentrated economic activity. Conversely, largely rural provinces suffering from
poverty and related negative socio-economic realities cannot prioritise the same
functions that are applicable to urban environments. This principle has been applied
in the MIG Policy Review, which assigns a higher degree of responsibility to
infrastructure management to the six (now eight) metropolitan areas (DCoG: RWP
2011:91).
The DCoG (3) (2011:7) states that there is:
A challenge with the current design of the local government fiscal
framework, which provides that funding related to a particular function gets
paid to the municipality that is legally responsible for the delivery of a
function. In many instances, funds that are paid to the district municipality,
that is, the service delivery authority, even though the function is provided
by the local municipality; are not passed to the local municipality to
subsidise the service appropriately as expected.
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A very high level of grant dependence among rural municipalities and
government transfers alone cannot address all the service delivery
pressures that local government faces because they are intended to
supplement the municipalities’ own revenues.
Also a challenge in most rural local municipalities is raising their own
revenue. In practice, rural municipalities do not levy property rates and
service charges to non-poor households and businesses in their areas
even if they can afford it. The National Treasury believes that this practice,
which is also prevalent in many developing countries, undermines the
finances of the municipality and also breaks the revenue-service link
between the municipality and the ratepayer/customer that entitles them to
demand better quality services because they are paying for them.
Metros, district and local municipalities can thus not necessarily be strictly
categorised as urban or rural but there could be a mixture of characteristics
associated with each, depending on the community referred to. The information that
follows in the next sections relates specifically to metros, secondary cities, districts
and local municipalities in an attempt to show the further segmentation to urban and
rural divide:
5.7.5.1 Metros
The eight metros generate the bulk of the country’s Gross Domestic Product (GDP),
however, at the same time they are also home to an increasing number of poor
people, lacking access to basic services (DCoG 2011:87).
Metros are facing a specific set of governance challenges, including – in-migration,
informal settlements, urban sprawl, service delivery and infrastructure pressures,
assignment of functions and sometimes the shifting of functions without funding.
These municipalities have consequently been requesting more responsibilities on
transport, housing and urban planning. Yet there is currently no specific urban
development framework or urban policy to guide the role of metros. The challenges
of metropolitan governance require a careful consideration of the requirements that
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should be in place before cities are given metropolitan status. The creation of a
metro should be based on clear criteria and not be the by-product of amalgamation
or re-demarcation only (DCoG, 2011:36). DCoG (2) (2011:3) tabled the following
information on city profiles: The Economic importance of cities.
Table 5.2: The economic importance of the profiles of cities in SA
Metropolitan Population (2010) million
Surface area Km²
Size of economy: GDP
2010 R billion
GDP 2010 per person
R
Johannesburg 3.775 1,644 408 108 094
Cape Town 3.499 2,500 269 76 932
eThekwini 3.409 2,174 266 77 893
Tshwane 2.365 2,174 (6,297) 233 98 688
Ekurhuleni 3.027 1,924 163 53 819
Nelson Mandela Bay
1.139 1,958 83 72 861
Mangaung 0.791 6,283 41 51 648
Buffalo City 0.761 2,460 45 59 673
Msunduzi 0.648 633 25 38 493
Source: (South African Cities Network (SACN) 2006)
The table above indicates the overall strong position of Johannesburg, and the
relative huge gap between the top four cities (Johannesburg, Cape Town, eThekwini,
Tshwane) and the bottom three cities (Mangaung, Buffalo City, Msunduzi). The three
cities with the largest populations are Johannesburg, Cape Town and eThekwini.
Johannesburg’s economy is significantly the largest, while Cape Town and
eThekwini are second. Johannesburg is the clear leader by GDP per person,
followed by Tshwane. Mangaung has a GDP per resident that is about equal to the
national average, while Msunduzi has a lower GDP per resident than the national
average (DCoG (2) 2011:3).
In the DCoG (2) (2011:4) it is stated that SA’s nine largest cities (Msunduzi however
does not yet have metro status) collectively account for 39% of the national
population and 63% of the national economic product. These datasets are broken
down into the following nine financial indicators: (in the Guide to the State of City
Finances (GSCF) in DCoG (2) 2011:4): Revenue, expenditure, operating surplus,
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debtors, remuneration costs, funding of capital expenditure, capital expenditure,
liabilities and cash position.
The DCoG (2) (2011:9) indicates that the challenges faced by the metros are that the
financial position of city governments was strong in 2006, but they had come under
increasing financial pressure by 2010. Some of the reasons for this are highlighted in
the GSCF Report (in DCoG (2) 2011:4:
Households and businesses struggled to pay municipal accounts due to
rising bulk supply and remuneration costs. This squeezed operating
margins and eroded cash balances.
The recent surge in infrastructure spending has contributed to fiscal strain
in some cities.
Deficiencies in the intergovernmental fiscal framework have put city
governments at a disadvantage, which accounts for at least part of the
financial challenge they face.
Cities carry responsibility for unfunded mandates of 3 to 4% of their
operating revenues, significant amounts that put additional pressure on
municipal finances.
Other factors placing strain on city governments include city housing
programmes, the need for effective infrastructure asset management
plans, and the implications of climate change and other environmental
considerations.
Estimated expenditure requirements, taking projected population and
economic growth into account, along with the devolution of public transport
and housing functions to the cities; make it clear that cities’ fiscal capacity
will not be able to sustain the necessary expenditure. The fiscal gap is
both real and large (30 to 50% of city operating revenues).
The DCoG (2) (2011:9) states that the solutions that city governments will need to
work on to improve their financial position are:
Higher collection rates.
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Reduced under-billing.
Increasing tax and tariff rates in excess of the inflation rate.
Greater use of development charges.
Achieving expenditure efficiencies.
Despite these efforts, a significant fiscal gap will remain. This gap will need to be
closed with a new city revenue source, rather than additional grant funding. The local
business tax currently under consideration by five of the metros could be part of this
solution (DCoG (2) 2011:10).
Improving the management of city finances in itself would however not be enough to
take city governance forward. As found in the GSCF Report, the developmental
vision of metro government should be renewed to ensure that cities invest in
productive capabilities and active citizens, instead of welfare and consumerism.
Metro government must also be stabilised and trust restored through management
systems and political and ethical procedures that are in order. Finally, metros should
do more to reshape and reconfigure cities, through the promotion of integration and
densification, as well as taking advantage of devolution of housing and transport
(DCoG (2) 2011:10).
Other examples of what a city such as Johannesburg is grappling with are
(www.joburg-archive.co.za 2011:29):
Illiteracy rates have decreased over the last ten years and substantial
progress has been made regarding matric (currently National Certificate).
However, the total share of persons with matric, bachelors and
postgraduate degrees are extremely low when compared with other cities.
The schooling system is producing matriculants with low numeracy and
reading skills. Literacy levels measured as those above 20 years having
completed grade 7 or higher, are 87.3% compared to the national average
of 73.7%. This improved from 86.6% in 2005. The greatest proportion of
the population with no schooling is among Africans (4.3%) and the least
among whites (0.4%). Analogically, the greatest population with a degree
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or higher qualification is whites (30.5%) and the least Africans (4.1%)
(www.joburg-archive.co.za 2011:29).
In SA, more adults of working age are unemployed than employed –
labour force participation rates are among the lowest in the world at 54%
and labour absorption rates are 40.5% (meaning that 60% of 15 to 64
year-olds are not working, some because they are at school or university).
But between 7 to 11 million more adults could be working or working full-
time. The formal sector only employs about 10 million out of 31 million of
those in this age group. The official unemployment rate in SA is about
25%. By comparison, in Brazil the unemployment rate (narrow definition) is
6.2%, Russia 6.6%, India 10.7% and China 9.6%. Each year, about
300,000 adults joins the pool of low skilled and low level literate South
Africans. This group has few prospects of ever becoming employed, and
join a rough estimate of South Africans who would like to work and are
able to work, but who have never had a job, which comprises of
approximately 3 million people. At current rates about 6 million people over
the age of 25 will never have had a job since 1994, by 2020 (www.joburg-
archive.co.za 2011:29).
The City of Johannesburg, with its diversity of people, its diversity of
languages and its diversity of faiths – has a lot of bridges to build through
its governance structures, levers and processes and also needs to
contribute to nation building and social cohesion (www.joburg-
archive.co.za 2011:29).
Tshangana (2010:12) states that: “In urban areas the poor continue to struggle to
access well located land. Secondary residential property markets are also
constrained from functioning effectively in black townships. Recent research
supported by the South African Cities Network (SACN) and Urban Landmark has
investigated how municipal property rates policies are or could be used to promote
access by the poor to urban land markets “...The Municipal Property Rates Act of
2004, explicitly incorporates a pro-poor objective alongside its fiscal goals and
allowed municipalities to explore approaches which seek to balance municipal
revenue concerns with pro-poor policy intentions” (Tshangana 2010:12).
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The important role played by cities (both metropolitan and secondary cities), requires
a more direct interface between national government and cities to ensure that urban
issues that impact on national policy are addressed (DCoG 2011:36).
5.7.5.2 Secondary cities
The National Treasury identified some local municipalities as secondary cities, using
a number of criteria, including: population size, percentage of urban formal houses,
percentage of households with adequate water, own revenue per household per
month and household income profile. The MDB Capacity Assessment Reports
classified 31 local municipalities as “type B1 and B2 municipalities” consisting of
large urban areas. With a large and skilled staff these municipalities also perform
nearly all of the most important functions (so-called priority 1 functions). In addition
they mostly perform the district functions as well and function in practice as stand-
alone municipalities (DCoG 2011:37).
Secondary cities are local municipalities classified as B1 municipalities with the
largest budgets (B1 as previously discussed in the MIIF classification) (DCoG (3)
2012:5).
According to the DCoG (2011:8) secondary cities and some metros are not
performing as well as they could, given their better position of access to financial and
human resources. This seems to indicate that governance issues are the underlying
cause of poor financial management in these cases (e.g. Msunduzi, Madibeng) thus
much stronger emphasis should be placed on good governance in conjunction with
financial management.
More information can be found on B3 and B4 municipalities under section 4.7.5.4.
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5.7.5.3 Districts
The DCoG: RWP (2011:10) indicates that the White Paper of 1998 set the scene for
a two-tiered local governance system outside of metropolitan areas. The role of
district municipalities, as it appeared in the White Paper centred around six themes:
coordinating planning and development activities of local municipalities in
the district;
bulk supply of services to municipalities;
supporting local municipalities;
redistributing resources;
directly governing district management areas; and
as focal points for area-based intergovernmental planning, budgeting and
practice.
The practice of district government shows a picture that does not coincide with the
vision. There are poor relations between district municipalities and large local
municipalities in their jurisdiction. The envisaged service provision role of district
municipalities does not reflect the reality (DCoG 2011:37). “The role and place of
district municipalities have been questioned, not least because their functioning has
been fraught with confusion, conflicts and uncertainty. More than half of the districts
are not performing the functions prescribed in the Municipal Structures Act of 1998;
strong local municipalities are still executing the core functions of water, sanitation,
electricity and health services. The redistributive function of districts has been
undercut by the repeal of the Regional Services Council (RSC) and Joint Services
Board (JSB) levies as from 1 July 2006” (Steytler 2011:14).
“The future of districts was on the agenda of the African National Congress (ANC)
Summit on Provincial and Local Government held in December 2010. The summit
resolved that a presidential commission should be appointed to revisit the future of
provinces and districts”…“district councils should obviously, in the first place, perform
the task at hand. This could be done better if local councils took districts seriously by
electing their leadership onto the district councils and taking charge of those
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councils. Where districts are not water authorities, this would at least facilitate the
coordination and alignment of integrated development across a district” (Steytler
2011:15) 22 out of the 44 districts (50%) have been identified by Parliament for
targeted support in the 2012/2013 financial year. Of these 5 are in the Eastern Cape:
Alfred Nzo DM; OR Tambo DM; Chris Hani DM; Joe Gqabi DM (formerly
Ukhahlamba) and Amathole DM; nine are in KZN: Zululand DM; Amajuba DM;
uThukela DM; Ugu DM; uMzinyathi DM; uMhkanyakude DM; iLembe DM; uThungulu
DM and Sisonke DM; four in Limpopo: Greater Sekhukhune DM; Capricorn DM;
Vhembe DM; Mopani DM; one in Mpumalanga: Ehlanzeni DM; two in North West:
Ngaka Modiri Molema DM; Dr Ruth Segomotsi Mompati DM and one in the Northern
Cape: John Taolo Gaetsewe DM (formerly Kgalagadi).
Thornhill (2009:40-41) wrote that especially district municipalities are under extreme
pressure regarding the availability of municipal employees to render services. In
local municipalities (urban areas) the situation has improved significantly since 2002,
but in the case of district municipalities the employee household relationship has
decreased. Thus a danger sign is visible regarding the municipal sphere’s capacity
to increase its responsibilities as required in a developmental state.
A comparative perspective points to some of the reasons for the failure in SA’s
districts. In contrast to SA in most countries the two-tier system coincides with the
urban-rural divide. In the rural areas the second tier functions are typically limited to
providing area-wide bulk services (with economies of scale) rendering assistance to
a large number of smaller municipalities. The second example is the remuneration of
councillors, where SA markedly, from 11 countries, is the only country that pays its
councillors a salary, which could be understood in the context of work creation. Dr
Yonatan Fessha (in Steytler, 2009:7) stated that many African states are or appear
to be considering the transfer of political, financial and administrative responsibilities
to local government. Johann Mettler of SALGA (in Steytler 2009:7) notes that the SA
local government has become the envy of other African countries most of which
have no local government as such but merely local authorities whose powers are
generally determined by and subject to the whims of national government (Steytler
2009:7).
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5.7.5.4 Local municipalities
There are 226 local municipalities (including secondary cities) operational as
functional urban areas (DCoG 2011:37).
In contrast to ‘B1’ and B2’ municipalities so-called ‘B3’ and ‘B4’ municipalities,
located mainly in the former homelands, have been struggling to perform their
mandate. They operate small budgets, are mainly reliant on transfers for income,
have small staff complements and, on the whole, perform few functions. They were
newly formed in 2000, in predominantly traditional authority areas with no
established towns or formalised urban centres. They are concentrated in KZN,
Eastern Cape, Northern Cape and Limpopo. Free State, North West, Mpumalanga,
and Western Cape also host some rural (mostly B3) municipalities (DCoG (3)
2011:2). Often, more than one of these poorly performing municipalities is located
within a single district. In most of these municipalities the districts are providing the
core services of water and sanitation. A part of the problem is skills shortages in the
rural areas, the continuity of staff and retention of skills in the long-term (DCoG
2011:38).
Mubangizi (2009:156) states that a crucial problem with regard to ‘rural-based’
municipalities is that local government institutions are viewed as the main drivers to
achieve the developmental ideals expressed in the Constitution. Yet, as many
authors have pointed out, in rural areas, local government is often ill equipped to
handle developmental challenges (Ntsebeza 2006; Davids 2003 and Mubangizi 2008
in Mubangizi 2009:156). The following examples serve to highlight the
aforementioned statement (Mubangizi 2009:156-158):
The Inquza Hill Local Municipality, a rural-based municipality is one of
seven local municipalities under the OR Tambo District Municipality that
traverses the town of Umtata. The OR Tambo District Municipality is the
poorest in the Eastern Cape Province – the poorest of SA’s nine
provinces. The municipality faces enormous challenges relating to
infrastructure backlogs, as well as high levels of poverty and
underdevelopment. This municipality’s ability to raise its own revenue is
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greatly compromised, given the fact that most of its citizens fall in the low-
or non-income bracket. For this reason, 83% of OR Tambo Municipality’s
operating and capital budget comes from the National and Provincial
Government in the form of grants. A mere 17% of revenue is generated
from within the council.
Van Zyl (in NERSA 2008) reported that financial woes in the Makhado
Municipality were due to a HR skills shortage within the council.
Subsequently, the council officially admitted that it had been operating
without a Chief Financial Officer for three years. Furthermore, an audit
conducted by the National Electricity Regulator of South Africa (NERSA)
reported that the skills shortage was a key issue in the electricity supply
crisis that hit the country in 2007. The audit pointed out that the skills
shortage resulted in “poor management of resources and loss of control
over essential elements” (Van Zyl in NERSA 2008:22-23).
There are disparities between the resources available to municipalities, which
influence municipal capability. As a result, some municipalities experience serious
infrastructural backlogs and are therefore unable to provide their communities with
quality services. Many rural municipalities fall at the lower end of the capability
spectrum (Mubangizi 2009:158).
In 2012, the Ministry for CoGTA verified up to 132 municipalities from all provinces
that needed targeted support to continue the LGTAS that was initiated in 2009.
5.7.6 Differentiation and institutional systems
The differing municipal realities show the anomaly of enforcing a governance
framework that applies uniformly to cities, small towns and remote and rural areas
when in reality they are very different places with different needs and capacities.
The impact of both economic growth and migration on municipalities since 1994, as
well as the performance outcomes of different municipalities, requires a thorough
rethink on how municipalities are categorised and the concomitant powers and
functions that are necessary for them to become efficient municipal institutions
(DCoG: RWP 2011:89).
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The distinct differences in capacities and institutional context within the 283 (now
278) municipalities mean that they have not all been able to pass through the phases
of establishment, consolidation and sustainability at the same rate or within an even
playing field. It follows that some of these municipalities are seriously challenged to
fulfil their obligations. This calls for the consideration of a differentiated approach to
improve institutional systems at municipal level (DCoG: RWP 2011:85).
The DCoG’s Review of the RWP on Local Government (2011:10) states that a
differentiated approach to improve institutional systems at a municipal level
requires a model which would fully consider the implications for support, funding,
planning and service delivery. There is especially a need to prioritise institutional,
service delivery and economic development support to the high growth cities
and city-regions and the high-density settlement areas of the former homelands with
large and growing populations but little economic activity and high rates of poverty.
The differentiated approach to institutional systems of local government can be
applied on the level of segmentation of municipalities to ensure more equitable
support to poor rural municipalities and assigning powers and functions in a
sustainable fashion, and also at the level of municipal technical support (including
planning, infrastructure delivery and operations, funding and financial strategies for
infrastructure) improved through a guiding framework taking into account the unique
circumstances of municipalities (DCoG: RWP 2011:96-97).
5.7.7 Differentiation and Local Economic Development (LED)
Jarbandhan and Viljoen (2009:109-110) borrow from Simpson (2002:2) stating that
LED is a process that influences the prosperity of a local area and its community by
using the community’s existing resource base in a variety of ways to foster economic
development.
The DCoG: RWP (2011:70-71) states that the analysis of the space economy shows
that different spatial areas require different institutional responses to their economic
development challenges across national, provincial and local government.
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In each local area unique challenges are linked to land utilisation, infrastructure and
service backlogs, maintenance of infrastructure, protecting and maintaining
biodiversity and uplifting the skills and capabilities of people. To bring about
sustainable economic development and to maximise the potential of the local area it
is necessary to ensure linkages to adjacent local economic spaces. Local initiative,
energy, creativity, assertive leadership and skills will ultimately unlock the latent
potential in local economies and will shape local spaces (DCoG: RWP 2011:71).
The problem is that most of the LED initiatives focus on the growth of economic
activities which create small numbers of jobs for the skilled labour force of the first
(formal) economy. Only a few LED initiatives focus on the second (informal)
economy with its poor economic infrastructure and masses of unemployed and low-
skilled labour. This problem has led to a change in the focus of LED to a ‘pro-poor’
approach. The pro-poor approach requires that LED initiatives become more
development orientated and focused on the poor (Jarbandhan and Viljoen
2009:110).
Jarbandhan and Viljoen (2009:111) say that while municipalities proclaim that their
LED strategies are pro-poor, independent studies suggest otherwise (Nel and
Goldman 2005:2; Parahanse and Goldman 2006:2 in Jarbandhan and Viljoen
2009:110). Most research fails to explain why municipalities struggle to implement
and sustain LED initiatives aimed at the poor. Several research findings show that
the destitute generally do not become involved in LED initiatives, and do not take
ownership of these LED initiatives.
Jarbandhan and Viljoen (2009:114) argue that it is clear that local government’s
challenge is to generate innovative LED initiatives that will not only contribute
towards high economic growth rates, but that will also create jobs and reduce
poverty. In terms of pro-poor LED, local governments can stimulate local economic
development to create jobs, increase well-being and achieve economic growth by
various means. Municipalities are in a position to ensure the provision of services in
a manner that supports LED. The provision of efficient, effective and well-integrated
infrastructure is known to have the effect of stimulating the development of small
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businesses and especially of those working in the second (informal) economy (Nel
and Goldman 2005:9 in Jarbandhan and Viljoen 2009:114).
Jarbandhan and Viljoen (2009:114) contend that the manner in which a municipality
conducts its business also affects black economic development (BED). Affirmative
procurement policies can stimulate the development of small, medium and micro
enterprises (SMMEs) that enhance BED (Nel and Goldman 2005:41 in Jarbandhan
and Viljoen 2009:114). Municipalities can also support LED through the direct
provision of economic services such as business hives, marketing and training
(DPLG 2005:2 in Jarbandhan and Viljoen 2009:114). It is assumed that direct
intervention at the local level is aimed at providing training to, and jobs for, the poor.
This was not the case as infrastructure development was seen as a priority. For this
reason, the shift from a pro-growth to a pro-poor approach together with an
increasing number of pro-poor LED strategies and interventions did not adequately
address the problem of high unemployment and rising levels of poverty (Parahanse
and Goldman 2006:2 in Jarbandhan and Viljoen 2009:114).
High unemployment can be addressed by community-based service providers or
municipal service delivery to strengthen government’s job creation priority if there is
no legal impediment. If the CBO’s are to provide municipal services, then sections 77
and 78 of the MSA potentially apply, and the appointment must be in terms of a
written agreement. Because CBOs are not organs of state, municipalities cannot
contract directly with them and proper procurement processes must be followed. If
informal arrangements are, however, used, there are potential difficulties with regard
to payments made to community members who are not employees of the
municipality. Given the importance attached to community-based service provision
and job creation, it is recommended that legislation be amended to enable
municipalities to increasingly use CBOs and cooperatives (DCoG RWP 2011:90-91).
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Obstacles relating to LED at national government level according to Jarbandhan
and Viljoen (2009:119-120) are:
the non-availability of a dedicated national fund for pro-poor LED
initiatives; and
insufficient sustainable financial support from national government to
sustain pro-poor initiatives in the longer term.
The obstacles at municipal level include insufficient capacity or insufficiently skilled
staff at municipal level to initiate, plan and implement pro-poor LED initiatives, the
lack of quality project management, technical, social and financial competence skills,
and the lack of a dedicated implementation team (Jarbandhan and Viljoen,
2009:122).
In promoting the local economy, the primary focus of municipalities should be on the
following aspects (DCoG: RWP 2011:90):
Provision of infrastructure and quality and reliable services.
Managing spatial policies.
Land-use regulation and development applications.
Managing service tariff policies.
Managing a progressive property tax system.
Marketing of the area.
The differentiated approach towards LED must come into play, dealing with
different strategies for urban innovation and in-migration, as opposed to legacy
issues and economic decline in certain parts of the country. In line with emerging
thinking regarding differentiated approaches to governance and planning
responsibilities, a more geographically differentiated approach to LED will also
delineate more clearly the gap between the systemic competitiveness approach
driven in large cities, and LED activities in small towns or poorer municipalities
(DCoG: RWP 2011:71-73).
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Alongside the above, is the important aspect of regulating and implementing the
compliance of land use, health and the environmental regulations. There is a need to
ensure that these processes of regulation are administered in a way that does not
impair business start-up and growth and inhibit job creation (DCoG: RWP 2011:90).
Locally owned appropriate solutions and strategies must emerge to support national
frameworks in both rural and urban local spaces and should promote sustainable
development and sustainable human settlements. The crucial capacity required is
the ability across government to understand local economies better and to identify
opportunities for growth. This includes a range of possibilities to improve
downstream beneficiation, linkage between areas in terms of inputs and
manufactured product, and possibilities to enhance the local content in high value
added finished products. For example, it may be possible that mining areas currently
in decline are able to supply the raw materials for the automobile industry that
currently come from overseas. Inward investment from the State or private sector will
only be effective where the potential and competitive advantages of each area are
known and exploited (DCoG: RWP 2011:71). A proactive LED strategy may thus
enhance the capacity of developmental local government by ensuring social and
economic prosperity for all South Africans (Jarbandhan and Viljoen 2009:130).
5.7.8 Differentiation and capacity challenges
As was made clear in Chapter Two, capacity challenges can be found across the
spectrum of the powers and functions allocated to local government. In this thesis
two categories are used to distinguish stakeholder groupings: generic and sector
specific. Generic makes reference to CoGTA, LGSETA and MDB of which the first
two address capacity challenges (local government is the sector that is their
mandate). Sector-specific, in consultation with the DCoG refers to the specific
mandates, thus, the information following does not cover capacity challenges across
all municipal powers and functions but gives an idea of the complexity and diversity
of the capacity challenges, e.g. the National Treasury (finance, supply chain
management and internal audit) and the DWAF and Department of Environmental
Affairs (occupations specific to water and environmental matters) that address
occupation-specific capacity challenges.
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5.7.8.1 Generic capacity challenges
The following generic capacity challenges can be found across the spectrum of the
powers and functions allocated to local government.
CoGTAs challenges
In the State of Local Government in SA Report (COGTA 2009), an analysis of the
staffing structure of key departments within the country’s local government sector
revealed a widespread lack of senior skills and experience. Specific skills shortages
highlighted by the report include economic specialists, project managers, spatial
planners and engineers (CoGTA 2009:20-21 in Mubangizi 2009:158). CoGTA is
currently engaged in various policy formulations to address these, e.g. the:
Municipal Systems Amendment Act’s Regulations for Section 56 and 54A
Managers.
Green Paper on Cooperative Governance.
MFD.
Framework on Powers and Functions.
Bill to address Monitoring and Support of Provinces and Municipalities.
To date, nine baseline provincial competence assessment reports and one national
report for Sections 56 and 54A and five provincial skills audit reports for staff below
Section 56 (excluding metros) are available from the local government skills audit
that was conducted from 2007 to 2010. The skills audit focused on municipal
individual capacity and was in consultation with LGSETA, SALGA, IMATU and
SAMWU. In view of it being five years down the line, a communication has been sent
to municipalities to inform them of the monitoring from 1 April 2013 of the review of
PDPs for those staff who took part in the baseline skills audit and to ensure that a
skills audit has been conducted for newly appointed staff.
The approach used for the skills audit was very comprehensive, e.g. linking a
competence profile to every post and evaluating the staff in the post against those
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benchmarks and was thus easier for smaller municipalities to conduct than metros
which had to use a phased approach, i.e. per functional unit. Also, more
comprehensive support was provided to smaller municipalities and there were some
challenges presented by the service provider very late in the process.
Thus, most metros have not yet completed the skills audit that commenced in 2009
due to various challenges, amongst others:
Wanting to export information from their HR systems to the GAPSKILL
(Web based skills audit tool used for the skills audit) but many times
finding either that the information they needed was not captured or that the
information was spread across various ‘modules’ of their HR system.
Poor support from management to conduct the skills audit.
Staff being exposed to too many skills audits (not in the true sense of the
word) with nothing substantial coming from previous actions.
To ensure effective infrastructure planning and provisioning to ensure
improved access to essential services a Special Purpose Vehicle (SPV)
was proposed and is being put in place but has been renamed the MISA
which will provide specialised technical support to municipalities.
The CoGTA’s (2011:1) simplified IDPs are focused on smaller municipalities with
corresponding revenue and support plans. It is expected that the simplified IDPs will
help focus the work of municipalities towards achieving or addressing national
priorities and targets that are articulated in the Delivery Agreement for Outcome 9 “A
Responsive, accountable, effective and efficient local government system” and the
State of the Nation Address. In this regard, the main focus of the simplified IDP will
be to deliver on the ten critical services that are identified below. The following
principles have guided the identification of the critical services that must be part of
simplified IDPs for smaller municipalities (CoGTA 2011:1-2):
Intensify local government efforts towards achieving Millennium
Development Goals (MDG).
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Encourage smaller municipalities to utilise national fiscal transfers and
own revenue to achieve and address national priorities.
Encourage smaller municipalities to provide services that would contribute
towards achieving the following outcomes:
social cohesion
safe and secure environments
economic viability (mobility of people, goods and services).
The recommended ten critical services for simplified IDPs are presented in the
following Table 5.3 (CoGTA 2011:2):
Table 5.3: Recommended ten critical services for simplified IDPs
Municipal Service Description Rationale / Criteria
Electricity and Gas Reticulation
Grid (Eskom) and non grid (Solar energy: solar panels)
Contribute to the achievement of MDGs (by 2010 all people will have access to electricity)
Municipal Planning Process that articulates the municipality’s vision, outlines plans to guide resource allocations to achieve community needs
Provides a platform for better planning, resources allocation and project execution
Roads and Storm Water Management Systems
Municipal Internal Roads: Access: Tarred roads Distributor: Paving, Periodic re-grading
Overall improvement in the mobility of people, goods and services. Improvement of access roads through filling of potholes (National Priority – State of the National Address (SONA)
Water and Sanitation Water: Yard connection Sanitation: VIP/RDP standard
Contribute to the creation of a healthy environment
Cemeteries Maintenance of cemeteries. Fencing
Most cemeteries in rural areas are under maintained and there are complaints
Cleansing Cleaning of streets and public spaces and facilities
Contribute to safe and healthy environments
Local Amenities Provision and maintenance of parks. Provision and maintenance of sports fields
Promotion of social cohesion and sports development
Refuse removal, refuse dumps and waste disposal
Removal of refuse at kerb site Contribute to safe and healthy environments
Street lighting Mass lighting Contribute to safety and security
Source: (CoGTA 2011:2)
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The LGSETAs challenges
The LGSETA’s WSP Analysis 2011/2012’ presentation to the NMCCMC in February
2010 (2012:1) informs that in terms of the Skills Development Act of 1998 and the
Skills Development Levies Act of 1997 all municipalities must pay skills
development levies (i.e. 1% per municipal payroll) to the SA Revenue Services
(SARS). SARS allocates the skills levy for the sector to the LGSETA, for
disbursement to the sector – either as mandatory grant (50% of 1%) or as
discretionary grant (20% of 1%). The mandatory grant is utilised to support training
identified by municipalities on their WSPs while the discretionary grant is allocated at
the discretion of the SETA to support sector priority areas. The LGSETA has
disbursed more than R1bn to municipalities as mandatory grants from 2007 to 2012.
Municipalities have to submit the WSP and Annual Training Report (ATR) to the
LGSETA annually on 30 June. A WSP should be viewed as a key strategic
document for a municipality. Training planned for employees should assist the
municipality to achieve its IDP objectives and key performance objectives. Training
should contribute to the municipalities’ ability to fulfil municipal functions as
designated by the Constitution (LGSETA 2012:2). In this regard see Table 5.4 on
training planned for 2011 to 2012 versus training conducted in 2010 to 2011.
Training should support individual career pathing, career development and
performance management. Training should support employment equity objectives
(re. the municipal employment equity plan). Training should develop “a skilled and
capable work force supporting an effective, efficient, accountable and responsive
local government system” (LGSETA 2012:3).
The LGSETA (2012:4) states that it has a high submission rate of WSPs from the
sector. See Table 5.5 entitled ‘WSP Compliance’. Upon receipt of WSP/ATRs, they
are evaluated according to set criteria (criteria are loosely based on the preceding
paragraphs). The evaluation is conducted by provincial teams and analysed
according to the category of planned training (based on the municipal KPAs with the
LGSETA’s specific adaptations). A comprehensive written report is provided to each
municipality, and a provincial report is developed.
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Table 5.4: WSP compliance rates
Province No. of municipalities
No. of employees No. of training completed
HRD Policy WSP signed/ approved
Gauteng 12 62 196 9 7 5
Limpopo 30 14 121 28 18 26
Mpumalanga 21 13 471 18 12 15
Kzn 61 42 859 31 32 39
W Cape 30 45 671 30 23 22
North West 23 10 972 16 13 10
N Cape 32 7 413 31 13 26
F State 24 11 220 23 12 17
E Cape 45 27 692 43 29 27
TOTAL 278 235 615 229 159 187
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Table 5.5: Local Government facts and figures: Training Planned 2011/ 2012 vs. Conducted 2010 / 2011
Province Infrastructure/ service delivery
Financial and Admin viability
Community participation and planning
Management and leadership
ABET Workplace training systems
Non Priority training
GP 3027 2831 3504 2532 916 9625 12701
LMP 1491 638 786 1090 850 2175 1474
MPM 1686 785 940 706 237 1451 3923
WC 4564 1451 4958 7163 1798 6548 14792
NW 1309 1366 1039 640 497 1390 3512
NC 739 503 1132 401 213 292 1457
FS 1561 711 1586 718 1154 966 2394
EC 1982 2895 2774 2679 1301 3426 4858
KZN 1819 1623 2298 2666 1065 2060 14428
TOTAL Priority Actually conducted TOTAL conducted
18 178 6077
12 803 5718
19 017 6456
18 598 8438
8 031 3603
27 933 104560 19456 47748
59 539 35601
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Sector departments like Water Affairs (WA) have also evaluated the WSPs and are
putting processes in place to improve occupational-specific inputs.
The MDBs challenges
The Report on the Adjustment of Powers and Functions based on the 2008/09
Municipal Capacity Assessment (2008:2) states that in line with the requirements in
the Municipal Structures Act, the MDB has undertaken an annual assessment of
municipal capacity since 1999. In the early years, the assessment was focused on
informing the preparation of municipal boundaries. However, the importance of the
adjustments that were implemented on 1 July 2003 required the Board to develop a
questionnaire and rigorous process for the capacity assessment in 2002. The
approach and a slightly modified questionnaire have since been consistently
applied by the MDB. There is now a comparable database that reflects municipal
capacity levels of district and local municipalities over a seven year period.
In the report submitted to the MECs for Local Government by the MDB in
December 2008, recommendations were made for the reversal of 56 function
adjustments made from the local to district municipalities (MDB 2009:16-17):
Fire Fighting – 10 local municipalities
Licensing and control of undertakings that sell food to the public - 8 local
municipalities
Local tourism - 7 local municipalities
Building regulations - 5 local municipalities
Refuse removal, refuse dumps and solid waste disposal - 5 local
municipalities
Storm water - 4 local municipalities
Municipal abattoirs - 3 local municipalities
Municipal planning - 3 local municipalities
Municipal roads - 3 local municipalities
Local amenities - 2 local municipalities
Billboards and the display of advertisements in public places - 1 local
municipality
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Child care facilities - 1 local municipality
Cleansing - 1 local municipality
Control of public nuisance - 1 local municipality
Control of undertakings that sell liquor to the public - 1 local municipality
Local sport facilities - 1 local municipality.
No new local to district adjustments were recommended by the MDB to the MECs
based on the 2008/09 municipal capacity assessment. No instances were found in
which a district municipality demonstrated substantially more capacity for a function
than a local municipality within its area of jurisdiction (MDB 2009:17).
5.7.8.2 Sector-specific capacity challenges
The following sector-specific capacity challenges can be found across the spectrum
of the powers and functions allocated to local government.
The National Treasury
On 1 September 2011 the fourth quarter local government budget statement was
released by the National Treasury. The statement covers revenue and expenditure
for the 12 months of the 2010/11 financial year, which ended on 30 June 2011, as
well as information on the spending of local government conditional grants. The
National Treasury publishes this information in terms of Section 71 of the MFMA of
2003, and in terms of Section 30(3) of the 2010 DORA of 2010 (DCoG 2011:1). The
budgeted figures are based on 2010/11 adjusted budgets approved by municipal
councils. A huge achievement of this report is that all municipalities submitted their
information. According to the National Treasury the purpose of the release of the
information is to enable “provincial and national government to exercise oversight
over municipalities and identify possible problems in implementing municipal
budgets and conditional grants” (DCoG 2011:1). It can thus indicate capacity
challenges .
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The National Treasury concludes that (DCoG 2011:7-8):
Underspending of budgets is still the most notable trend, with 77.4% of
all municipalities not able to spend their total budgets (compared to 62%
in 2008/9).
In the case of capital expenditure, 79.5% of all municipalities are
underspending (compared to 64% in 2008/9). Poor capital budget
expenditure is one of the main trends. The National Treasury has
expressed concern over the fact that municipalities are relying more on
government grants for infrastructure expenditure. Municipalities are using
less and less of their own money for infrastructure development.
Municipalities are using their own money to finance their operating
budget. The major part of the operating budget towards which
municipalities’ own funds are increasingly being applied, is staff costs.
The National Treasury is worried that municipalities are setting aside less
money for repairs to and maintenance of infrastructure. The
consequences are not evident in the short term and these types of
savings are less “politically sensitive” than cancelling capital projects or
cutting entertainment expenses. In the long run both service delivery and
the local authority’s ability to earn money from service delivery are
impaired.
Due to poor expenditure by municipalities, revenue is still outstripping
expenditure, despite the economic slowdown. Municipalities’ cash flow
situations have improved from previous quarters, largely as a result of
significant under expenditure of both their operating and capital budgets.
There is increasing municipal consumer debt, with amounts over 90
days outstanding increasing. The MoF indicated at the release of the
Local Government Budgets and Spending Review for 2011, that much of
the debt of municipalities is older than 90-days making it significantly
more difficult to collect. This implies that much of the older debt of
municipalities would have to be written off by municipalities. The
outstanding debt to municipalities increased by 10% since December
2010.
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Municipalities in the Free State, North West and Limpopo are
experiencing challenges with paying their creditors on time, due to
serious cash flow problems.
Underlying the poor match between budgets and resulting revenue and
expenditure reflected in the Section 71 Report, is the question of the
inability of most municipalities to budget correctly. This leads to budgets
that are not credible and the continuing trends of missed targets. The
National Treasury found that 90 of the 283 (now 278) municipal budgets
for 2010/11 were apparently insufficiently funded. In the case of 70 there
was too little information for evaluation. According to the National
Treasury if a budget is insufficiently financed, it is not a credible budget -
the revenue projection could be unrealistic, the operational expenditure
too high or the capital budget too ambitious (DCoG 2011:8-10).
The Blue Drop Report
DCoG (3) (2012:6) informs that a score above 95 qualifies a water system and
water services authority with a Blue Drop award. A total of 14 municipalities have
been warned about the safety of their drinking water (DCoG (3) 2012:4).
Provincially, Mpumalanga as a province suffers from capacity shortfall in water
management. Given that most metros scored above 90 it can be argued that water
management in these municipalities is generally well run. Among secondary cities,
10 of the 19 achieved scores above 95. This indicates excellent water quality
management in most secondary cities. In the category of rural municipalities the
2012 Blue Drop scores range from 22.70 to 93.45. As a result, no rural district
municipality qualified for a Blue Drop award (DCoG (3) 2012:6).
At the launch of the 2012 Blue Drop report the Minister of Water Affairs stated that
the report shows significant improvements which serves as evidence of the positive
impact this incentive-based regulation approach is having on the South African
water sector (DCoG (3) 2012:6). The Minister further stated that the first Blue Drop
report of 2009 indicated that the national microbiological compliance for South
African tap water was measured at 93.3% against the National Standards (SANS)
and this has increased to 97.3% in the 2012 reporting cycle. According to the
Minister, the water of a town or city which is not given a Blue Drop Certificate, is not
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necessarily unsafe for human consumption. The certificate is awarded as an
acknowledgement of excellent drinking water quality management which surpasses
the requirements of national norms and standards by a significant margin (DCoG
(3) 2012:6-7).
According to DWA the involvement of water boards and the private sector are key
to improving the management of water services. IMATU stated that it is encouraged
by the improvement in the country’s water quality and believes quality drinking
water management should be implemented in all municipalities (DCoG (3) 2012:7).
Environmental affairs
Fourie and Müller (2011:89) indicate that SA boasts one of the world’s richest and
most diverse natural landscapes and is world renowned for its biodiversity. The
Cape Floristic Region (CFR), in particular, is the world’s sixth and smallest floral
kingdom and the only one housed within the confines of a single country and
predominantly within the Western Cape Province. There are more than 9 000 plant
species in this region, which is half of SA’s total biodiversity in only 4% of the
country’s surface area. This region is considered as one of the world’s 25 most
threatened biodiversity hotspots, with 2 400 species considered threatened and
another 300 species critically endangered. Most of the priority areas fall outside of
existing statutorily protected areas and are mostly on privately owned land.
The shift in terminology from ‘government’ to ‘governance’ signified, according to
Salamon (2002:8 in Fourie and Müller 2011:89), the central reality of public problem
solving, that is the reliance of government on third parties to address public
problems. Although the Government plays an important role with regards to natural
resource management policy formulation and implementation, an increasing
amount of evidence shows the failure of state-centric resource management
models (Hara in Fourie and Müller 2011:89). The search for solutions led to a
proliferation of tools of public action and of instruments or means used to address
public problems, as well as to the realignment of relationships between the
regulators and the resource users (Fourie and Müller 2011:89).
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Fourie and Müller (2011:90) note that as far as realignment of relationships
between the regulators and the resource users goes, one of the promising tools
which has emerged is the co-management approach, which involves a sharing of
management between the State and a responsible user group (Symes 1997:110-
112 in Fourie and Müller 2011:90).
According to Borrini-Feyerabend, Pimbert, Farvar, Kothariand and Renard
(2004:342-344) locally negotiated and implemented co-management agreements
are likely to be ineffectual unless supported by enabling and coherent legislation
and policies. The policy instruments that are of relevance for co-management
extend beyond the regulation of institutional partnerships or the protection of the
environment; they deal rather with ecological sustainability, livelihoods, democratic
and accountable institutions, social justice and equity in the political and economic
arena (Fourie and Müller 2011:90-91).
The indications are that the Conservation Stewardship Programme could provide a
cost-effective and long-term alternative to acquiring land for reserves to expand
protected areas by forming partnerships with landowners and allowing them to
conserve biodiversity on their properties. The programme also successfully
contributes to the national targets for protecting threatened ecosystems and
preserving the diversity of natural systems, while providing social, political,
economic and environmental benefits (Fourie and Müller 2011:91).
The introduction of voluntary agreements, as one of the newer non-regulatory policy
instruments (at least in SA) and incorporating the principles and characteristics of
co-management, signifies a paradigm shift in the governance approach of public
agencies to biodiversity conservation. The project has successfully changed the
way in which conservation agencies function; it has attracted a new generation of
committed conservation professionals, who operate in an extensive network of
support and unity from the top down to grassroots level – the biggest advantage is
that it secures a platform for a significant attempt to meet the extensive
conservation targets set for the Western Cape Province in SA (Fourie and Müller
2011:100-101).
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As noted above performance is measured to determine capacity challenges and
that capacity varies. The National Treasury and the DWA, as sector departments,
are some of the few which work closely with CoGTA that have put in place
comprehensive programmes to address the challenges they have identified, e.g. in
those municipalities that need additional support, other than attending accredited
programmes developed, and the placement of interns, are provided with hands-on
support through experts; these experts were previously with the DBSA’s Siyenza
Manye programme but are now with MISA (skills transfer is the aim of this support).
5.8 The differentiated approach proposed for local government
The DCoG (FDA 2011:3) states that the State of Local Government Assessment of
2009 sets out to explore the root causes of the ‘municipal failures’ that have begun
to dominate the debate on progress in service delivery. It is known that despite
considerable progress with regard to basic service delivery in municipal areas,
there remain significant performance constraints that need urgent response from
government in the face of increasing loss of public confidence in municipal
governance.
The DCoG (DFA 2011:15) also states that a spatially differentiated approach is
premised upon the differences in a municipality’s ability to take control of its
challenges, e.g. those municipalities with less than 30% universal access to water,
sanitation, electricity and refuse removal.
The DCoG (DFA, 2011:17) states that all models of segmentation will have some
areas of discrepancy, anomalies, differences and possible borderline cases. It may
be a process that obfuscates support needs, rather than isolating them for attention.
It therefore might not serve the intended purpose to design an overall segmentation
model. Applying the usage of segmentation, but closely linked to the purpose of the
intervention; might be more useful. Limiting the State’s response to spatial
segmentation without differentiating the response to targeted functions (e.g. weak
delivery of sanitation or refuse removal) may result in inadequate interventions
including the solving of issues related to capacity, management and governance
challenges, in borderline cases within the segmentation model.
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Interventions in these contrasting spatial areas will be coordinated according to the
various priority needs, largely focusing on access to services, with back support
likely in terms of financial and administrative management. The MTAS’s of
municipalities will be assessed in this regard, and all other relevant data that may
be obtained concerning conditions and performance of the municipalities.
The differentiated approach calls for better coordinated and targeted support for
smaller municipalities, whilst simultaneously empowering cities to play a stronger
and more direct role in crucial built environment functions such as the delivery of
housing (DCoG DFA 2011:17).
The DCoG (DFA 2011:26) says there are two major issues that the differentiated
approach will attempt to resolve:
Firstly, government needs to recognise that there is a growing urban
problem of informal settlements with the resulting lack of access to basic
services by the majority of the urban poor. Addressing this challenge
requires government to review the capacity of big cities to deliver and
coordinate their built environment outcomes. This should also
acknowledge that basic service backlogs in these cities are mostly
dependent on the pace of the eradication of informal settlements and the
creation of new human settlements. Integration and coordination
therefore can only occur if it takes place at the point of planning and
implementation by a municipality. This will enable the cities to use
different funding instruments appropriately to address the problem of
housing.
Secondly, there are rural development challenges which are still unsolved
of communities that did not have access to basic services pre-1994.
Most of these communities are found in rural municipalities which on the
one hand face huge backlogs in basic services and on the other hand
lack the requisite capacity to deliver due to various reasons. Most of
these municipalities are also dependent on grants. Clearly, grants to
these municipalities should be well targeted to ensure that the objectives
of government are met, that is, addressing basic service infrastructure in
water, sanitation and electricity, etc.
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In identifying a suitable response from government, the following issues need to be
considered (DCoG: DFA 2011:26-27):
Which of the available interventions will best accelerate service delivery?
o Differently structured equitable share?
o Increased capital funding through MIG?
o Reduced number of functions (simplified IDP)?
o Simplified budgeting processes?
o Direct infrastructure implementation?
o The MISA?
o Hands-on-support through the placement of qualified personnel to
improve the capacity of the municipality (DBSA model)?
o Integrated capacity building?
o Accelerating the LGTAS with is objectives:
Ensure that municipalities meet the basic service needs of communities.
Build clean, effective, efficient, responsive and accountable local
government.
Improve performance and professionalism in municipalities.
Improve national and provincial policy, oversight and support.
Strengthen partnerships between local government, communities and
civil society.
If it is a question of changing the functions, which decisions are required
and how could they be effected to authorise, for example, a municipality
that has to deliver the sanitation function?
What will the implications be if the district no longer has the sanitation
function for a municipality? (Provincial transfers to the local
municipalities?)
Supporting municipalities would encompass the following four trajectories or a
combination of them, and then apply them thematically as per priority need (DCoG:
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DFA 2011:27):
IDP (human settlements):
o Spatial plans.
o Land issues.
o Housing delivery.
Infrastructure delivery and maintenance:
o Water.
o Sanitation.
o Electricity.
o Roads.
o Refuse removal, including waste minimisation and landfill sites.
Financial and administrative support:
o Revenue collection.
o Annual financial statements.
o Budgeting.
o Direct project funding from national fiscus.
o Auditing and Audit committees.
Integrated capacity building, addressing crucial skills shortages in the
areas of:
o Municipal planning.
o Technical operations.
For each of the above trajectories, support interventions, following a
differentiated approach, could inter alia include the following
solutions (DCoG: DFA 2011:28):
Governance interventions (cross-cutting).
Sector-wide capacity development (cross-cutting).
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Municipal capacity support that consists of:
o Grants and equitable share allocations.
o Simplification of planning and reporting requirements.
o Resource support (e.g. shared services; skills attraction and
retention).
o Direct delivery support (MISA; LGTAS).
o Technical support.
o Capacity building through skills development.
o Coordination to support the municipal operations.
The DCoG (DFA 2011:47-48) thus argues that:
Targeted capacity support would enable higher category, better
performing municipalities to manage a clearly defined and coherent
concentration of functional assignments that enable a faster rate of
development and good governance. The weaker municipalities, however,
would be ‘freed’ to concentrate on basic service delivery functions, with
far fewer demands on their limited finances and capacities.
To achieve this, government has to aggregate local municipalities into
some workable number of relatively homogenous categories (segments)
according to needs and then treat these categories (segments) differently
or according to a differentiated approach through targeted support
interventions.
It might not serve the intended purpose to design an overall segmentation
model. Applying the usage of segmentation, but closely linked to the
purpose of the intervention, might be more useful. The DCoG is
proposing the use of a MFD approach, by identifying broad based groups
according
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to needs. Three streams for intervention were identified:
o Planning support, including municipal powers and functions;
o Technical support for infrastructure and service delivery; and
o Financial and administrative support and capacity building.
It is proposed that:
o the DCoG MFD be accepted as step 1 of the differentiation process,
which consists of the two steps –
identification of a broad based group(s) according to needs;
identification of relatively homogeneous groups that will respond to support
interventions in a similar way; and
for the purpose of these two steps, within the “most vulnerable” group further
differentiation be applied functionally according to relevant models such as
the National Treasury, the AG, MIIF, MISA, the blue and green drop models,
etc.
The principle of differentiation is that each municipal area’s unique
circumstances need to be taken into consideration before applying a uniform
fiscal and policy regime, or expecting equitable standards in performance
and service delivery.
5.9 The role of differentiation in support, capacity building and training
The overall approach of the NMCCMC in ensuring that the NCBF is implemented
annually is through the development of capacity building plans by each stakeholder
and then consolidating these at a national level. The generic approach proposed to
stakeholders is to (NCBF: 2012 to 2016:39):
Identify municipalities that will be differentiated for support, capacity
building and training using the MFD.
Develop a next level of segmentation, identify municipalities with
functionality, performance and service delivery challenges and where
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they do not request support, capacity building and training; offer it (using
the transformation continuum).
Predetermine impact to be achieved, plan, coordinate and deliver
differentiated support, capacity building and/or training initiatives and
capture it annually in an integrated support plan (including capacity
building and training), to address gaps / needs / challenges identified.
Evaluate the impact of the support, capacity building and/or training
initiatives quarterly and inform NMCCMC consultations and propose
redress where no progress is being achieved.
Improve municipal functionality, performance and service delivery
through relevant support, capacity building and/or training initiatives.
Follow an exit strategy, e.g. put sustainability committees in place, e.g. in
case of hands-on support.
Share information/good practice.
Compile an impact assessment report annually on those initiatives that
are ready to undergo impact assessments, addressing such aspects as
the correlations between investment and impact, recommendations, and
also indicating when other initiatives’ impact can be assessed.
In view of the fact that the nature of the findings will be unique to each municipality
the integrated support/capacity building plans developed would differ from one
municipality to another. However, there will be initiatives that more than one
municipality could benefit from; due to similarities in their profiles, providing for the
possibility to segment them along specific support areas.
Differentiation can be linked to the transformation continuum contained in the
NCBF: 2012 to 216, e.g. the relevance of initiatives (support, capacity building and
training) to address the gaps/needs/challenges identified (NCBF: 2012 to 2016:58-
59) are captured as follows:
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Table 5.6: The relevance of initiatives (support, capacity building and training)
to address the challenges identified by the NCBF: 2012-2016
Provide maximum, long term support to address more than one gap identified, in an integrated approach
Provide support in various areas required following an integrated approach
Provide support, upon request
Learn from the practices and share with others in the sector
Not yet functional Functional but underachieving and not delivering all its services
Functional, performing and delivering all services
Functionality, performance and delivery of services are above the norm
Establishment
Stabilisation
Consolidation
Sustainability
0 – 25%
26 – 49%
50 – 69%
70 – 100%
Source: (The NCBF: 2012-2016)
A municipality may have moved up, or up and down, or down the transformation
continuum in different periods of existence; depending on its operational capacity at
a specific point in time (and may vary from one environment/functional
unit/employee to another) (NCBF 2012:48).
Although the MFD is mostly focused on institutional and environmental capacity,
should municipalities implement PDPs, developed from skills audit information for
each staff member this could also ensure a differentiated approach to individual
capacity; in view of certain characteristics per individual grouping, e.g. those who
are appointed without the requisite qualifications will need to attain those
qualifications.
The implementation of innovative initiatives, together with the review of the local
government fiscal framework, will put government in a better position to attain a
responsive, accountable, effective and efficient local government system,
sustainable human settlements and vibrant, equitable and sustainable rural
communities (DCoG: RWP, 2011:61).
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5.10 Summary
The various typologies (segmentation models) listed in this chapter focused on the
following diverse list of characteristics in an attempt to better understand or
effectively support municipalities: anti-corruption campaign; broad spatial
characteristics; budget required/financial viability; capacity building, systems, HR
development and improved organisational culture; community/social services;
community participation; financial aspects; financial viability; free basic services
which target poor households, appropriate billing system and reducing municipal
debt; general management; good governance; HR; institutional arrangements; IDP;
integrated human settlement development; LED; job creation, the Extended Public
Works Programme and the nature of the municipal infrastructure support required;
a PMS; performance monitoring, evaluation and communication; political structures;
poverty and under-development in those areas with the highest concentration of
population; powers and functions; public empowerment, participation and
community development; service delivery; size; the Spatial Development
Framework; special intervention in rural and urban development nodes; technical
services; the capacity (systems, processes and HR) to implement MIG projects and
urban and rural nature; each typology with its own criteria relevant to a specific area
of focus.
Differentiation can be seen as a tool to try to focus the support from national and
provincial government and associated institutions to local government toward
ensuring functional, performing municipalities that deliver their services adequately.
However, various authors have highlighted the following as aspects that also need
attention should local government as a system be successful:
Reinvent government to ensure a developmental state.
A municipality must be structured so that its operations succeed
(productive capability).
Financial strategies (not compliance) are needed in the municipal space.
Cooperative governance (to address complexities in powers and
functions and limited resources).
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A sustainable livelihood framework is needed to address urbanisation.
Effective policy formulation.
Capacity building to manage resources.
Equity and community-based planning and monitoring of delivery (active
citizens).
Leadership, unity and social cohesion must be built.
An understanding of exactly what each of the municipalities’ profiles
contain.
From the perspective of the NCBF that aims to approach capacity building uniquely
and holistically from an individual, institutional and environmental perspective, the
only concern is that the differentiated approach may take attention away from the
work that needs to occur logically.
In the end, citizens want their needs addressed and thus the words contained in the
NDP (2011:23) are so relevant “It has to be painstakingly built, brick by brick,
institution by institution and sustained and rejuvenated over time”. This remains the
preferred approach and it is thought to be the more sustainable approach. Perhaps,
according to the NDP (2011:23) “we need to educate our nation and politicians on
how to patiently first build functional institutions (while monitoring their progress)
before we measure their performance and expect delivery of services that they may
not yet be able to deliver”.
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CHAPTER SIX
VARIABLES INFLUENCING THE MEASUREMENT OF LOCAL GOVERNMENT
SUPPORT, CAPACITY BUILDING AND TRAINING
6.1 Introduction
Chapter Six focuses on what measuring support, capacity building and training
aimed at local government entails through a longer term strategy to strengthen the
NCBF: 2012 to 2016 by using measurable capacity indicators. This chapter sets out
to clarify the following secondary research questions posed in Chapter One (see
section 1.3):
What does measuring local government support, capacity building
and training entail?
What should a minimum set of indicators to measure local
government’s capacity entail?
How does work done in SA compare with international institutional
capacity assessments?
Was the DCoG’s NCBF since 2008 until 2011 effective in terms of
coordinating and ensuring a positive impact on support, capacity
building and training initiatives?
Is the NCBF from 2011 to 2016 comprehensive enough to address
the challenges that local government faces?
How can a comprehensive programme of initiatives aimed at local
government be compiled?
What proposed amendments can be made to the NCBF for it to be
effective in facilitating coordination and ensuring that impact is
achieved post 2011?
The aim with the sixth chapter is to develop a strategy to optimally implement the
NCBF: 2012 to 2016 in the long term and to further strengthen the annual INCBP
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aimed at local government through a combination of all stakeholders’ annual
capacity building initiatives.
The chapter starts with an explanation of performance planning with a focus on
planning, implementation and predetermined ‘impact’; monitoring and reporting;
evaluation; the Logical Framework Approach (LFA); and impact assessments.
Next, measuring/assessing capacity (not linked to performance planning) is
discussed. Individual capacity assessment and tools (CAT) and institutional and
environmental CAT are highlighted. The chapter provides examples of international
institutional capacity assessment approaches and tools, such as Participatory,
Results-Oriented Self-Evaluation (PROSE) for multiple organisations and an IDF for
a single organisation, and an international environmental capacity assessment
approach.
This is followed by an explanation of other concepts associated with measuring, for
example, indicators; with a focus on four types of indicators: development
indicators; performance indicators; differentiation indicators and capacity indicators.
To address a current debate, capacity indicators versus performance indicators is
also dealt with. Targets; precondition for building capacity; demand, benchmarks,
triggers and levers; and skills utilisation and productivity are also considered.
A discussion on the design of capacity indicators in terms of the product,
performance or outcomes, and permanence or the sustainability issue, follows to
introduce South African capacity building strategies and indicators.
Lastly, a draft National Capacity Building Strategy (NCBS) and indicators for local
government is discussed. This chapter aims to strengthen the implementation
framework of the NCBF: 2012 to 2016 by providing a complementary strategy and
its indicators.
6.2 Background and rationale for measurable capacity indicators
To decide on indicators one needs to know where you need or want to go and
where you are starting. The Editors of the Local Government Bulletin (2009:4)
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indicate that Project Consolidate (now replaced by the LGTAS), although offering
support, had a number of weaknesses (Local Government Bulletin 2009:4):
The non-sustainability of many of the hands-on interventions in
municipalities.
Poor accountability mechanisms in municipalities to ensure ownership by
both councillors and officials.
Weak political oversight and buy-in in respect of the programme across all
levels of government.
Mr Africa (Interview 2009), the former Director-General of the DCoG, reflected that
from a national perspective, there is still no decision on whether LED will be a pro-
growth or pro-poor approach. He also said that water and sanitation infrastructure is
under severe strain and dilapidated, despite increased access of communities to
piped water and flush toilets and that the intention is to achieve the following targets
by 2014:
Halving municipal debt which has increased to more than R51 billion.
Greater progress in working towards a debt free society by promoting a
culture of saving and paying for services.
Ensuring that all municipalities have clean audits.
Ensuring that SA has clean cities through the management of waste; which
creates employment and wealth which must include the establishment and
maintenance of peoples’ parks.
Trained and competent councillors, traditional leaders, officials, ward
committee members, CDWs and community activists.
Ensuring that the Thusong Centres become the face of cooperative
government in local communities.
The DCoG will manage a parallel initiative aimed at reforming policy and legislative
reform primarily directed at local government. The following areas of focus have
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been identified (Local Government Bulletin 2009:5):
New legislation on sub-national powers and functions to replace Schedules 4
and 5 B of the Constitution of 1996.
Reform of the IGR Fiscal System to promote viable provincial and local
government.
Strengthening legislative provisions to intervene directly in provincial and
local government.
Reform of the two tier system of local government.
Review and separation of municipal legislative and executive functions.
Strengthened regulatory frameworks on performance management and
compliance with the codes of conduct for administrative officials and elected
representatives.
Reform the regulatory and funding regime for ward committees.
Review of the Organised Local Government Act 52 of 1997.
Although the above areas of focus each report on an aspect of capacity building,
capacity building projects must have local ownership for them to succeed. Without
the leaders’ political will to introduce and sustain reforms geared at building
capacity, no project can succeed, whether in the public or in the private sectors
(DCoG (2) 2012:4). Also, there may be additional aspects not listed above that
need attention depending on a specific province or municipality.
DCoG (2) (2012:4) further states that in the main, the difficulty in measuring
capacity building is that:
By definition, capacity building is a process, rather than a final outcome or an
output (the results of capacity) which are more easily identified and
quantified. Moreover, building capacity may lead to different degrees or
levels of capacity attained.
Measurements of capacity building may be qualitative in nature and involve a
time frame, since capacity is strengthened over time. More importantly,
capacity building involves a complex process of learning, adaptation, and
attitudinal change at the individual, institutional and environmental levels.
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Benchmarks used to assess degrees or levels of capacity are often based on
subjective evaluations and partial or incomplete information. Identifying
indicators and measurement tools that grasp these complexities and address
these different levels of analysis is much more challenging and difficult than
identifying indicators that measure outputs or outcomes.
Moreover, focusing on capacity building is also less “glamorous” than
focusing on results or outcomes. This also explains why fewer efforts have
been made to measure this process and the capacity that leads to
performance. Of course, one could indirectly measure capacity building by
measuring performance outcomes. The logic is that if an organisation or
institution has greater capacity to perform its functions, performance will
likely improve. However, capacity and performance are not synonymous,
and failure to distinguish between these concepts can result into misleading
conclusions.
Thus, just as capacity building is a process so too is performance planning which is
an important discussion in terms of the concept of measuring.
6.3 Performance planning
Measuring is necessary to address Shah’s (2005:x) argument that globalisation,
localisation, and the information revolution are empowering citizens to demand
accountability from their governments. For such accountability to be an effective
tool, a framework for measuring government performance for public service delivery
is required. Overarching issues in this regard are –
whether the public managers are doing the right things - that is, delivering
services consistent with citizen preferences; and
whether they are doing it right - providing services of a given quality at the
lowest tax cost to citizens.
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To address citizen concerns a government-wide performance monitoring system
was developed of which Roberts (in Shah 2005:xxv) states the goal to be to:
build consensus inside and outside of government about priorities, thus
making it easier for governments to make reallocation decisions in a period
of retrenchment;
improve popular confidence in government; and
demonstrate the ineffectiveness of some government interventions, thus
reducing popular pressure on governments to make irrational expenditure
decisions.
In the Presidency’s Policy Framework on Government-wide Monitoring and
Evaluation it is stated that government’s major challenge is to become more
effective. MandE processes could assist the public sector in evaluating the
performance and identifying the factors which contribute to its service delivery
outcomes. It is further argued that MandE is uniquely oriented towards providing its
users with the ability to draw causal connections between the choice of policy
priorities, the resourcing of those policy objectives, the programmes designed to
implement them, the service actually delivered, and their ultimate impact on the
communities. MandE will also help provide an evidence base for public resource
allocation decisions and identify how challenges should be addressed and
successes replicated (The Presidency 2007:1).
Four major challenges to the implementation of government-wide performance
monitoring have been identified (Shah 2005:xxv-xxvi):
Designing appropriate processes for selecting outcome measures: This is
inherently a political process.
Collecting credible data on important dimensions of societal well-being: It
may be more difficult for smaller sub-national governments to collect these
types of data because of cutbacks and governmental restructuring. A related
danger is the possible politicisation of the statistical agencies.
Making causal connections between governmental activities and social
indicators: It is a difficult analytical exercise for officials to make clear causal
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links between their activities and higher-level outcomes because they must
have the data needed to test whether the causal chain is working as
expected and must be able to discount the effect of exiguous factors
appropriately.
Using performance data to improve public debate about governmental
responsibilities: The media and legislative response to the new data has
been muted. This is partly due to the scepticism about the credibility of
information provided directly by government departments.
Roberts (in Shah 2005:xxvi) concludes that government-wide performance
monitoring is more likely to be effective when:
it is done in smaller, more homogeneous communities; and
the task of selecting outcomes to be measured is left to a body that is partly
or wholly independent of government.
In large jurisdictions, Roberts (in Shah 2005:xxvi) proposes that a more prudent
approach may be to emphasise the development of performance reporting on a
sectoral basis and to promote the production of data that may be used by NGOs to
develop benchmarks of societal well-being. He argues that the sector-wide
measures may make some of the methodological problems more tractable and
reduce the political sensitivity of selecting targets (Roberts in Shah 2005:xxvi).
Local government capacity building is one of the objectives that government aims to
achieve and thus it forms part of the government-wide performance monitoring
process of which the main aspects are discussed below:
6.3.1 Planning, implementing and predetermined ‘impact’
Reference should be made to section 3.9.5 in Chapter Three which provides the
basis for Government’s Performance Framework, including planning. The
LogFrame approach discussed in section 6.3.4 provides the format on which
GPOA, MDAs and department’s (like DCoG’s) Five-Year and Annual Performance
Plans (APPs) are based annually and reviewed quarterly.
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In terms of the LGSETA Local Government, Economic Growth and Development
(2011:9) the role of local government in terms of government’s 12 Development
Outcomes is table below in 6.1:
Table 6.1: The role of local government in terms of government’s
12 Development Outcomes
Cabinet outcome Role of local government
1. High-quality basic education Facilitate the building of new schools through
participating in needs assessments done by provinces,
identifying appropriate land and facilitating zoning
and planning processes; facilitate the eradication of
municipal service backlogs in schools by extending
appropriate bulk infrastructure and building
connections.
2. Improved health and life expectancy Strengthen effectiveness of health services managed
by municipalities by specifically enhancing TB
treatments and expanding HIV and AIDS prevention
and treatments; improve community health service
infrastructure, by providing clean water, sanitation
and waste removal services.
3. All people feel protected and safe Facilitate the development of safer communities
through better planning and enforcement of municipal
by-laws; direct the traffic control function towards
policing high risk violations – rather than revenue
collection; metro police services should contribute by
increasing police personnel, improving collaboration
with the SAPS and ensuring rapid response to
reported crimes.
4. Decent employment through inclusive economic
growth
Create an enabling investment environment by
streamlining planning application processes; ensure
proper maintenance and rehabilitation of essential
services infrastructure; ensure proper implementation
of the expanded public works programme at the
municipal level; design service delivery processes to
be labour intensive; improve procurement systems to
eliminate corruption and ensure value for money;
utilise community structures to provide services.
5. A skilled and capable workforce to support
inclusive growth
Develop and extend intern and work experience
programmes in municipalities; link municipal
procurement to skills development initiatives.
6. An efficient, competitive and responsive
economic infrastructure network
Ring-fence water, electricity and sanitation functions
to facilitate cost-effective pricing; ensure urban
spatial plans provide for commuter rail corridors, as
well as other public modes of transport; maintain and
expand water purification works and waste water
treatment works in line with growing demand; assign
the public transport function to cities; improve
maintenance of municipal road networks.
7. Vibrant, equitable and sustainable rural
communities and food security
Facilitate the development of local markets for
agricultural produce; improve transport links with
urban centres to ensure food security; ensure effective
spending of grants for funding extension of access to
basic services.
8. Sustainable human settlements and improved
quality of household life
Cities to work towards fulfilling the requirements to
be accredited for the housing function; develop
spatial plans to ensure new developments are in line
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with national policy on integrated human settlement;
participate in the identification of suitable land for
social housing; ensure capital budgets prioritise
maintaining existing services and extending them.
9. A responsive, accountable, effective and efficient
local government system
Adopt IDP processes appropriate to the capacity and
sophistication of the municipality; implement the
community work programme; ensure ward
committees are representative and fully involved in
community consultation processes around the IDP,
budget and other strategic service delivery issues;
improve municipal, financial and administrative
capacity by implementing competence norms and
standards and acting against incompetence and
corruption.
10. Protection and enhancement of environmental
assets and natural resources
Develop and implement water management plans to
prevent water losses; ensure effective maintenance
and rehabilitation of infrastructure; run water and
electricity saving awareness campaigns; ensure
proper management of municipal commonage and
urban open spaces; ensure development does not take
place on wetlands and other sensitive areas.
11. A better SA, a better and safer Africa and world Role of local government limited here, except with
respect to SA. (In this regard see other 11 outcomes).
12. A development-orientated public service and
inclusive citizenship
Continue to develop performance monitoring and
management systems; comply with legal financial
reporting requirements; review municipal
expenditures to eliminate wastage; continue to
implement the municipal turn-around strategies;
ensure councils behave in ways to restore community
trust in local government.
Source: (The National Treasury 2011:9-10 in LGSETA Local Government, Economic
Growth and Development 2011)
The above should be borne in mind in terms of local government when compiling
five-year IDPs and their annual review.
6.3.1.1 Planning and implementation
The DCoG’s APP is based on the Minister for CoGTA’s Delivery Agreement and
cascaded to units within branches and supposedly informs individual officials’
performance agreements (although the link between institutional and individual
performance is not yet sound at national and provincial levels as there are also
projects on operational plans that are not necessarily reported on but are no less
important for an effective government).
In terms of capacity building the following was required of the DCoG in its Annual
Performance Plans for the 2012/2013 financial year (see table 6.2):
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Table 6.2 APP Local Government capacity building indicators for
2012/2013
Branch:
Provincial and
Municipal
Governance
Support
Strategic goals
Strategic objective Annual outputs
Capacity Building
To improve coordi-nation of initiatives impacting on local government. To improve municipal financial and administrative capability.
To improve performance and professsionalism in municipalities.
To support 70 municipalities to develop recruitment and retention strategies.
To support 70 municipalities to develop technical skills
To provide 27 training programmes (Continuous Councillor Training)
To develop the Draft National Professionalisation Plan.
Source: (Taken from the DCoGs Annual Performance Plans (APP) for 2012 and 2013)
Thus, the NCBF has aligned to the approach adopted in the APP and stakeholders
are each required to provide an annual integrated capacity building plan of
initiatives aimed at local government, on which quarterly progress is reported.
6.3.1.2 Predetermined impact
The Parliamentary Standing Committee on Appropriations (supported by the
Chairperson of the Portfolio Committee on Cooperative Governance) at a meeting
held in August 2010 again raised concerns about the lack of coordination and
impact made towards capacity building initiatives targeting municipalities. The
Committee requested the DCoG to develop a comprehensive programme on
capacity building for local government (in consultation with key sector departments),
to ensure integration, coordination and impact (NCBF: 2012 to 2016 2012:4).
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To improve implementation and coordination, as stated in Chapter Four, the NCBF
has instituted an NMCCMC and an Integrated Capacity Building Management of
Information System (ICBMIS) of which the latter is under development. The annual
integrated National Capacity Building Plan containing all capacity building initiatives
of stakeholders active in local government forms part of the ICBMIS.
The NCBF (2012:66) informs that one major challenge experienced with support,
capacity building and training initiatives is that limited impact/outcome assessments
are done (this may be in view of the fact that impact/outcome is linked to time
frames before it can be measured/achieved or that it has no basis to be measured
against) and thus it may seem that limited impact/outcome is achieved. Also, it is
difficult to measure impact/outcome when measurement criteria is determined after
an initiative as it could result in after the fact, ad hoc measurement, inappropriate or
non-targeted support, capacity building and training, that then does not adequately
address the identified gap/need/challenge towards sustainable functionality,
performance and adequate service delivery of municipalities (NCBF 2012:66). The
idea being to thoroughly engage on what the gap/need/challenge actually is and
determine whether it was adequately addressed.
However, as stated in section 6.2 capacity building is a process, rather than a final
outcome or an output (the results of capacity which are more easily identified and
quantified). Moreover, building capacity may lead to different degrees or levels of
capacity attained (DCoG (2) 2012:4). To obtain results by measuring capacity
building and capacity the following steps are followed: Planning, implementing,
monitoring, evaluation and reporting. In the case of the NCBF, predetermined
‘impact’ is also emphasised and the indicators for capacity building versus capacity
results will be developed at different levels (input, activity, output and outcome -
discussed later in the chapter).
The NCBF: 2012 to 2016 (2012:66) indicates that to address the determination of
impact it will systematically become mandatory for any institution which wants to
implement an initiative in local government to indicate what the pre-determined
impact/outcome measures of such an initiative is constituted of, before its
commencement. This will allow for more focused initiative planning and project
management and ensure that impact/outcome is measurable and achieved.
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In the context of the NCBF, impact/outcome measures should be linked to
improving /addressing a specific situation/gap/need/challenge/benchmark found in
terms of individual and/or institutional and/or environmental capacity through
support, capacity building and/or training (NCBF 2012:66). The NCBF (2012:66)
explains that impact in this context may not refer directly to achieving the
constitutional objectives and/or the Presidency’s DPME’s indicators in the MDAs
(the 12 outcomes), i.e. government’s impact objectives; but it should contribute
towards it.
The NCBF (2012:66) argues that it may also be good practice to link the exit
strategy of a support, capacity building and training initiative, to the impact/outcome
measures that the initiative must achieve.
Predetermined ‘impact’ allows for a continuum from the start to the end of the
process with monitoring, evaluation and reporting taking place in between (NCBF
2012:66).
6.3.2 Monitoring and reporting
Monitoring involves “collecting, analysing and reporting data inputs, activities,
outputs, outcomes and impacts as well as external factors, in a way that supports
effective management. Monitoring aims to provide managers, decision makers and
other stakeholders with regular feedback on progress on implementation and
results and early indicators of problems that need to be corrected. It usually reports
on actual performance against what was planned or expected” (The Presidency
2007:1-2).
In the NCBF, monitoring (checking that we are doing things right) requires that
stakeholders establish the necessary systems and processes to collect and analyse
data and information so that functionality, performance and adequate service
delivery can be optimised. Monitoring is linked to outputs (NCBF 2012:68). As
stated in the previous section, the measurement of capacity building as a process
may link mostly to inputs and activities while the results of capacity building may
link to outputs and outcomes.
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The process of communicating progress in achieving the annual inputs, activities
and outputs (the findings during monitoring) is reporting which takes place on a
quarterly basis to the NMCCMC.
6.3.3 Evaluation
Evaluation is “a time-bound and periodic exercise that seeks to provide credible and
useful information to answer specific questions and to guide decision making by
staff, managers and policy makers. Evaluation may assess relevance, efficiency,
effectiveness, impact and sustainability...Evaluation can also be used to extract
cross cutting lessons from operating unit experiences and determining the need for
modifications to the strategic results frameworks” (NCBF 2007:2).
Cloete and Rabie (2009:77) state that an evaluation or determination of the relative
worth of something must be undertaken in order to compare alternatives before
making choices amongst them. Evaluation literally means ‘to work out the value (of
something)’ in its Latin root valére (Mark, Greene and Shaw 2006:6 in Cloete and
Rabie 2009:77). Informal evaluations inform daily decisions on how good or bad,
desirable or undesirable something is. Formal evaluations involve the same kind of
judgement, but are more systematic and rigorous than their informal counterparts,
with appropriate controls for the validity and reliability of the findings and
conclusions.
The NCBF (2012:68) states that evaluation (checking that we are doing the right
things) is not an ongoing management task but is an objective and evidence-based
process that evaluates performance against a set of criteria (e.g. the original
programme intentions/outcomes; in the context of the NCBF’s pre-determined
‘impact’). Evaluation is linked to outcomes/results.
The systematic evaluation of public programmes started towards the end of the
Second World War (1943) in the US (Auer 2007:541; deLeon and Vogenbeck
2007:504 in Cloete and Rabie 2009:77). The vast expansion of government social
programmes throughout the 20th century is regarded as one of the critical drivers of
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programme evaluation (Shadish and Luellen in Mathison 2005:184 in Cloete and
Rabie 2009:77).
The evaluation field exploded in the 1960s and 1970s with the expansion of social
policies and programmes aimed at effecting various normative and empirical goals
to promote socio-economic development. During this period numerous evaluations
were performed in response to federal, state and local programme managers’
mandates. Cost constraints and concern about the success of social programmes
in achieving outcomes fuelled the evaluation profession (Mathison 2005 in Cloete
and Rabie 2009 and Shadish, Cook and in Cloete and Rabie 2009:77). Chelimsky
confirms that the main aim of evaluation efforts was to rationalise resource
allocation and the management of programmes (2006:34 in Cloete and Rabie
2009:77). The 1970s were marked by an increasing resistance to the expansion of
social development programmes, partly as a result of the increased funding needed
to sustain these programmes and the apparent ineffectiveness of many initiatives
(Freeman and Solomon in Rossi, Lipsey and Freeman 2004:14 in Cloete and Rabie
2009:77). The 1980s saw a decline in evaluation activities under the budget cuts of
the Reagan administration (Cronbach in Shadish, Cook and Leviton 1991:27 in
Cloete and Rabie 2009:77). By the 1990s, fiscal and social conservatism thwarted
further expansion of government programmes, leading to a decline in funding
available for evaluation studies. (Shadish and Luellen in Mathison 2005:186 in
Cloete and Rabie 2009:77).
Two specialised social science disciplines largely influenced the evaluation
profession, namely public policy analysis and general social research approaches
and methods. The policy analysis field is characterised by a shift from opinion
driven policy choices, to evidence-influenced and -based policy-making that
explicitly takes into account, normative decision drivers to resolve societal
problems, while new social research theories, methodologies and technologies in
the social research field brought greater research efficiency, effectiveness and
sophistication to the field of evaluation research (Cloete and Rabie 2009:77-78).
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Shah (2005:xxvii) tackles two important questions on evaluation faced in developing
countries:
What does good local government look like in the developing world?
What factors should one consider when evaluating local governments?
The importance of such questions derives directly from the fact that decentralisation
has become increasingly common in developing countries over the past 15 years.
Local governments are increasingly required to play bigger roles in providing
services, alleviating poverty, and facilitating development. Given the important roles
that local governments are being called to play, central governments and
development organisations are starting to ask how well they are doing and how
they can be improved, but resources for conducting such evaluations remain limited
(Shah 2005:xxvii).
Shah (2005:xxvii) further attempt to identify criteria for evaluating local governments
in developing countries through a mixed practice-theory approach. The practice
element builds on existing evaluations practice at the local level in developed
countries such as the US, which typically focus on issues of legal conformance and
fiscal health. The theory dimension introduces concerns about responsiveness,
efficiency, and accountability; where the potential for gains in these areas are the
dominant underlying arguments in favour of decentralisation and local-level
governance. The approach recognises that local governments in developing
countries face their own special issues, and that evaluation criteria identified for use
in such settings must be easily accessible, facilitate an observation-based analysis
and require limited resources.
The areas in which Shah (2005:xxvii-xxix) suggests that evaluation is vital are:
Legislative and process conformance: Local governments face legislative
and process requirements related to setting up and upholding bylaws,
generating and collecting revenues, following specific steps in resource
disbursement, and providing services. Evaluating conformance to these
requirements is important for ensuring the legality of local governance as
well as for providing guidance to temporary limitations and complexities and
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even inconsistencies in the institutional setting in which local governments
find themselves. This knowledge can help evaluators in determining why
local government is performing as it is and in providing appropriate advice for
remediation or improvement (Shah 2005:xxvii).
Fiscal health: This area is important for evaluators because local
governments are generally required (by national or provincial governments)
to manage their fiscal matters carefully, ensuring that they do not overspend
and that their expenditure is in line with their mandate as it is generally
represented in the budget or as it is stipulated in national-level policy
documents or legislation. The most fundamental criterion for assessing fiscal
health is the net worth of a government which incorporates its cash flows, its
revenues and expenditures, and its assets and liabilities. This criterion can
be derived from standard financial statements and budgets: High and
sustained deficits and debt, poor allocations (with significant resources going
to administration rather than to capital maintenance, for example), and a
disjunction between planning allocations and implementation. These fiscal
health evaluation criteria are also only as reliable as the budget and financial
reporting process that determines financial figures. Because of this,
evaluators are directed to examine not only the figures reflecting fiscal health
on the expenditure side, but also the processes by which expenditures are
reported (Shah 2005:xxviii).
Furthermore, because the literature stresses that fiscally healthy local
governments should have their own reliable revenue sources, a fiscal health
evaluation should analyse the size of the local revenue base (that is, the
potential local resources available to the government) and the revenue effort
on display (or the actual local resources raised as a percentage of the
potential) (Shah 2005:xxviii).
Responsiveness: The argument is that decentralisation in a democratic
context should lead to greater responsiveness to constituent demands. The
level of local, political influence on allocations, decisions and the level of civic
participation in the decision-making process, are seen as two important
aspects of the local government service provision process that relate to
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responsiveness. Where each is higher, one can expect a higher level of local
government response to citizen demands. Apart from these process aspects,
Shah (2005;xxviii) also emphasises evaluating responsiveness in terms of
the anti-poverty perspective evident in budget allocations. (Shah 2005:xxviii).
As with responsiveness, theory presents potential efficiency and
accountability gains as a major reason why governments should
decentralise. Consequently, Shah (2005:xxviii) argues that efficiency and
accountability concerns should also permeate an evaluation of local
governments in developing countries. Specific evaluation criteria related to
efficiency include the cost of production and the degree of competition in
service production. Criteria related to accountability include the ability to
observe governance processes; the information citizens have regarding local
governance (transparency); the access citizens have to the governance
process and their ability to express their voice to officials, and the specific
laws and processes governments adopt to either enhance or reduce their
accountability to citizens (Shah 2005:xxix).
Combining the discussion of the factors above yields an evaluation design in which
a model local government would conform to legislation in process and structure;
maintain its fiscal health (in outcomes and processes and in maintenance of a
positive net worth); do the right things (be responsive) in the right way (with
maximum efficiency); and be accountable to its constituents (in processes and for
its outputs and outcomes) (Shah 2005:xxix).
Planning, implementation, monitoring and evaluation; discussed above, are
all steps in the process followed in a Logical Framework Approach (LFA)
which forms the format of government’s performance planning.
6.3.4 The Logical Framework Approach (LFA)
Campbell (2001: Slide 2) informs that the LFA, is a management tool that provides
a structured and logical means for planning, implementing, monitoring and
evaluating (and reporting on) projects, programmes and institutional work plans.
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The LFA is not an answer to everything; it is not infallible; it is not a quick and easy
box-ticking exercise which eliminates the need to think very carefully; and it is not
mechanical but requires understanding, commitment and participation (Campbell
2011:Slide 3). Similarly, Butcher (2001:1) states that to address the challenge to
formalise projects, to provide some form of accountability, even though small in
nature; the international development industry seemed to offer a solution with the
LogFrame of which the LFA is an example.
The NCBF model for Monitoring, Evaluation and Reporting (M, E and R with due
consideration to other models used by government) is illustrated in Table 6.3:
Table 6.3: Monitoring, evaluation and reporting model
Inputs Initiative, people, money and other resources
Activities Linked to the support, capacity building and training initiatives (The focus of the Management Performance Assessment Tool (MPAT) in terms of the public service)
Outputs Monitoring whether the initiative is achieving the impact it was pre-determined to by achieving allocated milestones
Outcomes or Results Evaluation to determine whether the pre-determined impact was achieved (The focus of most initiatives)
Impact Achieving the objectives of the MDA and the Constitution, etc.
Source: (NCBF 2012:68)
Butcher (2001:1) states that many existing practitioners would confirm that
LogFrames are not only difficult to complete but almost arcane in nature. In
considering this problem, there seemed to be a relationship between the concept of
a LogFrame, and the structure of the group decision-making system known as the
‘Technology of Participation (ToP)’. The LogFrame consists of a series of activities
with a causal relationship between each one. The major difference between the two
systems is that the ‘ToP’ system works on a series of questions, rather than
defining what will occur as a series of statements. It also works from defining the
goal or vision as being the starting point, not the action. The ToP system results in
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the ‘objective’ part of the equation being a negative rather than a positive, however,
this can easily be remedied once the questioning process has been completed.
Managers at all levels described the LogFrame as a useful way of encapsulating a
project, checking on the coherence of project design, and specifying objectives that
could then be cross-checked against wider organisational aims and priorities.
LogFrames provide benchmarks and a structure for monitoring implementation and
impacts. Criticisms of LogFrames relate more to the style of management they
promote than to possible consequences for either programme content or
participatory processes (Bornstein 2001:8).
Respondents noted, for instance, that the LogFrame is technical, sterile, and has no
soul (Bornstein 2001: 8). Whatever attempts are made to make the LFA
participatory and flexible, it seems unable to change as quickly as the environment
within which it has been placed. Interestingly enough, the more people that
participate in developing the logic of the programme and completing the matrix
(often through complex negotiations), the more difficult it is going to be to adapt the
programme to a rapidly changing environment (Bornstein 2001:8). As Gasper (2000
in Bornstein 2001:8) observed, ‘LogFrames are inherently easy to misuse’. Often
people are forewarned that it is easy to misuse and yet they still fall into the same
traps. Using the LFA involves many compromises, and inevitably the most
significant compromise seems to be made on the part of the less powerful actors.
In the end the question that must be answered is whether the requisite impact was
obtained.
6.3.5 Impact assessments
“Impact evaluations examine whether underlying theories and assumptions were
valid, what worked, what did not and why” (The Presidency 2007:2). Each
stakeholder will be required to compile an Impact/Outcome Assessment Report
annually on those initiatives that are ready to undergo impact/outcome
assessments; addressing such aspects as the correlations between investment and
impact, providing recommendations and also indicating when other initiatives’
impact will be ready to be assessed (NCBF 2012:66).
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Saunders (2011:2) informs that the International Organisation for Cooperation in
Evaluation (IOCE) endorses efforts to improve impact evaluation (IE), also referred
to as impact assessment, with respect to development, policy evaluations and
development aid. This re-emphasis on the effects of interventions and policies is
prompted by three drivers:
Improving understanding: An urge to ‘make sense’ in complex environments.
It can be articulated as an imperative in which evaluations might build
knowledge of the conditions under which particular types of interventions
might bring about improvements in citizen’s lives. Karl Weick (1995 in
Saunders 2011:2) talks about making sense in terms of ‘active agents’
structuring the unknown. Eleanor Chelimskey’s formulation based on many
discussions with practising evaluators speaks of ‘evaluations for knowledge’
(1997 in Saunders 2011:2). In shorthand, one can identify the source of this
impulse as a need to know more about how complex changes can be
brought about by using a variety of levers, instruments and mechanisms
(Saunders 2011:2).
Better economic and social stewardship: An increasingly acute requirement
that the large expenditure on social and economic change globally can be
trusted as a good and worthwhile use of public funds. This is broadly called a
social and political imperative. In this period public money will be under clear
and rigorous scrutiny and, quite simply, there will be a diminishing source of
funding for a large number of competing projects and policy priorities. In
these circumstances, the need for transparency and equity in the distribution,
use and effects of public spending becomes increasingly important. It is here
that a robust and legitimate set of evaluative practices can play a role.
Increasingly, evaluation is being understood as part of the process by which
‘policy learning’ or institutional growth and development might be
encouraged (Saunders 2011:2).
Improving method: The need for more certainty about what counts as a
positive change and how we might know its attribution - while elusive and
somewhat of a chimera - is growing in intensity. This hope creates a
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pressured environment and leads to renewed interest in experimental
designs as a way of producing ‘certainty’. This is despite the ethical
constraints inherent in an experimental design for an evaluation (Stryczynski
2008 in Saunders 2011:2). At the same time, the Barca report suggests, the
complex methodological issues which characterise the use of a
counterfactual approach in the context of policy, suggest that the effort to
promote impact evaluation as one of the methodological backbones of
cohesion policy must at the same time be visionary and humble (Barca
2009:180 in Saunders 2011:2).
In the light of these realities, the IOCE calls for a multiple method approach to
impact assessments that does not consider any single method as first choice or as
the ‘gold standard’. This is in view of Howard White’s (reported by Ben
Ramalingham 2011 in Saunders 2011:4) and The Overseas Development
Institute’s (ODI) (a UK think tank on development) Learning How to
Learn Exhortation: Eight Lessons for
Impact Evaluations that make a Difference
(in Saunders 2011:4). To paraphrase and
adapt White’s points, evaluative practice
should be shaped by the following
challenges, to (Saunders 2011:4):
Identify and strengthen processes to ensure that evidence is used in policy.
Institutionalise the evaluation of effects and outcomes.
Improve evaluation designs to answer policy-relevant questions.
Make progress with carefully designed small scale evaluations of impact.
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Expand knowledge and use of systematic reviews.
Evaluations should take account of (Saunders 2011:4):
Relevance: The extent to which the aid activity and policy is suited to the
priorities and policies of the target group, recipient and donor.
Effectiveness: The extent to which an aid or policy activity attains its
objectives.
Efficiency: Measuring the outputs and outcomes in relation to the inputs.
Impact and effects: References to positive and negative changes, (practices,
systems, cultures and wellbeing) produced by a development intervention,
directly or indirectly, intended or unintended.
Sustainability: Assessing and analysing whether the benefits of an activity
are likely to continue after donor funding has been withdrawn. Projects need
to be environmentally as well as financially sustainable.
Inclusivity: Identifying the extent to which intended beneficiaries and other
stakeholders have participated in aspects of evaluation design,
implementation and use.
Measuring, however, also takes place outside of the performance planning process
and may be linked to amongst others capacity, as contained in the annual
integrated capacity building plan and/or activities that stakeholders undertake to
better understand the capacity challenges in their areas of mandate.
6.4 Measuring capacity
This section focuses on measuring or assessing capacity that is not linked to
annual performance planning.
The UNDP (2005:3) argues that it stands to reason that to improve, one must first
measure existing ability and know-how. Such an evaluation is of particular
importance if financial, political or other reasons contribute a strong rationale for
utilising and strengthening existing capabilities rather than starting from scratch.
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A capacity assessment is an exercise undertaken to appraise the existing capacity
of an individual or collective entity to perform key functions and deliver expected
results. Thus, a capacity assessment links latent capacity with performance. A
capacity assessment is an integral and indispensable part of any capacity building
process. It may be conducted by an external assessor or be internalised as
standard management practice. It can be an ad hoc event or can (and should) be
part of ongoing management and programming processes (UNDP 2005:3).
Depending on the context of the problem and the resources available, a capacity
assessment can be conducted at one or more levels: organisation, sector, or
individual. But regardless of the entry point, a capacity assessment must take
account of the interconnectedness of capacity issues between the targeted level(s)
and the enabling environment (UNDP 2005:3).
Capacity measures are useful in several ways. They serve to (UNDP 2005:3-4):
Support policy dialogue and strategy formulation: as part of analytical work
that precedes development investments.
Contribute to the detailed design of capacity intervention strategies: by being
integrated into diagnostic work used to design development programmes
and projects.
Enhance monitoring and evaluation: by tracking process and progress with
iterated assessments over time, thus improving capacity building programme
design and effectiveness.
Promote institutional learning and empowerment: as an internal learning
exercise.
Advocate for reform and transformation: by creating interest and desire for
change for the better.
Furthermore, in view of the fact that capacity is a multi-dimensional concept with
three interrelated core elements, i.e. individual capacity, institutional capacity and
environmental capacity (NCBF 2012:5), that stretch across the mandates of various
national sector departments; a variety of capacity assessments using different tools
are conducted making use of diverse assessment criteria.
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6.4.1 Individual capacity assessments and tools
The Local Government Skills Audit through the web-tool GAPSKILL aims to
determine and address individual capacity.
Individual capacity is defined as the combination of qualifications, experience and
competence (knowledge, skills and attitude) required for the post occupied. (Also
refer to Diagram 4.2: A systemic approach to capacity building). The individual
capacity gaps are addressed through PDPs linked to the municipal Individual
Performance Management System, promoting membership with professional
bodies and aiming to inform WSPs which must be submitted to the LGSETA
annually by the end of June, as per legislation (NCBF 2012:57).
Local Government Competence Profiles per post further informs individual capacity
benchmarks. A Local Government Competence Dictionary containing all
competence profiles’ competencies and a TASK (refers to local government job
designations) as well as the Organising Framework for Occupations (OFO) (the
latter refers to the South African Labour Market system of the DoHET) job
designations’ matrix, has also been developed to enable the standardisation of
information per post collated through WSPs. However, individual assessments
differ from those done to determine institutional and environmental capacity.
6.4.2 Institutional and environmental capacity assessments and tools
There has been a call by government for a single Capacity Assessment Tool (CAT)
which apparently was in use in 2002/3. It is still being used by the Eastern Cape
Province but was discontinued nationally. The Western Cape Province uses
customised capacity assessments by teams of experts for those municipalities
which request support. In practice, in South African local government both
institutional and environmental capacity assessments are conducted, sometimes
simultaneously (also refer to Diagram 4.3: A systemic approach to capacity
building). However, the criteria are mixed and varied depending on the purpose for
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the assessment being conducted and the mandate of the department conducting it,
e.g.:
In differentiating between municipalities: the spatial and economic realities of
municipalities; service delivery (including access and infrastructure) and
financial management and administration-related criteria are used (NCBF
2012:55).
The MISA uses the following criteria when conducting their assessments:
environmental scan; governance and institutional mechanism; operations
and administration; planning; financial stability; service delivery;
infrastructure; community well-being; intergovernmental relations and risk
management (NCBF 2012:55).
The LGTAS’ 100+ of the Minister for CoGTA, the 22 districts identified by
cabinet and the informal settlements (NCBF 2012:56) were identified through
a variety of criteria (not stated).
The MDB’s Capacity Assessments focus on municipal performance against
allocated powers and functions (NCBF, 2012:56).
The Auditor-General’s Report determines institutional capacity gaps in the
areas of targeted controls (NCBF 2012:56).
The DWAs Green Drop and Blue Drop Performance Management System as
well as their Strategic Self Assessment Tool aims to improve water services
(NCBF 2012:56).
National Treasury systems require quarterly reporting to address financial,
supply chain management, and internal audit gaps (NCBF 2012:56).
An assessment tool that will affect all three spheres of government is being
developed by the Presidency’s DPME and is referred to as the MPAT. It is
currently being contextualised for local government in association with
relevant stakeholders. It would also assist in focusing some support, capacity
building and training initiatives and it currently focuses on the following
(NCBF 2012:57):
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Table 6.4: The Management Performance Assessment Tool ( MPAT)
Financial management
Financial management
Asset management
Compensation management
Goods and services
Revenue management
Transfer payments
Supply chain management
Budgeting
Employees, systems and processes
Organisational design
Human Resource Development (HRD) (planning; performance; recruitment; development; personnel administration; retention)
Infrastructure and equipment
Governance and accountability
Management structure
Ethics
Accountability
Internal audit
Risk management
Stakeholder management
Organisational culture
Strategic management
Programme and project management
MandE
Strategic planning
Source: (NCBF 2012:57)
A scoring system is proposed for each stage on the NCBF Transformation
Continuum; to link it to the work being done by the Presidency’s DPME. The
approach remains developmental and it may be that a municipality moves from one
stage to the other (up or down the stages) (NCBF, 2012:58):
Table 6.5: Transformation continuum scoring system
Not yet functional Functional but underachieving
and not delivering all its services
Functional, performing and
delivering all services
Functionality, performance and
delivery of services are above the norm
and maintained
Establishment
Stabilisation
Consolidation
Sustainability
0 – 25%
26 - 49%
50 – 69%
70 – 100%
Source: (NCBF 2012:58)
6.4.2.1 An international institutional capacity assessment
The United Nations Agency for International Development (USAID (2000:2-3)
informs that understanding and measuring institutional capacity are crucial and
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often more complex than measuring the services and products an organisation
delivers. Measuring institutional capacity is important because it both guides
interventions and allows managers to demonstrate and report on progress. The
data establish baselines and provide the basis for setting targets for improvements.
It helps explain where or why something is going wrong; it identifies changes to
specific programmes and activities that address areas of poor performance; it
informs managers of the impact of an intervention or the effectiveness of an
intervention strategy; and it identifies lessons learned. It is also useful for reporting.
The USAID explains that an organisation can be thought of as a system of related
components that work together to achieve an agreed-upon mission. The following
list of organisational components is not all-inclusive, nor does it apply universally to
all organisations. Rather, the components are representative of most organisations
involved in developmental work and will vary according to the type of organisation
and the context in which it functions. The components are similar to the MPAT
discussed above except for ‘management of technical knowledge and skills’
(USAID 2000:3-4):
Administrative and support functions: administrative procedures and
management systems; financial management (budgeting, accounting,
fundraising, sustainability); HRM (staff recruitment, placement, support);
management of other resources (information, equipment and infrastructure).
Technical/programme functions: service delivery system; program planning;
program monitoring and evaluation and use and management of technical
knowledge and skills.
Structure and culture: organisational identity and culture; vision and purpose;
leadership capacity and style; organisational values; governance approach
and external relations.
Resources: human; financial and other.
When selecting a measurement instrument, one should first clearly identify what
needs to be measured. The intervention’s objective may be to strengthen the entire
organisation or only a specific function or component of the organisation. The most
useful measurement will capture only the information relevant to the intervention. In
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the field, practitioners can measure at several different levels and use various
approaches (USAID 2000:4):
One approach is to measure the actual services or products the organisation
provides. The USAID programme managers measure an organisation’s
outputs rather than its internal processes. In these cases, capacity building is
clearly a means to an end. Operating units should and do track
organisational results (quantity and quality of services provided). However,
managers of institutional strengthening programmes should also strengthen
the organisation’s processes so that the organisation can not only better
achieve results, but do so in a sustainable fashion (USAID 2000:4).
A second method is to look at how well the entire organisation functions by
examining all of the components listed above. This method is most useful
when the USAID is addressing the overall strengthening of an organisation.
It involves measuring the process that leads to better results, assessing the
capacity of and tracking changes in all the components that make up an
organisation (USAID 2000:4).
Yet another technique involves examining only selected components of the
organisation - tracking only particular organisational components is used
when an organisation is being strengthened in one or a few areas, such as
financial management, leadership development, or programme planning
(USAID 2000:4).
Approaches to and examples of international institutional CATs are discussed next.
6.4.2.2 Approaches to international institutional capacity assessment
tools (CATs)
The USAID (2000:5) encourages managers to adopt the approaches most
appropriate to their programme and to adapt the tools best suited for local needs.
To assist managers in identifying the most useful tools and approaches, the
following issues were considered for each of the tools discussed:
Type of organisation measured: Many of the instruments developed to
measure institutional capacity are designed for measuring specific
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organisations. Most of these can be adapted easily for use with other types
of organisations, including government entities.
Comparability across organisations: To measure multiple organisations, to
compare them with each other, or to aggregate the results of activities aimed
at strengthening more than one organisation, the tool used should measure
the same capacity areas for all the organisations and use the same scoring
criteria and measurement processes (USAID 2000:5).
Comparability over time: In many cases, the value of measuring institutional
capacity lies in the ability to track changes in one organisation over time.
That requires consistency in method and approach. A measurement
instrument, once selected and adapted to the needs of a particular
organisation, must be applied the same way each time it is used. Otherwise,
any shifts that are noted may reflect a change in the measurement technique
rather than an actual change in the organisation (USAID 2000:5).
Data collection: Data can be collected in a variety of ways: questionnaires,
focus groups, interviews, document searches, and observation, amongst
others. Some methods are hands-on and highly participatory, involving a
wide range of customers, partners, and stakeholders, while others are more
exclusive, relying on the opinion of one or two specialists. In most cases, it is
best to use more than one data collection method (USAID 2000:5).
Objectivity: By their nature, measures of institutional capacity are subjective.
They rely heavily on individual perception, judgment, and interpretation.
Some tools are better than others at limiting this subjectivity (USAID 2000:5).
Quantification: Using numbers to represent capacity can be helpful when
they are recognised as relative and not absolute measures. Many tools for
measuring institutional capacity rely on ordinal scales. Ordinal scales are
scales in which values can be ranked from high to low or more to less, in
relation to each other. They are useful in ordering by rank along a
continuum, but they can also be misleading. Despite the use of scoring
criteria and guidelines, one person’s ‘3’ may be someone else’s ‘4’. In
addition, ordinal scales do not indicate how far apart one score is from
another (for example, is the distance between ‘agree’ and ‘strongly agree’
the same as the distance between ‘disagree’ and ‘strongly disagree’?).
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Qualitative descriptions of an organisation’s capacity level are a good
complement to ordinal scales (USAID 2000:5).
Internal versus external assessments: Some tools require the use of external
facilitators or assessors; others offer a process that the organisation itself
can follow. Both methods can produce useful data, and neither is
automatically better than the other. Internal assessments can facilitate
increased management use and better understanding of an assessment’s
findings, since the members of the organisation themselves are carrying out
the assessment. By contrast, the risk of bias and subjectivity is higher in
internal assessments. External assessments may be more objective. They
are less likely to introduce internal bias and can make use of external
expertise. The downside is that external assessors may be less likely to
uncover what is really going on inside an organisation (USAID 2000:5).
Practicality: The best measurement systems are designed to be as simple as
possible, not too time consuming, not unreasonably costly, yet able to
provide managers with good information often enough to meet their
management needs. Managers should take practicality into account when
selecting a measurement tool, that is, they should consider the level of effort
and resources required to develop the instrument and collect and analyse
the data, and think about how often and at what point during the
management cycle the data will be available to managers (USAID 2000:6).
The UNDP (2005:5) states that the design of measurement tools and indicators
begs adherence to certain general principles, these are:
Clarity of purpose: what, why and for whom? This will improve the
connection of this information to strategies and issues in focus and facilitate
the choice of an appropriate entry-point individual, organisation, sector and
enabling environment
Nature of information required and choice of data collection method: Well
conceived and targeted survey questions or indicators reduce information
overload. There are a vast number of generalised frameworks as well as
specialised tools to choose from (UNDP 2005:5). The basic tool types are
listed in Table 6.5.
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Overall management of the assessment process: It is important for the
relevance and sustainability of the exercise, to facilitate buy-in by key
participants and/or stakeholders. Tools and indicators are meant for use in
combination with information from other sources and good judgment.
Table 6.6: Examples of types of tools used for capacity assessment by the
UNDP
Corporate or organisational management
Change management
Process facilitation
Techniques to engage large groups and coalitions
Self assessments
Strengths, weaknesses, opportunities and threats (SWOT) analysis
Conflict assessment framework
‘Drivers of change’ analysis
Visioning and forward planning techniques
Source: (UNDP 2005). Capacity Development Practice Note)
The section that follows describes two capacity measurement tools that USAID
(2000:6-12) and other development organisations use.
6.4.2.3 Participatory, results-oriented self-evaluation (PROSE)
This method was developed by Evan Bloom of Pact and Beryl Levinger of the
Education Development Centre (USAID 2000:8). It has the dual purpose of both
assessing and enhancing organisational capacities. The PROSE method produces
an assessment tool customised to the organisations being measured. It is designed
to compare capacities across a set of peer organisations, called a cohort group,
which allows for benchmarking and networking among the organisations. PROSE
tools measure and profile organisational capacities and over time assess how
strengthening activities affect organisational capacity. In addition, through a
facilitated workshop, PROSE tools are designed to allow organisations to build staff
capacity; create consensus around future organisational capacity building activities;
and select, implement, and track organisational change and development
strategies. One example of an instrument developed using the PROSE method is
the Discussion-oriented Organisational Self-Assessment (DOSA). It was developed
in 1997 for the Office of Private and Voluntary Cooperation (USAID 2000:7).
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The general PROSE process for developing such a tool is as follows: After a cohort
group of organisations is defined, the organisations meet in a workshop setting to
design the assessment tool. With the help of a facilitator, they begin by pointing to
the crucial organisational capacities they want to measure and enhance. The cohort
group then develops two sets of questions: Discussion questions and individual
questionnaire items. The discussion questions are designed to get the group
thinking about key issues. Further, these structured discussion questions minimise
bias by pointing assessment team members toward a common set of events,
policies, or conditions. The questionnaire items then capture group members’
assessments of those issues on an ordinal scale. During the workshop, both sets of
questions are revised until the cohort group is satisfied. Near the end of the
process, tools or standards from similar organisations can be introduced to check
the cohort group’s work against an external example (UNDP 2005:5).
If the tool is expected to compare several organisations within the same cohort
group, the tool must be implemented by facilitators trained to administer it
effectively and consistently across the organisations. Once the instrument is
designed, it is applied to each of the organisations in the cohort. In the case of
DOSA, the facilitator leads a team of the organisation’s members through a series
of group discussions interspersed with individual responses to 100 questionnaire
items. The team meets for four to six hours and should represent a cross-functional,
cross-hierarchical sample from the organisation (UNDP 2005:5). Participants
respond anonymously to a questionnaire, selecting the best response to statements
about the organisation’s practices in six capacity areas:
External relations (constituency development, fund-raising and
communications).
Financial resource management (budgeting, forecasting, and cash
management).
HRM (staff training, supervision, and personnel practices).
Organisational learning (teamwork and information sharing).
Strategic management (planning, governance, mission, and partnering).
Service delivery (field-based program practices and sustainability issues)
(UNDP 2005:5).
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Although the analysis is statistically complex, questionnaires can be scored and
graphics produced using instructions provided on the DOSA web site. In the case of
DOSA, the DOSA team in Washington processes the results and posts them on the
Internet. The assessment tool can be re-administered annually to monitor
organisational changes (USAID 2000:7).
PROSE instruments produce two types of scores and accompanying graphics. The
first is a capacity score, which indicates how an organisation perceives its strengths
and weaknesses in each of the capacity and sub-capacity areas. The second is a
consensus score, which shows the degree to which the assessment team members
agree on their evaluation of the organisation’s capacity (USAID 2000:7).
Unless the existing DOSA questions are used, developing a PROSE instrument
from scratch can be time consuming and generally requires facilitators to guide the
process of developing and using the instrument. PROSE, like most other such
instruments, is based on perceived capacities and does not currently include a
method for measuring externally observable performance in various capacity areas
(although this is under consideration). It is unique among the instruments in its use
of a consensus score. The consensus score acts as a check on the perceived
capacities reported by individual organisational members. It also helps identify
capacity areas that all members agree need immediate attention (USAID 2000:7).
The second example of an international institutional capacity assessment tool is the
Institutional Development Framework (IDF).
6.4.2.4 The Institutional Development Framework (IDF)
The USAID (2000:8) informs that this tool kit was developed by Mark Renzi of
Management Systems International. It has been used in USAID/Namibia’s Living in
a Finite Environment project as well as several other USAID programs. The IDF it is
stated to be best suited for the assessment of a single organisation, rather than a
cohort group (as opposed to PROSE). The kit contains three tools (an IDF,
Institutional Development Profile, and Institutional Development Calculation Sheet)
which help an organisation determine where it stands on a variety of organisational
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components, identify priority areas of improvement, set targets, and measure
progress over time. While it can be adapted for any organisation, the IDF was
originally formulated for environmental NGOs.
An organisation can use the IDF tools either with or without the help of a facilitator.
The IDF also identifies five organisational capacity areas, called resource
characteristics. Each capacity area is further broken down into key components,
including (USAID 2000:8-9):
Oversight/vision (board, mission, autonomy).
Management resources (leadership style, participatory management,
management systems, planning, community participation, monitoring,
evaluation).
HR (staff skills, staff development, organisational diversity).
Financial resources (financial management, financial vulnerability, financial
solvency).
External resources (public relations, ability to work with local communities,
ability to work with government bodies, ability to work with other NGOs).
Each key component within a capacity area is rated at one of four stages along an
organisational development continuum (1=start up, 2=development, 3=expansion/
consolidation, and 4=sustainability) (this is in line with the NCBF’s Transformation
Continuum – Table 6.4: MPAT). While the IDF offers criteria describing each stage
of development for each of the key components, different processes can be used
depending on the organisation’s size and the desired outcome. Small organisations
usually involve as many staff as possible; larger organisations may work in small
groups or use a few key informants. Members of the organisation can also modify
the IDF to fit their organisation, e.g. non-applicable areas can be ignored and new
areas can be added, although the creator of the tool warns against completely
rewriting the criteria (USAID 2000:9).
Through discussion, the participating members then use the criteria to determine
where along the development continuum their organisation is situated for each
component. The resulting graphic is the Institutional Development Profile using bars
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or ‘x’s to show where the organisation ranks on each key component. Through a
facilitated meeting or group discussion, organisation members then determine
which areas of organisational capacity are most important to the organisation and
which need priority attention for improvement. Using the Institutional Development
Profile they can visually mark their targets for the future. The IDF also provides
numeric ratings and each key component can be rated on a scale of 1 to 4, and all
components can be averaged together to provide a summary score for each
capacity area. This allows numeric targets to be set and monitored. The Institutional
Development Calculation Sheet is a simple table that permits the organisation to
track progress over time by recording the score of each component along the
development continuum (USAID 2000:9).
The discussions now move from institutional capacity assessments to
environmental capacity assessments which have different criteria to individual and
institutional capacity assessments.
6.4.2.5 An international environmental capacity assessment approach
Glaves, Harrison, Smith and Robinson (2008:1) state that there is a potential role
for environmental capacity in achieving sustainable development (also refer to
section 4.3.8 on sustainability). The focus of their study was the East Midlands in
the UK. Specifically mentioned benefits of environmental capacity include its
potential power to make decisions on locations of development and in wider
strategic policy on sustainable growth plans.
The use of environmental capacity within spatial planning is also seen as providing
a means for embedding the environment into the minds of other people engaging
with the planning system (i.e. mainstreaming sustainability). Indeed, the use of
environmental capacity at a landscape scale could potentially provide the
sustainable basis for a wide range of decisions, including: Inward investment,
tourism, the environment, social aspects, quality of life, biodiversity, and as a
mechanism for helping people adapt to the regional changes. Furthermore,
environmental capacity links to a wide range of existing issues, including Green
infrastructure, ecosystem services, landscape approaches, etc. If environmental
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capacity is developed appropriately it has the potential to act as an overarching
approach linking together these issues (Glaves et al. 2008:1).
The link between the UK Sustainable Development Strategy and the planning
system is made in the section, Planning for Sustainable Development in terms of
the Policy Planning Statement 1: Delivering Sustainable Development (PPS) ,
which sets out the overarching planning policies on the delivery of sustainable
development through the planning system. PPS states that development plans
should ensure that sustainable development is pursued in an integrated manner, in
line with the principles set out in the UK Sustainable Development Strategy.
Environmental capacity could form an important element of such integration
(Glaves et al. 2008:10).
Under PPS regional planning bodies and local planning authorities are required to
ensure that development plans promote outcomes in which environmental,
economic and social objectives are achieved together over time. To achieve this,
planning policies and planning decisions should be based on (Glaves et al.
2008:10):
Up-to-date information on the environmental characteristics of the area.
The potential impacts of development proposals on the environment
(whether direct, indirect, cumulative, long-term or short-term), positive as
well as negative.
Recognition of the limits of the environment to accept further development
without irreversible damage.
A logical first step in establishing environmental capacity indicators and targets is to
explore which current indicators it would be most appropriate or useful to set targets
for. To do this, we need to know which the most important aspects of environmental
capacity are, in terms of how the public uses and values them, their level of threat
and their functions/services. Broader consultation on capacity and its indicators is
recommended at an early stage in the process (Glaves et al. 2008:2).
Environmental capacity forms one of five guiding principles for the revised UK
Sustainable Development Strategy (Glaves et al. 2008:10). As part of the Revised
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Strategy, 68 sustainability indicators were developed to measure the progress
towards sustainable development. For 46 of these indicators, regional versions
were also published in January 2008. In general terms, the sustainability indicators
used in the strategy cover four broad areas. These are (Glaves et al. 2008:10):
Sustainable consumption and production (climate change, water resources
and consumption, waste).
Natural resources (river quality, water stress, bird populations, land use, air
pollution etc.).
Sustainable communities (crime, employment, poverty, education, mortality
rates etc.).
Contextual indicators (economic output, productivity, demography,
households and dwellings).
Glaves et al. (2008:14) indicate that various themes and indicator types have been
used at a national and regional level to assess environmental capacity and broader
sustainable development (Glaves et al. 2008:14-15):
The key themes used in the Strategic Environmental Assessment (SEA)
directive include the following broad headings: air; water; soil and geology;
land based flora and fauna; marine based flora and fauna; landscape; open
space and historic environment.
The key themes used in quality of life assessment are: health and human
survival; biodiversity; amenity; sense of place; historical and cultural
character; associations; education; recreation; value to the economy; value
to society.
The themes used in the East of England Environmental Capacity Study (in
Glaves et al. 2008:14) are: air quality; water quality; water quantity; soils;
geology; biodiversity; landscape; tranquillity; open space; historic
environment (Glaves et al. 2008:14).
Using the above themes one measures environmental capacity in terms of asset
type. An alternative approach would be to consider environmental capacity in terms
of services provided. The Millennium Ecosystem Assessment categorises these
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services (referred to as ‘ecosystem functions’) into four groups (Glaves et al.
2008:15):
Supporting functions, such as nutrient cycling, soil formation and primary
production.
Provisioning functions, such as the production of food and fibre.
Regulation functions, covering the role that ecosystems have in controlling
climate, disease, flooding and water supply.
Cultural functions, which include spiritual, aesthetic, educational and
scientific roles that ecosystems can fulfil.
Now that international literature has provided some clarity on their approach to
environmental capacity the development of individual, institutional and
environmental indicators need to be dealt with. However, other concepts associated
with measuring will be dealt with first.
6.5 Other concepts associated with measuring
The following concepts are discussed below to provide a context and improved
understanding for the Draft Capacity Building Strategy that follows and was
developed to address concerns of some DCoG top managers that the NCBF is not
achieving what it set out to do:
Indicators.
Targets.
Precondition for building capacity.
Demand, benchmarks, triggers and levers.
Skills utilisation and productivity.
6.5.1 Indicators
Cloete (2010:24-25) informs that “An indicator is a measuring instrument used to
give a concrete, measurable but indirect value to an otherwise un measurable,
intangible concept...Subjective indicators are their own internal perceptions while
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objective indicators are externally measurable...Indicators can be devised in
different policy sectors (social, environmental, cultural, economic, financial, etc). An
indicator therefore gives an approximate value or indication of what one is looking
for. It is a more concrete, but indirectly an operational substitute for an intangible
concept...An indicator also does not have a life of its own. It is inextricably
intertwined with the more abstract or intangible concept which it has been designed
to clarify...Multi-dimensional concepts like ‘quality of life’, ‘poverty’, ‘inflation’,
‘consumer’ cannot be measured by a single indicator...They need combinations of
indicators in the form of composite indices, leading to ‘social accounting’”.
“Like any other quantitative technique an indicator can be selected, designed or
applied with or without normative or statistical biases. If the concept that is to be
measured is a normative or emotive concept it is probable that indicators devised to
measure this will also contain normative biases. The point is the smaller the bias
the greater the validity of the indicator....Policy indicators are useful tools in the
evaluation process but should be applied in circumspect to avoid criticism related to
possible normative bias or quantificationism” (Cloete 2010:24-25).
Glaves et al. (2008:14) state that indicators are measurable attributes chosen to
evaluate the performance and effectiveness of policy for conserving and enhancing
an environment. Indicators can serve a variety of purposes, including reporting
(assessing progress towards stated objectives), communication (e.g. to highlight an
issue of particular public interest), and management (to help managers of
ecosystems understand changes and to intervene).
The USAID (2000:20) argue that indicators should be direct, objective, practical,
and adequate. Once an indicator has been decided upon, it is important to
document the relevant technical details: A precise definition of the indicator; a
detailed description of the data source; and a thorough explanation of the data
collection method.
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De Landsheere (1994 in Kroukamp 2010:158) proposes that some characteristics
of a good indicator, should be:
politically relevant: It should address an important policy question or issue,
but not necessarily politically driven, since answering only to a particular
political agenda may give a very partial picture of a situation under
examination;
robust: In this respect, an indicator has to be related to global and lasting
characteristics of the system, to avoid too much sensitivity to accidental
fluctuations;
connected with priorities and significant issues;
coherent: An indicator should be connected/connectable with other
indicators;
feasible: The data to construct an indicator should be readily available and
affordable to collect, and accessible to a large audience; and
valid, reliable, accurate, which implies a high quality of data sources.
There are however different indicators for different measures and to illustrate the
differences, the following four types of indicators; amongst those found within the
local government sector, are discussed with specific emphasis on performance
versus capacity indicators (in view of some current debates in this regard):
o Development indicators.
o Performance indicators.
o Differentiation indicators.
o Capacity indicators.
o Performance indicators versus capacity indicators.
6.5.1.1 Development indicators
Rabie (2011:168-169) informs of the Presidency’s Mid-term Development
Indicators, a “series of 72 preliminary generic policy assessment indicators”, revised
slightly to contain 76 indicators in the 2008 and 2009 publications which provide the
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first coordinated national set of development indicators (Cloete 2008:12; Presidency
2009a). The 76 indicators cover the following sectors (Presidency 2009a):
Economic growth and transformation.
Employment.
Poverty and inequality.
Household and community assets.
Health.
Education.
Social cohesion.
Safety and security.
International relations.
Good governance.
6.5.1.2 Performance indicators
The following performance indicators have specific reference to local government
(DCoG 3 2011:8-9) and the Minister for CoGTA should (not always completed
timely) compile an annual municipal performance report in terms of Section 48 of
the MSA of 2000. (The report consolidates information received from provincial
reports which are compiled in terms of Section 47 of this Act. For their part,
provinces consolidate performance information submitted to them by municipalities
as required by Section 46 of this Act). Municipal performance is assessed along
five KPAs and cross-cutting interventions:
Municipal transformation and organisational development.
Basic service delivery.
LED.
Municipal financial viability and management.
Good governance and public participation.
Cross-cutting interventions.
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6.5.1.3 Differentiation indicators
Indicators for differentiation (as discussed in Chapter Five) are illustrated in Table
6.7.
Table 6.7: Differentiation indicatorsDifferentiation indicators
Spatial and economic realities
Financial management and administration
Infrastructure and delivery
Planning support, including powers and functions:
(a) % of households living in poverty (poverty taken as households earning less than R1200 per month) (b) Municipal operating expenditure per household (c) % of Priority 1 municipal functions (see MDB Reports) performed with capacity
Simplified IDP and Simplified Revenue Plan:
(a) District Water Services Authority (WSA) functional status (b) Infrastructure and service delivery stream universal access to basic services (c) Total municipal capital expenditure per household (d) Expenditure on operations and maintenance as a percentage of the total operational expenditure (e) % of municipalities spending less than 5% of OPEX on repairs and maintenance (f) Infrastructure planning and delivery support to 21 vulnerable districts and 6 provinces (g) Infrastructure planning and delivery support to households in a municipality without access to basic services
(priority water, electricity, sanitation, waste removal) (h) Targeted infrastructure planning support to 45 urban areas with predominance of informal settlements (i) Level and type of support for city, metro and accredited municipalities (j) Support for waste management interventions through clean cities programme
Financial and administrative support stream:
(a) % of municipalities with unqualified audit reports (b) % of municipalities with current debtors (i.e. 0-180 days outstanding) more than 50% of own revenue (c) % of municipalities with own source revenue less than 75% of total operating revenue (d) % of municipalities with personnel cost higher than 28.6% of operating costs (e) Expenditure Support for Clean Audit campaign: municipalities with disclaimer or qualified audit reports (f) Support to municipalities through the Revenue Building Programme (g) Support to municipalities to implement Municipal Property Rates Act 6 of 2004 (h) MSA of 2000 (i) National Disaster Management Act 57 of 2002 (j) Support to Councils with anticorruption procedures, budgeting for IDP, and public participation procedures
Source: (DCoG (4) 2011)
6.5.1.4 Capacity indicators
The types of indicators discussed above form part of one system with each focusing
on a specific policy option, however, as the focus of this thesis is on the NCBF, of
greater interest are capacity indicators. VanSant (1991:6) states that generally
speaking indicators can be used to measure two forms of value - a stock or a flow.
Capacity indicators are also of a dual nature and purpose - they are used to
describe the specific actions and steps of a capacity building process or to gauge
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the resulting state of increased capacity. VanSant has developed the following
institutional capacity building indicators (DCoG (2) 2012: 26), however, in section
6.4 it was also illustrated that there are differences between individual, institutional
and environmental capacity indicators:
Table 6.8: Institutional capacity building indicators
Institutional formation: Legal, logistical, human and financial structures
Function: Management, mastery of enabling environment and programme delivery
Condition: Character and leadership
Institutional stock 1. The institution's legal
framework, policies, rules, and procedures provide a consistent reference for
2. operations. 3. Appropriate facilities and
equipment are available to support operation.
4. The institution has access to logistical and communications needs (vehicles, telephone, FAX, etc.).
5. The organisational structure meets the needs of efficiency and control.
6. Organisational subsystems for administration, production, financial management, and other operations operate efficiently.
7. The institution possesses needed technological resources.
Management 1. Institutional management has
a high degree of autonomy. 2. The institution has adequate
management depth. 3. The institution's management
style is participatory and enabling.
4. Managers have a clear sense of realistic goals and priorities.
5. There is effective delegation of management responsibility to second-level managers.
6. Managers have a high level of fiscal and operational awareness.
7. Staff can clearly describe their roles and responsibilities.
Institutional character 1. The institution has a documented
mission that is clear and understood by staff and/or members.
2. The institution establishes its own policies, goals, and structure.
3. Institutional activities mesh with institutional mission and priorities.
4. Staff morale is high and regularly evaluated by the institution.
5. Staff is clearly aligned in attitude and performance with institutional goals.
6. "Critical events" analysis indicates that the institution is effective at defining and acting on those opportunities of most significance to its development and impact.
7. High job satisfaction is evident at all levels of the institution.
8. The organisation learns from its mistakes and staff is rewarded for confronting rather than concealing errors.
9. Information is shared openly within the organisation.
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HR 1. The institution has adequate
staff in all key positions. 2. Compensation is adequate
and equitable. 3. Monetary and non-monetary
incentives support targeted behaviour.
4. The staff turnover rate is low. 5. Opportunities exist for staff
professional development and on-the-job training.
6. Staff is held accountable for getting work done according to clear performance standards.
7. Staff needs are analysed in the planning process.
8. Recruitment and promotion policies provide for internal and external staff growth.
9. Fiscal data are up-to-date and accurate.
Enabling environmental mastery
1. Appropriate links exist with other institutions.
2. Bureaucratic support is evident for the institution's activities.
3. Major environmental influences are identified and assessed for relative degree of influence and are accurately forecast.
4. The institution has controlled access to essential natural resources and other inputs.
5. The institution has access to needed technologies.
Leadership 1. The institution's policy
contributes to achievement of institutional goals and strategies.
2. Management effectively represents the institution to external interests.
3. The institution has a clear vision, affirmed at all levels in shared values.
4. There is evidence of effective institutional innovation and learning.
5. The institution is characterised by effective staff involvement and teamwork in planning and work.
6. Staff at all levels are oriented toward producing results that meet institutional goals.
7. The external institution image is consistent with its goals and objectives.
8. The institution's leadership philosophy is clear to internal and external stakeholders.
Financial resources
1. The institution has access to resources in line with planning budgets (including credit, where appropriate).
2. The institution has control over its own budget.
3. The institution has awareness of its future resource needs.
4. Effective financial management and accounting procedures are in place.
5. Budgets are used as a planning and monitoring tool.
Programme delivery 1. The institution maintains
reliable evidence of the degree of client or constituent satisfaction.
2. The institution has structures of accountability to clients and constituents.
3. The institution's scope of program or other activities is appropriate to its financial and management capabilities.
4. Programme outcomes are measured and documented and widely known to institutional managers.
5. The institution's programme contributes to institutional condition.
6. The institution possesses appropriate economic, sector, or market analysis capability.
7. If market-driven, the institution has measurable "bottom-line" results.
Source: (VanSant 1991:7-8 in DCoG (2) 2012: 26-27)
The current MDB’s Capacity Assessment Report questions whether it is correct to
argue that if a municipality has the requisite capacity it will perform, contending that
leadership, amongst others, play a role in performance. However, this argument
points to a misunderstanding on what capacity holistically entails, i.e. individual,
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institutional and environmental capacity includes leadership as one of the aspects
(DCoG (2) 2012: 26-27).
6.5.1.5 Capacity indicators versus performance indicators
There are several reasons why performance indicators are not appropriate for
measuring capacity (DCoG (2) 2012:4-6):
First, while performance may be a good indicator of adequate or good
capacity, it does not yield insights into which aspects of capacity are
particularly good, or which may be weakening. The staff within a particular
organisation, for example, may have adequate levels of competence and yet
the organisation may be failing in its performance. Analysing declining levels
of performance, however, cannot reveal much about capacity gaps, for it
may be that this gap is not at the competence level, but at a higher level of
management. Furthermore, performance indicators do not reveal what
aspect of capacity is responsible for a better or failed performance. Weak
performance indicators tell us little about the origins or causes of these
results (DCoG (2) 2012:4).
Capacity building projects may not be successful in generating better
performance indicators or more satisfactory outputs, yet without adequately
disaggregating capacity and finding indicators and benchmarks to measure
capacity building through its different analytic dimensions, it is difficult to
assess what aspects of the process are failing, where additional support is
required, and whether capacity building projects are even realistic or
feasible. Weak performance can be attributed to the lack of competent staff,
to the unclear definition of roles and responsibilities within an organisation, to
the lack of adequate financial support, to the weakness of the regulatory
framework, or to a combination of all these factors. Understanding these
different analytic dimensions and designing measurements to evaluate
progress at each level is important for designing better and more effective
capacity building projects (DCoG (2) 2012:4).
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Secondly, like in many other development programmes, capacity building
programmes may be only partially successful. Yet partial success is difficult
to recognise if the criteria for evaluating these programmes is solely based
on performance outcomes. Measuring the “process” of capacity building and
developing benchmarks is thus crucial for allowing the analyst to recognise
partial and incomplete results. The prevalent frustration with many capacity
building programmes often stems from a failure to recognise partial success.
Confronted with what was perceived as “total failure,” many projects
attempted to start from scratch every time a new project was introduced.
Identifying partial successes allows for a more balanced judgment, and the
adoption of more gradual, piecemeal, and realistic development strategies
that take as a starting point “existing local capacity.” The latter has been
identified by the UNDP as a crucial element in the new “paradigm” of
capacity building (DCoG (2) 2012:5).
Third, an institution or organisation can improve its performance indicators,
but nothing guarantees that this level of performance can be sustained over
time. Unlike performance indicators, indicators of capacity and capacity
building, provide information about sustainability by revealing information
about the extent of institutionalisation or routinisation of reforms introduced
to build capacity. Technical assistance projects may have an initial positive
impact on performance results, but as soon as the funding of these projects
ends or foreign experts leave the country, performance indicators
deteriorate. Unlike indicators of performance, indicators of capacity building
tell us something about the extent of “country ownership,” a crucial element
for the sustainability of any capacity building project (DCoG (2) 2012:5).
Finally, the relationship between capacity building and performance is by no
means direct and linear. The performance of governments, businesses, or
Civil Society Organisations (CSOs) is affected by a multiplicity of factors,
above and beyond capacity building. A severe economic crisis, for example,
can have a substantial impact on the growth of poverty rates, regardless of
the capacity of public officials to design and implement better poverty
reduction strategies. Rapid economic growth, on the other hand, can have a
greater impact on reducing poverty rates than the building of government’s
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long term capacity to deal with macro-economic stability. Similarly, low HIV
rates may not accurately reveal the government’s capacity to respond,
should the problem emerge at a later stage. Also a business may be
successful in a closed economy protected from competition, regardless of its
capacity to produce quality products (DCoG (2) 2012:6).
6.5.2 Targets
Targets are the objectives or standards set for delivery on the natural environment
and include ‘aspirational’ or ‘political’ targets; targets relating to crucial loads;
thresholds in the natural environment and those for public service delivery. They
may be set on a precautionary basis, where the aim is to deliver environmental
protection, or they may be more ambitious in order to achieve environmental
enhancement. Targets may be attached to particular indicators or ecosystem
components, or may be framed as broad over-arching objectives (Glaves et al.
2008:14).
For example, Glaves et al. (2008:7) state that it has been recognised for a long time
that environmental resources are finite and if over-exploited this can lead to
environmental damage and harm to the local economy. External pressures such as
pollution, over-exploitation of natural resources and climate change impact on the
functioning of an environment, its condition and the services it provides (Defra 2007
in Glaves et al. 2008:7).
The concept of environmental/ecological thresholds has been used for many years
in a variety of contexts, including conservation, rural land management, tourism and
recreation, etc. The associated concept of carrying capacity, i.e. the maximum level
of use or development that an environment can bear without undergoing significant
change is accepted but the idea that there are absolute environmental thresholds
has been subject to debate. What is generally agreed, however, is that as part of
sustainable development there is a need to identify the threshold, limit or capacity
of an environment before degradation or collapse occurs.
Environmental limits are different from environmental thresholds. An environmental
threshold is an absolute scientific point beyond which irreversible harm occurs
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whereas an environmental limit involves a social judgment with regards to what an
acceptable limit/capacity is (Glaves et al. 2008:7-8). Tourism professionals use an
associated term, i.e. limits to acceptable change (LAC). Environmental thresholds
and limits will vary by topic and over time and space. Thresholds/limits are most
accurate when they refer to a specific time and place and relate to a specific issue
or threat (Glaves et al. 2008:8).
Environmental capacity must be determined by the democratic process, in which
formally constituted bodies seek the participation and views of the people affected
(Jacobs in Glaves et al. 2008:8). There is a clear need to agree on “precautionary”
limits to environmental change. This will require new decision making processes
which draw on the best scientific and economic knowledge to inform subjective but
broadly agreed standards - without getting bogged down in the inevitable
differences of opinion. Developing such procedures - ideally as part of Strategic
Environmental Assessment - is at least as important as the science (Glaves et al.
2008:8).
6.5.3 Precondition for building capacity
DCoG (2) (2012:6) states that the UNDP recognises that successful and
sustainable capacity building has remained an elusive goal and that despite the
training of thousands of people, development undertakings have constantly faced a
lack of necessary competence and weak institutions. In the main, this is due to the
lack of ownership of most capacity building projects, the strong dependency on the
donor community and foreign experts, and the tendency to concentrate on the
training of individual competence without consideration of the larger institutional and
environmental context.
It is clear that a necessary precondition for building the capacity of governments,
public or private organisations, or firms; is the willingness and commitment of key
actors within these institutions to introduce reforms geared at improving
performance outputs. An organisation may have the technical capacity to
accomplish a particular task, but without the strong commitment of its leadership, it
may lack adequate resources and/or the appropriate regulatory framework to
accomplish these tasks (DCoG (2) 2012:6).
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6.5.4 Demand, benchmarks, triggers and levers
There are two aspects of demand – the skills required to get a job and the skills
required to do a job. It is the latter aspect that involves issues of skills utilisation.
Buchanan et al. (in Capacity Building Indicators 2003:48) note that preoccupation
with supply side issues such as the formal provision of training often dramatically
over-estimates what skills policy can achieve. This is because it totally neglects the
issue of whether, and how, increasingly well-educated citizens have their skills
deployed in the workplace (Capacity Building Indicators 2003:48).
Triggers are the drivers that motivate organisations to undertake skills utilisation
(e.g. market forces, staff retention, government regulation) (Capacity Building
Indicators 2003:48). There are a number of reasons why organisations adopt
strategies to improve their utilisation of skills. Skills shortages and gaps and staff
retention are considered important triggers as are product market strategies, which
can vary within and between sectors. Another is the desire to promote innovation,
while government intervention, whether by regulation or exhortation, can also be a
trigger (Capacity Building Indicators 2003:48).
Levers on the other hand are the factors that must be present to enable skills
utilisation to take place (e.g. leadership and management, communication,
organisational culture) (Capacity Building Indicators 2003:48). Once one or more
triggers are operating, organisations may choose to implement skills utilisation
practices to enhance competitiveness. The evidence shows that to enable this there
must be strong management and leadership within the organisation as well as
commitment and motivation from staff. Other aspects of organisational culture are
also considered important, along with good systems of communication (Capacity
Building Indicators 2003:48).
Lastly, Shah (2005:xxxvii-xxxviii) states that to assess whether a given level of a
measure indicates good or bad performance requires a comparison with
established benchmarks based on the history of an enterprise and the experience
of others. Benchmarks can be best-practice standards defined by experts or the
performance of actual enterprises that are comparable with the one under review.
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The following are baseline benchmarks that will form part of a drop box in the initial
ICBMIS:
Legally compliant municipality.
Municipality with competent staff.
Functional municipality.
Municipality applying good management practices.
Municipality delivering adequate services.
Municipality performing above the norm.
6.5.5 Skills utilisation and productivity
The New Zealand skills strategy (2008 in Capacity Building Indicators 2003:48)
links productivity and sustainable development with both the development of better
skills and the better use of skills. In 2010, the New Zealand government will
implement skills utilisation policy through the High Performance Working Initiative
(HPWI). This aims to support enterprises to improve their business processes
through effective employee engagement and workplace practices (UJ Internal
Handbook 2010:48).
The British government has also begun to emphasise the potential productivity
benefits of skills utilisation. In 2004, due to concerns over low productivity growth,
globalisation and low levels of numeracy and literacy, the British government
commissioned Lord Sandy Leitch to consider the UK’s long term skills needs. In the
Leitch Review Interim Report Skills in the UK: The long term challenge, HM
Treasury states (in Capacity Building Indicators 2003 :48): “For the supply of skill to
turn from merely potential change in performance into a tangible increase in
productivity, the available skills of the workforce have to be effectively utilised.
People need to be in jobs that use their skills and capabilities effectively”.
Skills utilisation has also become increasingly prominent in Australia. In 2009, the
Council of Australian Governments (COAG) created a National Agreement for Skills
and Workforce Development to identify the long term objectives of skills and
workforce development. It identifies workforce development as ‘a new area for
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Government focus and public policy development’. Under the Agreement, one of
four outcomes for which progress is monitored is that ‘skills are used effectively to
increase labour market efficiency, productivity, innovation and ensure increased
utilisation of human capital’ (Capacity Building Indicators 2003:48).
In SA, Chapter 13 of the NDP (2011) discussed in section 3.9.4, also emphasises
the need for building a capable state.
Now that a better understanding has been created of concepts related to measuring
capacity, a discussion on designing capacity indicators is followed by South African
capacity building strategies and indicators that cognisance must be taken of prior to
sharing the Draft Capacity Building Strategy for Local Government’s indicators.
6.6 The design of capacity indicators
A simple framework for thinking about the design of capacity indicators is the three
‘Ps’, for ease of retention and these are (DCoG (2) 2012:6):
Product, in terms of actual capacities improved or achieved. This includes a
sense of evolution from the beginning of the project, the current state of
progress and the projected progress.
Performance, in terms of the substantive programme outcomes.
Permanence or sustainability of the capacity produced.
DCoG (2) (2012:7) states that one needs to remember some points in mind when
discussing the three aspects listed above:
Firstly, the three ‘Ps’ should not be seen as replacing the more conventional
frameworks such as the Logical Framework Analysis or a results-based
matrix or the inputs-outputs-outcomes-impact methodology. They are
designed solely to provide a simple framework to stakeholders to think
through the capacity aspects of a project or programme (DCoG (2) 2012:7).
Secondly, they are not intended as ‘stages’ to be looked at sequentially.
They are a circle of issues that need to be combined with the strategy and
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process issues to come up with an overall judgment. Process, for example,
affects performance. Predictions about anticipated capacities arise from
strategy and estimates of the situation and the start of the project. The
relationship between performance and permanence is crucial (DCoG (2)
2012:7).
Thirdly, they should help stakeholders come to some shared agreement on
the desired evolution of the organisation or system whose capacity is to be
developed. For example, power and authority may be devolved throughout
the hierarchy rather than being concentrated at the top of the structure. A
broader network may see its capacity evolve when new services and new
actors/participants are added. Organisational relationships alter to include a
broader range of partnerships, contractual links and information exchanges.
Values and attitudes adjust. Capacity building indicators need to be set to
mirror and monitor this anticipated evolution over time (DCoG (2) 2012:7).
A more detailed discussion on the three ‘Ps’ follows:
6.6.1 The Product
Most capacity indicators are designed to reflect some future desirable state or level
of performance. A shared vision of the future and some defining purpose and
objectives of the capacity interventions are obviously important. But in many cases,
too little diagnostic effort is made to assess the state of capacity building at the
outset of the programme, i.e. understanding both the ‘what’ of the starting situation
position (i.e. a description of current capacities and the constraints to further
improvement). The ‘why’ (i.e. the deeper systematic causes behind the gaps in
capacity and performance) also needs to be understood. To the extent possible,
project participants need to try to arrive at some sort of shared understanding and
self-awareness about the nature of the current capacities (DCoG (2) 2012:7-8).
There remains a need to think carefully about the starting point of capacity building
and devise some indicators to reflect it. Some illustrative questions are:
What are the main outlines of the historical evolution of this organisation or
system? Where is it? How did it get to where it is? Why did it get to where it
is?
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Who are the main actors that make up the capacity system including
government departments, NGOs, key individuals, private firms, educational
organisations? What is the nature of the various relationships - functional,
informational, normative, political, regulatory, and ethnic - amongst these
actors, in terms of achieving broader programme goals? What is the
organisational structure of the current capacity system in terms of roles and
responsibilities, decentralisation, laws and policies, decision making,
coordination, etc.?
What is the general pattern of behaviour which the project or programme
must deal with? What is the level of trust and collaboration that surrounds
the project? What is the present pattern of the organisational and institutional
dynamics that will influence efforts, both from inside and outside, to develop
capacity? What is the level of collaboration, cooperation and competition?
What is the degree of diversity and fragmentation? Who has expressed the
need for change and in what form? (DCoG (2) 2012:8).
To be effective, programmes aimed at capacity building need to consider some sort
of preferred future. Participants need to know what ‘capacity building’ (as opposed
to project or programme outcomes) would look like at the end of a certain
investment of effort and resources. What new abilities are desirable? possible?
probable? What is the gap between the projected progress and the starting point
described earlier? Projected capacities thus deal much more with improvements
than they do with descriptions. They focus on what people need to be able to do
that will, in turn, lead to some substantive developmental outcomes and impact.
Some illustrative questions might be the following (DCoG (2) 2012:9):
What new standards of performance should participants be able to meet?
What must groups or organisations be able to do that they are not currently
doing? Which crucial functions (e.g. policy formulation, service delivery,
financial management, conflict management) should get priority attention?
Who decides this? Who decides who is to be measured?
What policy choices are implied by these projected capacities?
What new attitudes, meanings, belief systems and values should be
embraced? How would these be assessed? And when? Is it realistic to
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expect the project to produce changes in attitudes that have taken years to
form? What are the possibilities in this situation? What is the potential for
action? Are we likely to see results quickly or over a long period of time?
Finally, some sense is needed of what the organisation or the system can now do
and what crucial functions it can carry out that could not be managed at the outset
of the project. Indicators at this stage are designed to help in the description and
analysis of the evolution and growth of capacity building. Some illustrative
questions might be the following (DCoG (2) 2012:10):
Do the field participants have awareness that they have developed these
new capacities?
Is there a gap between what was projected and what was achieved? Why
account for that gap?
Are there indicators that would better help us assess the evolution to this
point?
6.6.2. Performance or outcomes
The question ‘capacity building to do what?’, is the focus when discussing
performance or outcomes. Efforts at capacity building need to be focused not on
abstract organisational generalities - e.g. more participation, less hierarchy, more
productive relationships - but on improvements to the crucial functions that
determine the productivity and health of the organisation or system. This, in turn,
relates to the two key issues in the complex interrelationship between capacity
building and substantive performance (DCoG (2) 2012:10-11):
First, programmes for capacity building must be aimed directly at
performance improvement both in the long and short terms. Project
designers (and managers) must have a longer term vision of what they want
the organisation or system to do and how they want it to perform. In that
sense, these are ‘core’ goals for capacity building that are fixed and
immutable. But measures aimed at capacity building must also be aimed
directly at short term tasks (i.e. 2-3 months) in support of the crucial
functions that may change rapidly depending on the course of events. Most
practitioners are only interested in capacity building if they can see its
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relevance to operational issues facing them in the short term. Project
designers thus need to put in place organisational and contractual
arrangements that can enhance this flexibility in the short term. In effect, the
conventional process of capacity building, leading to certain kinds of tasks
needs to be reversed. Assistance with certain kinds of tasks should lead to
capacity building (DCoG (2) 2012:10-11).
The second issue is the perennial trade-off between ‘performance’ and
‘process’ that has bedevilled technical cooperation since its inception. In
practice, this is one of the vicious systemic cycles that is common to capacity
building projects. Managers are under pressure to produce substantive
outcomes. They feel they cannot take the time or resources to invest in
capacity or process issues, e.g. workshops, training courses, learning
exercises, research. The organisation does not develop individual and
organisational competence to meet the performance standards. In response,
managers feel even less able to focus on capacity issues which in turn affect
performance. The organisation becomes trapped in a cycle of poor
performance and stagnating capacity from which it has trouble escaping, and
donor resources focused solely on achieving improved performance to
reinforce this cycle (DCoG (2) 2012:11).
6.6.3 Permanence or the sustainability issue
Finally, one of the most difficult challenges to do with capacity building is that of
achieving sustainability. Part of the problem is that of learning how to either create
or manage organisations to sustain their capacity and their developmental
contribution over time. A sustainable organisation is defined here as one that earns,
through its products, services and general contributions, the loyalty and support of a
sufficient number of stakeholders to allow it to keep functioning at a steady or
growing rate. But, the reverse can also be true, i.e. that the ability of organisations
to sustain themselves can have detrimental effects. Some organisations can
perpetuate themselves long after their developmental utility is over (DCoG (2)
2012:11).
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The issue then is to decide how best the performance of crucial functions can be
made sustainable, or, how best to maintain the flow of benefits and services with or
without the programmes or organisations that stimulated those benefits in the first
place. How then to combine a concern for sustainability with that of relevance and
performance? Part of the approach to inducing greater sustainability lies on the
‘supply’ side of capacity building, i.e. improving the ability of organisations or
systems to perform better, to provide value to citizens, beneficiaries and other
partners. In particular, it must gain a legitimacy that gives it the space and the
resources to maintain its existence. But the more determining issues appear to be
on the ‘demand’ side, i.e. equipping citizens with the information, access to political
power and capacity for making demands, that can enable them to control and
shape the performance of organisations that exist to serve them. In effect, this is a
governance issue that goes beyond the more limited scope of capacity building.
Some illustrative questions are (DCoG (2) 2012:11-12):
What is the connection or the interrelationship on this project between
formal institutions transplanted from outside and indigenous institutions
arising from the traditional culture?
What long term funding strategies are possible? Feasible? What is the
current pattern of dependence with regard to funding? What are the signs, if
any, of these organisations ‘institutionalising’ themselves or developing
legitimacy upon which to base their sustainability?
What is the legal foundation, if any, that underpins longer term capacity?
Next the indicators contained in South African Capacity Building Strategies that the
Draft Capacity Building Strategy for Local Government must also promote will be
dealt with.
6.7 South African capacity building strategies and indicators
The following sections discuss the purpose of relevant South African HRD
strategies (individual capacity building) that were discussed in section 3.9.13: The
HRD Strategy for SA 2010 to 2030; section 3.9.14: the NSDS III, 2011 to 2016 and
section 3.9.15: The National Skills Accord 2011. These strategies are important to
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note when discussing the SA capacity building strategy and indicators developed
for local government.
Also, it is relevant that in view of discussions an Integrated Public Service is the
HRD Strategy for the DPSA. The HRD Strategy for the Public Service is a strategic
framework for the development of HR in the public service and a subsystem of a
larger HRD framework in the public sector.
HRD in the public service is defined as those efforts undertaken by organisations to
ensure that employees are well prepared to undertake their responsibilities and
grow into viable careers, thereby adding value to the productivity and service of
their organisations, the motivation and performance of their peers and the
attainment of the overall vision of the developmental state. In doing so,
organisations seek to ensure that the right people are prepared in the right place, in
the right time and for the right positions to which they can readily contribute.
6.8 Draft NCBS for local government: Pillars, indicators and projects
In order to address concerns of some DCoG top managers that the NCBF: 2012 to
2016 is not achieving its goals and although it has become obvious that all DCoG
colleagues are aware of the NCBF that was specifically compiled in 2012 to direct
the long term actions of all stakeholders involved in building local government’s
capacity. It further addresses :
Chapter 13 of the NDP.
The Local Government Skills Audit baseline findings: 2007 to 2012.
LGTAS institutional and environmental capacity challenges.
The strategy links the NCBF pillars that form its base and are linked to indicators it
will be measured against in a phased approach (i.e. not all baseline indicators will
be implemented in the first year) and the projects through which those indicators
will be achieved will involve multi-level stakeholders.
The strategy is in consultation phase and once all stakeholders have been involved
provincial and municipal stakeholders will be empowered to develop relevant
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indicators for their levels of capacity building. Results, operations, and a project
plan will be developed, per project, and a quarterly review will be provided to the
NMCCMC.
In summary the strategy will address:
Table 6.9: Summary of the National Capacity Building Strategy (NCBS)
Pillars Projects
1. Improve coordination and impact made with initiatives aimed at local government, i.e.:
Sector Wide Authority (DCoG, the National Treasury and DPSA)
Specialised Authority (all other sector departments that use local government as the implementation sphere)
1.1. NMCCMC (and provincial and municipal equals), including its Working Groups.
1.2. An ICBMIS, including improving data collection to inform policy; an integrated annual national, provincial and municipal capacity building plan aimed at local government and impact determined and assessed
2. Promoting integrated and strategic approach to HRM and development
2.1. Municipal HR operates strategically and seamlessly with HRD
2.2 National and provincial, individual, institutional and environmental, capacity improved
3. Improve municipal and provincial CoGTA support and capacity building units’ individual capacity
3.1Improve and sustain municipal individual capacity workplace systems (e.g. GAPSKILL; training committees; knowledge management, etc.)
3.2 Generic and targeted national individual capacity building priorities provided to municipalities, including broadening the scope of skills development to capacity building; addressing staffing norms and standards for capacity building and ensuring the availability of data capturers and the development of data analysis skills at national, provincial and municipal levels
4. Improve municipal and provincial CoGTA support to municipalities and capacity building units’ institutional and environmental capacity
4.1 Institutional and environmental systems identified, improved and sustained, including Competence Profiles and Dictionary, TASK to OFO Matrix, Policies and Systems.
4.2 Generic and targeted national, institutional and
environmental priorities capacity building provided to municipalities
5. Connection between communal feedback and municipal capacity required
5.1 Service Delivery Improvement Programme, including Municipal Complaints Management Systems adapted to cater for feedback on individual and institutional capacity
5.2. Marketing local government as career of choice and improved communal understanding of local government services
Source: (Slideshow on NCBS 2012)
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Table 6.10: The DCoG’s continued focus in unpacking the projects
Individual: Councillors and officials, according to TASK to OFO – skills audit findings
Institution: StatsSA and municipal functional units
Environment: Municipal profiles
Leadership Policies Community Works Programme
Management Systems
Induction Procedures
IDP Capacity Management Practices
HR Capacity Professionalisation
Administrative Capacity Deployment Strategy
Legal Capacity LGTAS
End-user computing Municipal Support Agent
Differentiation
Legislation and Policy Framework
Source: (Slideshow on NCBS 2012)
The Draft Capacity Building Strategy’s phased, baseline indicators linked to the
pillars are contained in Table 6.10 and will need to be reviewed annually. Once
implemented in 2013, the relevance to the data required to transform local
government through capacity building and capacity results, should be determined.
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Table 6.11: Draft NCBS: Pillars and indicators for local government: 2012 to 2016
Outcome 9 KPIs IDP and PMDS and (LGSETA priority training areas)
Pillars that will drive the NCBS for local government
National NCBS for local government indicators: Phased implementation
NCBS for local government projects
A responsive, accountable, effective and efficient local government system (the context of the NCBF) that addresses seven critical issues referred to as outputs. Outputs include: Output 1: Develop a more rigorous, data driven and detailed segmentation of municipalities that better reflect the varied capacities and contexts within municipalities and lays the basis for differentiated approach to municipal financing, planning and support.
Spatial Development 1. Improve coordination and impact made with initiatives aimed at local government
1.1 The NMCCMC (and provincial and municipal equals), including its Working Groups.
1.2 Integrated Capacity Building Management of Information System, including improving data collection to inform policy; an integrated annual national, provincial and municipal Capacity Building Plan aimed at local government and impact determined and assessed
Output 2: Ensure improved basic services.
Starting 2012 / 2013 a. % of functional national,
provincial and municipal capacity coordination structures annually.
b. % of annual Capacity Building Plans by end of June annually.
2. Promoting integrated and strategic approach to HR management and development
2.1 Municipal HR operates strategically and seamlessly with HRD
2.2 National and provincial individual, institutional and environmental capacity improved
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c. % of stakeholders providing inputs into ICBMIS quarterly.
d. % of initiatives started vs. concluded annually.
e. % of initiatives per outcome 9 output area that addresses LGTAS priorities annually.
f. Nationally standardised learning material/initiatives for municipalities linked to career paths, for:
i. Induction and orientation on appointment.
ii. Managerial/leadership competence.
iii. Strategic HR competence. iv. AET. g. No. of partnerships
addressing capacity building in e. above.
h. No. of learners MISA contributes to the National Skills Accord and NSDS.
i. No. of scarce and crucial skill areas addressed annually and No. of learners per area.
Starting 2013/2014
j. Establishment of a Local Government Learning Institute (LGLI)
k. % of initiatives with predetermined impacts vs. initiatives implemented
l. % of initiatives’ impacts determined annually
m. % of funds allocated to individual capacity building
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annually n. Nationally standardised
learning material/initiatives for municipalities linked to career paths, for:
i. Administrative competence ii. Skills Development
Facilitators competence iii. Internal training, coaching
and mentoring capacity o. No. of partnerships
addressing capacity building in l. above
p. Determination of No. of mentors and coaches per DoHET occupational category Starting 2014/2015
q. LGLI’s contribution per DoHET occupational category towards individual capacity building
r. The Rand-amount that should nationally be legislatively budgeted and for which grants have been allocated vs. actual spend for individual capacity building annually
s. Numbers of mentors and coaches being trained per DoHET occupational category
t. Determination of how to cost institutional and environmental capacity building
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Starting 2015/2016
u. Annual cost of institutional and environmental capacity building
Output 3: Initiate ward-based programmes to sustain livelihoods
Starting 2012/2013 a. No. of HR generalists
capacity improved b. No. of HR specialists
capacity developed, including Skills Development Facilitators
Starting 2013/2014 c. % municipalities with
integrated HR policies approved vs. implemented
d. % of HR practitioners that believe HR operates seamlessly (e.g. performance informs capacity gaps)
e. % of municipalities in which managers are held accountable for capacity building
f. % of municipalities which use their HR budget as a planning and monitoring tool
g. Determine national and provincial capacity gaps
Starting 2014/2015 h. % of HR plans linked to IDPs
approved and implemented i. % of demand in HR plans
addressed j. % of exit interviews
3. Improve municipal and provincial CoGTA municipal support and capacity building units’ individual capacity
Starting 2012/2013 a. % of staff benefitting from skills
development per DoHET occupational grouping
b. % improved local government employee qualifications profile per NQF level
c. % improved local government AET profile
d. % of staff with PDPs linked to Competence Profiles
e. Determination of No. of interns to be appointed per annum in local government
Starting 2013/2014 f. % of WSPs and other capacity
building plans aligned to IDP Institutional Plans
g. RPL policy institutionalised h. % registered local government
professional institutions i. No. of interns accommodated
annually j. Determination of municipalities
access to technology for learning purposes
Starting 2014/2015 k. % improvement in WSPs
aligned to PDPs and priority programmes
l. No. of recognised RPL per
3.1 Improve and sustain municipal individual capacity workplace systems (e.g. GAPSKILL; Training Committees, Knowledge Management, etc.)
3.2 Generic and targeted national individual capacity building priorities provided to municipalities, including broadening the scope of skills development to capacity building; addressing staffing norms and standards for capacity building and ensuring the availability of data capturers and the development of data analysis skills at national, provincial and municipal levels
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conducted vs. employees leaving the municipality annually
k. % of municipalities that conduct and implement the findings of staff satisfaction surveys
l. GAPSKILL interfaces with electronic HR system for local government
m. % improvement in national and provincial capacity gaps
DoHET occupational category m. % of staff registered with
recognised, sector-specific professional bodies
n. No. of interns absorbed into establishment annually (part of HR Planning)
o. % of municipalities making use of technology for learning purposes
Output 4: Contribute to the achievement of sustainable human settlements and quality neighbourhoods
Financial Viability [Financial Viability with focus areas: Municipal finance Property valuation Internal audit Infrastructure asset management]
4. Improve municipal and provincial CoGTA municipal support and capacity building units’ institutional and environmental capacity
Starting 2012/2013 a. % municipalities using
GAPSKILL to inform their WSPs b. % of municipalities requiring vs.
receiving GAPSKILL training c. % of municipalities using
competence profiles/dictionary to inform their PDPs
d. % of municipal staff with a PDP linked to a career plan
e. % of functional Training Committees
f. % of competent Skills Development Facilitators
Starting 2013/2014 g. % of support / capacity building
plans aligned to IDP Institutional Plans
h. No. of interns per province No. of interns placed after
internships i. % of municipalities benefitting
from specialised support/ capacity building
j. % of municipalities benefitting
4.1 Institutional and environmental systems identified, improved and sustained, including Competence Profiles and Dictionary, TASK to OFO Matrix, Policies and Systems.
4.2 Generic and targeted national institutional and environmental priorities capacity building provided to municipalities
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from generic support/capacity building
k. Agree on institutional and environmental capacity assessment tool
Starting 2014/2015 l. % improved institutional and
environmental capacity against baseline
Output 5: Strengthen participatory governance
Municipal Transformation and Organisational Development (Management and Leadership with focus areas: Ward committees; Councillors; Traditional leaders and Management and Workplace training systems with focus areas: Skills development facilitators Training committees Local labour forums and Adult Education and Training)
5. Connection between communal feedback and municipal capacity required
Starting 2012/2013 a. Determination of baseline for
municipal Complaint Management Systems
b. Determination of what is being done on marketing local government as career of choice and improved communal understanding of local government services
c. Determination of baseline service norms and standards
Starting 2013/2014 d. % of municipal Complaint
Management Systems providing feedback on municipal individual and institutional capacity
e. No. of communal Local Government Awareness Programmes
f. % of municipalities implementing service norms and standards
5.1 SDIP, including Municipal Complaints Management Systems adapted to cater for feedback on individual and institutional capacity
5.2. Marketing local government as career of choice and improved communal understanding of local government services
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Starting 2014/2015 g. % improvement in adherence to
municipal service norms and standards
Output 6: Strengthen the administrative and financial capability of municipalities
Good governance and public participation (Community Based Planning and Development with focus areas: IDP; Municipal planning (including urban planning); LED and Cooperatives)
Output 7: Address coordination problems and strengthen cross-departmental initiatives
Source: (DCoG 2012 (3b)).
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6.9 Summary
The chapter provided an overview of performance planning as practiced in
government including a focus on planning, implementation and predetermined
‘impact’; monitoring and reporting; evaluation; the LFA; and impact assessments.
In view of the focus of the chapter being on measuring/assessing capacity (not linked
to performance planning) it deals with individual CAT; institutional and environmental
CAT with some information from a literature review on international institutional CAT
approaches to and examples of international institutional CAT tools; such as PROSE
for multiple organisations and an IDF for a single organisation, and an international
environmental capacity assessment approach.
Prior to a discussion on designing capacity building indicators an explanation is
provided of other concepts associated with measuring, for example, indicators;
providing examples of four types of indicators found in local government:
development indicators; performance indicators; differentiation indicators; capacity
indicators and to address a current debate: capacity indicators versus performance
indicators. Also, targets; precondition for building capacity; demand, benchmarks,
triggers and levers, and skills utilisation and productivity are considered.
Next, the design of capacity indicators in terms of the product, performance or
outcomes, permanence and the sustainability issue is discussed followed by an
introduction of South African capacity building strategies and indicators. Lastly, a
draft NCBS and indicators for local government are shared.
This chapter thus strengthens the implementation framework of the NCBF: 2012 to
2016 by providing a complementary strategy and its indicators. The strategy,
however, is at conceptualisation stage and will only be implemented in 2014. After
implementation it will allow for annual reviews to ensure an understanding of the
relevance of baseline indicators currently proposed. Also, some further work is
necessary nationally to institutionalise the NCBF and its strategy. Provinces and
municipalities also need to be directed to draft relevant capacity building and –results
indicators to assist with the collection of relevant data at all MandE and government
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levels, to provide direction for the transformation of local government through
capacity building and -results.
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CHAPTER SEVEN
EVALUATION, CONCLUSIONS AND PROPOSALS
7.1 Introduction
Given the emphasis in skills development praxis and literature on ways to involve the
NCBF in better implementation and coordination processes on all the levels
government the aim with this chapter is to consolidate the contents of and
assumptions contained in all the chapters in this thesis and to propose
improvements to the NCBF for the next term of office, following the local government
elections towards 2016. The thesis explored, described, explained and predicted a
number of aspects in terms of the theoretical underpinning and practical application
of the NCBF.
This chapter presents a synthesis of the study taking the key findings into account to
draw conclusions on the problem statement. The study followed a multi-stage
qualitative research approach, bringing into play a combination of mixed data
collection methods. The methods are triangulated to strengthen the research
approached utilised to draw on a number of theoretical perspectives and literature
that is not commonly related to one another in the scholarly field (training, HRD,
intergovernmental relations, differentiations and measurement). Conclusions are
drawn that reflect the research objectives below which provide useful answers for the
research questions posed in this study, to reduce the gap in the literature for more
insight and input into future research.
In the introductory chapter, the following guiding research question that was posed:
(see section 1.3) What is the nature and scope of the SA local government
NCBF and which priority interventions could be taken at an institutional level
to promote the objectives of local government as constructed within the
Constitution? formed the core of the statement of the problem as discussed in
Chapter One (see section 1.2). To facilitate research and to investigate the problems
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identified in this study, the focus was subdivided into six research objectives (see
section 1.4) that was analysed in the forgoing chapters of the thesis.
The following objectives were addressed by means of establishing a clear and
meaningful basis for their interpretation and utilisation in the context of the chapters
in this thesis.
Objective One discussed in Chapter Two aimed to provide a description and
an explanation of ‘the state’ related concepts, phenomena, institutions,
structures and processes influencing the meanings, foundations and
processes of the institutional, regulatory and developmental policy framework
of the SA government system, through the application of a literature study .
Objective Two discussed in Chapter Three aimed to provide an overview,
through the application of a documentary analysis and literature study, of the
variables influencing the context, meanings, foundations and processes of the
legislation, policies and strategies aligned with the NCBF in local government
and capacity building.
Objective Three discussed in Chapter Four aimed to provide a description and
an explanation of the conceptual and process variables influencing the
interaction of cooperative governance and support, capacity building and
training on the NCBF.
Objective Four discussed in Chapter Five aimed to provide an integration of
the determinants influencing a differentiated approach to support, capacity
building and training in the local government sector, through the application of
observations in terms of the facts obtained from the literature studies of the
previous objectives as well as a validation of these facts through the
application of information obtained during interviews.
Objective Five discussed in Chapter Six aimed to provide a systematic
exploration of a strategy to measure support, capacity building and training on
the local government level by developing measureable capacity indicators to
optimally implement the NCBF of 2011 to 2016 in the long term.
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Objective Six in Chapter Seven draw conclusions and make proposals to
strengthen the annual Integrated National Capacity Building Plan (INCBP) in
order to propose considerations in revising the NCBF beyond 2011 through
the application of observations in terms of the facts obtained through the
literature studies of the previous objectives as well as a validation of these
facts through the application of information obtained during interviews with
stakeholders.
7.2 Synthesis of the chapters and findings of the research objectives
Information was collected that would address all these research objectives,
individually an/or collectively to ensure that this study is also seen as an appraisal of
a process and not only as a description based on information from the preceding
chapters culminating in various objectives. New insights will also be provided in this
chapter to substantiate the findings made in the previous chapters, in order to draw
conclusions and make proposals on the role of NCBF which was originally
developed in 2011, and after refinement in 2012 implemented in 2013; to further
consider its implementation until 2016.
7.2.1 Chapter Two: Variables influencing the institutional, regulatory and
policy framework of the South African government
Chapter Two aimed to clarify the following research questions (see section 1.3):
What is the nature of the variables influencing the theoretical grounding in
terms of the institutional, regulatory and developmental policy frameworks of
the SA government system?
What are the potentials and challenges that SA must consider to achieve its
objectives of being a developmental state?
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Does the fact that SA is a democratic state influence the State’s ability to be
developmental?
Does the Constitution of 1996, in Section 153 capture the central goal of
development, thus creating the potential for South African local government to
assist SA in becoming a developmental state?
Do the semantic differences in the names between the national DCoG and
provincial departments affect the support that provinces are providing to local
government in terms of creating a difference in the understanding of the
function required of it and thus the capacity made available?
The chapter deliberated about South Africa as a democratic, developmental state
through reflections on government versus state; the objectives of a state; a
developmental state; the potentials and challenges for SA as developmental state
and a democratic developmental state. This was followed by providing a background
to a government system and the operations of the State with general reference to the
SA government system. Consideration was given to the legislative, executive and
judicial (judiciary) authority and the three spheres of government in SA, the
emphasis being on national government departments in general with a further focus
on the Ministry for CoGTA and the DCoG in particular. This was followed by
provincial government departments, focusing on the MECs for CoGTAs and
provincial DCoGs. Next, local government followed and in particular with an overview
of local government’s transformation through phases 1, 2 and 3. Local government
and its transition through three phases (from 1994 to 2010) was discussed to
indicate that the comprehensive transformation of municipalities (as organisations) is
a timely process and has not yet reached sustainability. Finally, other state
institutions were also discussed.
In view of the fact that the NCBF is a policy framework, some discussions were also
provided on the policy process and its terminology and the phases in the policy
process, i.e. policy initiation; design; analysis; formulation; dialogue and advocacy;
implementation and evaluation. Reference was made to integrated policy making to
enable sustainable development. Next, factors influencing policy making in
government were deliberated on by reflecting on politics and policy; the political-
administrative interface and policy making (a popular phrase used in government);
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public administration, -management and -governance and policy; trade unions,
politics and policy and public participation and policy. Policy versus strategy was
considered in preparation of a later chapter (Chapter Six) on indicators to measure
local government capacity. Next followed other concepts associated with the South
African government system, including unitary and federal systems; decentralisation,
centralisation, governmental relations, coordination; constitutional interventions;
dimensions found in government; and span of control.
This chapter positioned the NCBF within government’s vision (such as becoming a
democratic developmental state) and indicated how government, which implements
the NCBF, operates in terms of the current policy and the cycle of public policy
making.
The purpose of the chapter was inter alia to eliminate confusion regarding
conceptual and contextual factors related to SA as a democratic developmental
state, the role of government versus the State, the SA government system and the
three spheres of government. The NCBF was positioned within the government’s
vision for South Africa to achieve the objectives of a developmental state. It was also
imperative to provide the context of state and other institutions influencing the
implementation of the NCBF, the locus and focus of local government, as well as the
context of the policy process.
Therefore, the chapter aimed to provide a context within which the NCBF functions
by initially reflecting on SA’s vision towards a democratic developmental state.
Chapter Two reflected on President Zuma’s statement that: “We must creatively look
into strengthening institutional capacity through skills acquisition and development.
We must find ways of attracting the best technical, managerial and financial minds to
our municipalities even the most remote” (Local Government Bulletin October
2009:5).
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The Minister of CoGTA’s Delivery Agreement (2010:5) underscores the overarching
problem statement to local government after ten years of democratic local
government as follows: “Despite significant gains, research and assessments have
shown that there are many municipalities that are in deep distress. This distress
refers to their faltering ability to deliver services, to manage their institutions, and to
engage in empowering public engagement with communities”. The question to ask in
regard to the above comments is whether the NCBF is assisting in addressing this
situation?
7.2.2 Chapter Three: Legislation and related policy frameworks relevant to
developmental local government strategies for capacity building
Chapter Three reported on the research question: What is the nature of the
interaction among the variables influencing the legislative and policy frameworks as
well as the strategy positions in developmental local government and capacity
building?
The chapter discussed the legislation, policy, framework and strategy positions
which influence local government and capacity building by contextualizing legislation,
the legislative function and processes in terms of legislation and the legislative
function, delegated legislation, improvements to the legislative processes and
legislation at the three spheres of government; in general. The chapter expanded on
the SA local government law in terms of the principles and norms of SA government
law, the legal nature of local government and the statutory framework of local
government; in particular. It also provided a particular outline on legislation specific
to local government from the perspective of a sphere-wide regulatory authority. In
this regard the Constitution, the IFRA, the Organised Local Government Act, the
Municipal Demarcation Act, the Municipal Structures Act, the MSA, the Disaster
Management Act, the MFMA, the MPRA, the IGRFA and the DORA were discussed.
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The legislation linked to departments with specialised or sector-specific authority was
also given attention in terms of the Constitution and national sector departments’
legislation impacting on local government; professions that are legislated and found
within municipalities and generic HR and public administration legislation; legislation
that impacts on capacity building are the Constitution, the Municipal Structures Act,
the MSA and the IGRFA. In addition attention was given to a broadened legislative
scope for capacity building and national sector legislation related to skills
development and education. Ethics and legislation about common legal issues
relevant to local government, in terms of the challenges of how local government
should implement and address the implementation challenges, were considered. The
legislation as well as current policy, frameworks and strategies that influence local
government and capacity building, were discussed. These aspects include the RDS,
the UDS, GEAR, the NDP, the Green Paper on Improving Government Performance,
the Intervention in Provinces and Municipalities Bill, an integrated/single public
service, the Framework for a Differentiated Approach to Municipal Support;
Discussion Document of 2011, the IDPs, the WDOT agenda, the SALGBC, the ECD
Services of 2006, the HRD-SA, the NSDS III, the National Skills Accord of 2011 and
the NCBF: 2012 to 2016.
Chapter Three highlighted the challenges municipalities face in terms of legislation
and indicates that there is some legislation which possibly creates barriers for
effective service delivery. In view of the aforementioned the current policy,
frameworks and strategies being developed, were also discussed to provide an
indication of government’s efforts to address the challenges.
Also, an argument is made that the different approach between skills development
legislation and the NCBF may create barriers for the long term implementation of the
NCBF because the NCBF proposes a more holistic approach to building individual,
workplace, and South African capacity.
Furthermore, SA has at least three strategies to address human resource
development/skills development that may be perceived not to be aligned and too
comprehensive, thus making implementation at workplace levels difficult.
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Although the question of capacity is being addressed, the NDP’s proposal that more
long term than ad hoc initiatives be embarked on needs to be addressed more
extensively in the next phase of the implementation of the NCBF.
Chapters Two and Three also formed the basis for the fourth chapter and third
objective, by discussing the democratic and developmental state (and government);
the government system; its structure; operations and policy process and concepts;
followed by the legislative; policy; framework and strategy positions which influence
local government and support, capacity building and training, respectively. Both
chapters aimed to position the Draft Revised NCBF: 2012 to 2016 within the context
of the State, in general, and local government, in particular.
It seems as if there is a gap in the legislation relevant to local government support,
capacity building and training in South African local government. The skills
development and education legislation may oblige municipalities to currently compile
the WSP required of them annually by the end of June, to mainly comply with skills
development requirements; but the problem is that the WSPs are mostly done in
isolation of other institutional and environmental capacity building gaps.
Although the quality of said WSPs has been questioned and the LGSETA has
instituted an annual process of evaluation in an attempt to improve their quality, the
focus remains on individual capacity (thus a fragmented approach). It may also be
why the impact that everyone is looking for is deemed not to be achieved (although
not many impact assessment findings are available to comprehensively understand
the situation). This is because many programmes do not prepare individuals to
function/cope with the institutional or environmental challenges within which they
operate, nor are the institutional/environmental matters addressed simultaneously to
addressing the individual capacity gaps.
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CoGTA is implementing an integrated approach through the MISA’s diagnostic
assessments towards compiling integrated municipal support plans in some
vulnerable municipalities (with the future aim to cover all). However, for those not yet
involved in the MISA process, the five-year IDP process should be used to address
integrated individual, institutional and environmental capacity building matters
identified during the “State of Local Government” assessments in 2009 as well as the
findings of other assessments and surveys conducted. The IDP has an Institutional
Plan as an Annexure to the IDP that should be used to link the capacity building
process to the planning process.
Thus, the approach in addressing the three types of capacity remains fragmented
and not integrated. Also, municipalities are not currently expected to have annual
capacity building plans and there is no structure in place in the municipal sphere yet
to oversee such a process, as is the case with national and provincial government.
Also, the value chain from planning to monitoring and evaluation must be clearly
defined, understood and implemented by all role players at all three spheres of
government and associated institutions if one wants to affirm that a systemic
approach is being adopted to capacity building which is informed by each aspect of
the value chain. Furthermore, as it is people who implement the legislation and the
ethical conduct of role players is considered to be an important aspect in ensuring
compliance to legislation and improvement of legislative processes.
This thesis argues that despite the comprehensive scope of skills development
legislation the approach to skills development is too narrow, that is, it focuses on one
aspect of capacity building only - the individual - and does not follow the preferred
systemic approach to capacity building as proposed in the NCBF for Local
Government: 2012 to 2016, including the institution and environmental aspects of the
system.
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7.2.3 Chapter Four: Conceptual and process variables influencing
the national capacity building framework: cooperative
governance and support, capacity building and training
Chapter Four aimed to clarify the following research questions posed in
Chapter One (section 1.3 and also see section 4.1):
What does the South African cooperative governance system entail and how
does it interface with intergovernmental relations?
Do intergovernmental relations provide the basis for cooperative governance?
What are the conceptual and process variables influencing cooperative
governance, support, capacity building and training in terms of the NCBF?
The chapter provided background to the South African cooperative governance
system which entailed the conceptual and process variables of cooperative
governance and support, capacity building and training, and the influence of
cooperative governance on the NCBF. The concepts relevant to cooperative
governance, support, capacity building and training affording an understanding of
this field were also addressed.
Thus, the chapter considered the principles behind IGR; the origin of cooperative
governance; the development of cooperative governance in SA; and the proposals
towards a project based structure of to promote cooperative governance in the
relevant organisations. A contextualization of concepts relevant to cooperative
governance, support, capacity building and training is provided and the following
phenomena are discussed: cooperative governance versus IGR; cooperative
governance and coordination; the interface between cooperative governance,
governance and good governance; the importance of leadership in exercising
cooperative governance; cooperative governance and strategic planning and
management; cooperative governance and coordination, co-management,
collaborative management and cooperative governance; municipal entity, public
private partnerships and cooperative governance; and the interface between
473
sustainable development and cooperative governance. Concepts related to support,
capacity building, and training in terms of national IGR structures, the PCC,
MinMECs, the NCOP, the FOSAD, the Budget Council and Local Government
Budget Forum, several inter-ministerial committees, different kinds of municipal
committees (such as municipal committees and ward committees, are also dealt
with.
This is followed by elements of IGR in practice in SA with reference to concurrent
competencies, implementation protocols and disputes during joint implementation.
Attention is given to structuring government to benefit the citizen (public
participation) with reference to public participation in cooperative governance,
community-based planning, decentralisation and centralization, the federal system,
ignorant citizens, challenges of cooperative IGR; proposals to improve the South
African cooperative governance system and the successes of cooperative IGR and
experimentation.
The most prominent national IGR structures are dealt with and elements of IGR in
practice in SA are imparted to provide the basis for discussing the challenges of
cooperative IGR. The chapter also discussed how the DCoG proposes to improve
the SA cooperative governance system and the successes of IGR.
Lastly, the influence of cooperative governance on the NCBF in terms of the capacity
required by the State, contributions by Further and Higher Education Institutions, and
public service training is discussed. The Draft Revised NCBF: 2012 to 2016 was
disclosed and the relevant portion of the reviewed document focusing on a
cooperative governance approach is shared. In doing so it can be said that the
NCBF: 2012 to 2016 has adhered to the following good governance and cooperative
governance principles to address support, capacity building and training aimed at
local government by various stakeholders across the three spheres and associated
institutions:
Joint planning (to improve resourcing and minimize duplication).
Co-management/co-facilitation.
474
Collaboration.
Coordination (to improve impact with support, capacity building and training initiatives).
Monitoring and advising.
Reporting.
Sharing of good practices.
Interfacing on functional matters of mutual interest.
7.2.4 Chapter Five: A differentiated approach to support, capacity building
and training for local government
Chapter Five aimed to clarify the following research questions which were posed in
Chapter One (section 1.3 and see also section 5.1):
What are the variables influencing differentiation in local government in terms
of support, capacity building and training?
Does the NCBF: 2012 to 2016 adequately take government’s policy on
differentiation into consideration?
What does the phenomenon capacity development, in relation to the concepts
skills development and training, entail?
Chapter Five outlined an integration of the determinants influencing a differentiated
approach to support, capacity building and training in the local government sector,
through the application of observations in terms of the facts obtained from the
literature studies of the previous objectives, as well as a validation of these facts
through the application of information obtained during interviews.
The chapter commenced by explaining differentiation as contained in legislation with
reference to the Constitution and the MSA and provided a background to the
475
phenomenon of differentiation. A discussion of the concepts of importance within the
context of differentiation followed and these included differentiation;, differentiation
and basic services; differentiation and the management resources; differentiation,
segmentation and support; differentiation, functionality and viability; and
differentiation and equity. Differentiation in terms of the perspective of the citizen is
highlighted with the focus on the economy and service delivery protests. Attention is
then given to differentiation required in structuring and managing an organisation
and differentiation in South African local government.
In terms of differentiation in the South African local government Chapter Five
discussed the various typologies (segmentation models) listed in this chapter. These
include the National Treasury, the MIIF, the MDB, municipalities segmented
according to audit performance, the DCoG’s spatially vulnerable municipalities’
segmentation model, the LGSETA’s municipal segmentation and a deliberation on
typologies. The chapter also focused on differentiation, the developmental state and
policy requirements for local government in an attempt to better understand or
effectively support municipalities. These include differentiation and powers and
functions, differentiation and financial resources, differentiation and the urban-rural
divide (including metros, secondary cities, districts and local municipalities),
differentiation and institutional systems, differentiation and LED and differentiation
and capacity challenges. The latter are: generic capacity challenges and sector-
specific challenges. A differentiated approach is proposed for local government and
the chapter concluded on the role of differentiation in support, capacity building and
training.
The chapter addressed many characteristics in an attempt to better understand how
municipalities could effectively be supported. These are: anti-corruption campaigns;
broad spatial characteristics; budget required/financial viability; capacity building,
systems, human resources development and improved organisational culture;
community/social services; community participation; financial aspects; financial
viability; ‘Free Basic Services’ which target poor households, appropriate billing
system and reducing municipal debt; general management; good governance; HR;
476
institutional arrangements; IDP; integrated human settlement development; LED; job
creation, the Extended Public Works Programme and Municipal Infrastructure; the
nature of the support required; a Performance Management System; performance
monitoring, evaluation and communication; political structures; poverty and under-
development in those areas with the highest concentration of population; powers and
functions; public empowerment, participation and community development; service
delivery; size; Spatial Development Framework; special intervention in rural and
urban development nodes; technical services; the capacity (systems, processes and
HR) to implement MIG projects and the urban and rural nature of municipalities;
each typology with its own criteria relevant to a specific area of focus. Looking at the
list it is diverse.
Differentiation can be seen as a tool to try and focus the support from national and
provincial government and associated institutions to local government toward
ensuring functional, performing municipalities which deliver their services
adequately.
However, various authors have highlighted the following as aspects that also need
attention should local government as a system be successful:
Reinvent government to ensure a developmental state.
A municipality must be structured so that its operations succeed (productive
capability).
Financial strategies (not compliance) are needed in the municipal space.
Cooperative governance (to address complexities in powers and functions
and limited resources).
A sustainable livelihood framework is needed to address urbanisation.
Effective policy formulation.
Build the capacity to manage resources.
Equity and community-based planning and monitoring of delivery (active
citizens).
Leadership, unity and social cohesion must be built.
477
An understanding of exactly what each of the municipalities’ profiles contain is
needed.
From the perspective of the NCBF that aims to approach capacity building uniquely
and holistically from an individual, institutional and environmental perspective, the
only concern is that the differentiated approach may take attention away from the
work that needs to logically happen.
In the end, citizens want their needs addressed and thus the words contained in the
NDP (2011:23) are so relevant: “It has to be painstakingly built, brick by brick,
institution by institution and sustained and rejuvenated over time”. This remains the
preferred approach and it is thought to be the more sustainable approach. The
author of this thesis is of the view that perhaps, we need to educate our nation and
politicians on how to patiently first build functional institutions (while monitoring their
progress), before we measure their performance and expect delivery of services that
they may not yet be able to deliver.
It can be said that government in the past decade and a half focused heavily on
physical infrastructure for public service delivery, but that the time has come to start
balancing the tangible/infrastructure delivery with the intangible/developmental
impacts, e.g. sustaining quality of life and restoration of human dignity. It can be
argued that public service delivery might perpetuate the dependency syndrome in
the minds of communities unless emphasis is placed equally on tangibility and
intangibility (DCoG: RWP 2011: 60-61).
Achieving this is not yet the case when one considers the content of the Minister for
COGTA’s Delivery Agreement (2010:58) which states that: “[n]ot all municipalities
have the same capacity to raise revenues, as levels of poverty vary considerably and
are particularly high in mostly rural municipalities” and that (2010:73) “there is
evidence of a huge lack of capacity at provincial level to perform their functions
adequately...At this stage the country does not have a systematic approach towards
478
performance monitoring and support for local government (despite Chapter 6 of the
Municipal Systems Act dealing with such). Most of the efforts are ad hoc…”.
According to the NDP we require urgent measures to address our most pressing
needs, particularly high levels of unemployment, especially among the youth
(2011:1). Approaching local government using a differentiated approach seems to be
the current measure to resolve the pressing issues at local government level. But,
will it be sustainable if the actual requirements to ensure functional spheres are not
addressed? That is, if every sphere and said institution in that sphere’s needs are
each not addressed according to its uniqueness?
Notably, Haswell (2011:16), the former Municipal Manager of Msunduzi (an aspiring
metro), says it is a myth that if only municipalities were better run they could be self-
sufficient. He explains that small municipalities expanded to include areas that are
many times larger, but poorly developed if not entirely neglected, which were home
to the majority of their communities, to provide services and this resulted in
stretching scarce municipal rates income. And thus, he believes that “something has
to give and that something is the maintenance of existing infrastructure”. This decay,
he says, (Haswell 2011:16), was aided and abetted by the ‘retirement’ of many
highly competent municipal officials. If one uses Msunduzi Municipality (in
Pietermaritzburg) as an example, he explains that it has to service and develop an
area three times larger than that formerly administered, with ‘treble’ the population;
where two thirds consist of tribal and township areas.
Thus, according to Haswell (2011:16) the new municipality has to make do with the
rates revenue generated only in the city. This is simply a recipe for spreading inferior
service delivery and maintenance throughout the whole area. Clearly, neither the
equitable share; which is meant to cover the full cost of basic services for the poor,
nor the municipal infrastructure grant; which funds the development of only
rudimentary services and therefore adds to the maintenance woes; is sufficient to
both develop new and maintain existing assets (Haswell 2011:16-17). He is of the
479
view that municipalities should receive more than national and provincial government
from the fiscus and says that: “currently municipal budgets are bookkeeping
exercises rather than financial strategies. They may comply with the law, they may
result in an unqualified audit but they will not result in our municipalities becoming
developmental!” (Haswell 2011:16-17).
Provincial and municipal governments are in the front line of service delivery.
Devolution provides the mechanism for them to be held accountable at the local level
both through the ballot box and, informally, through service delivery protests.
However, devolution does not absolve national government of its responsibility for
ensuring that services are delivered effectively and equitably. Just as national
government needs to ensure that provincial and municipal administrations have the
funds to carry out their core functions, it also needs to ensure that they have the
administrative capacity. This requires focused attention on the administrative
shortcomings of the provinces and municipalities that incorporated the former
homelands. Here, it is essential to look beyond the story of formal organisational
transformation to consider the ways in which these organisations continue to operate
in practice. In the longer term, government needs a clear plan to build an adequate
administrative and technical skills base with a professional common purpose (Major
challenges facing local government. www.npconline.co.za/pebble.asp?relid=76).
According to the draft FDA it is now widely acknowledged that the one-size-fits-all
approach (adopted by national and provincial government) to legislative and policy
implementation, and to fiscal, functional and planning arrangements for local
government, has not assisted municipalities with varying legacies and backgrounds
to deliver uniformly on their mandates and obligations. The ‘one-size-fits-all’
strategies did not take into consideration the impact of major integration challenges
compounded by spatial differences between municipalities in terms of capacity to
raise revenue and to deliver services (2011:4-5). However, as noted before, there is
some legislation, such as the MPRA of 2004, which adopted a differentiated
approach but it is not yet known whether the approach will achieve the desired
effect.
480
However, the NDP (2011:23) also states that a capable state does not materialise by
decree, nor can it be legislated or crafted from conference resolutions. It has to be
painstakingly built, brick by brick, institution by institution, and sustained and
rejuvenated over time. It requires leadership, sound policies, skilled managers and
workers, clear lines of accountability, appropriate systems and consistent and fair
application of rules.
7.2.5 Chapter Six: Variables influencing the measurement of local government
support, capacity building and training
Chapter Six aimed to clarify the following research questions which were posed in
Chapter One (section 1.3 and see also section 6.1):
What does measuring local government support, capacity building and
training entail?
What should a minimum set of indicators to measure local government’s
capacity entail?
How does work done in SA compare with international institutional capacity
assessments?
Was the DCoG’s NCBF from 2008 until 2011 effective in terms of coordinating
and ensuring a positive impact on support, capacity building and training
initiatives?
Is the NCBF from 2011 to 2016 going to be comprehensive enough to
address the challenges that local government faces?
How can a comprehensive programme of initiatives aimed at local
government be compiled?
What proposed amendments can be made to the NCBF for it to be effective in
facilitating coordination and ensuring that impact is achieved post 2011?
The aim with the sixth chapter is to develop a strategy to optimally implement the
NCBF: 2012 to 2016 in the long term and further strengthen the annual INCBP
481
aimed at local government and a combination of all stakeholders’ annual capacity
building initiatives aimed at local government.
Chapter Six provided explanations on measuring local government support, capacity
building and training. In view of the fact that the focus of the chapter was on
measuring/ assessing capacity (not linked to performance planning) it deals with
individual capacity assessment and tools; institutional and environmental capacity
assessment and tools, with some information from a literature review on international
institutional capacity assessment approaches and examples of international
institutional capacity assessment tools such as: PROSE for multiple organisations;
an IDF for a single organisation; and an international environmental capacity
assessment approach.
The chapter starts with a background and rationale for measurable capacity
indicators. An explanation on performance planning with a focus on planning,
implementation and predetermined ‘impact’; monitoring and reporting; evaluation; the
logical framework approach and impact assessments, is provided.
The chapter also discussed measuring capacity in terms of individual capacity
assessments and tools as well as institutional and environmental capacity
assessments and tools. The latter included an international institutional capacity
assessment, approaches to international institutional CATs tools, PROSE, IDF and
an international environmental capacity assessment approach.
This is followed by an explanation of other concepts associated with measuring:
indicators; targets with a focus on four types of indicators: development indicators,
performance indicators, differentiation indicators, capacity indicators and to address
a current debate on capacity indicators versus performance indicators. Also, targets:
a precondition for building capacity; demand, benchmarks, triggers and levers and
skills utilisation and productivity; are considered.
482
A discussion on the design of capacity indicators in terms of the product;
performance or outcomes and permanence or the sustainability issue; follows to
introduce South African capacity building strategies and indicators. Lastly, the draft
NCBS (including pillar, indicators and projects and indicators) for local government is
shared.
7.3 Conclusion
This thesis thus discussed instruments which aim to strengthen the implementation
framework of the NCBF: 2012 to 2016 through a complementary strategy and its
indicators. The strategy, however, is at conceptualisation stage and will only be
implemented in 2013. After implementation it will allow for annual reviews to ensure
an understanding of the relevance of baseline indicators currently proposed. Also,
some further work is necessary nationally to institutionalise the NCBF and its
implementation strategy. Provinces and municipalities further need to be directed to
draft relevant capacity building and –results indicators to assist with the collection of
relevant data at all MandE and government levels, to provide direction for the
transformation of local government through capacity building and –results.
After the local government elections in 2016, the NCBF and related strategies will as
is practice, be reviewed to capture emerging policy positions from the NDP and
reflect on lessons learnt during the current term of office, with the aim to improve the
impact that support, capacity building and training aimed at local government, needs
to achieve beyond 2016.
The following conclusions emerged from a review of literature conducted, towards
the compilation of a ‘Discussion Document: To develop Capacity Building
Benchmarks as required by the Reviewed NCBF: 2011 to 2016’ (DCoG 2 2012:3):
Despite the prevalent conceptual and analytical vagueness of the term
‘capacity building’, most authors today agree that capacity building involves
something more than the strengthening of individual competence and abilities.
Trained individuals need an appropriate environment, and the proper mix of
opportunities and incentives to use their acquired knowledge. Understanding
483
capacity building therefore requires a more comprehensive analytical
framework that takes into account the individual, the institutional (or
organisational) and environmental (or societal) levels of analysis. Both
practitioners and academics agree that environmental weakness constitutes a
major constraint on development.
Performance indicators cannot be substituted for capacity building indicators.
Although capacity and performance are related, they are not synonymous and
failure to distinguish between these concepts can lead to misleading
conclusions. Capacity building is a process and therefore it can be measured
in degrees; the latter requiring the definition of benchmarks.
While capacity building can be measured in three analytic dimensions,
indicators of capacity building cannot be constructed in abstraction. Indicators
only become operational when they are related to a particular development
objective (capacity for what?) and make reference to specific actors towards
which capacity building projects are directed (capacity for whom?). Indicators
of capacity building of a country’s financial institutions, for example, will be
different from indicators for the building of a NGO’s capacity.
This chapter follows on the chapters (two and three), that reflected on the democratic
and developmental state (and government); the government system; its structure;
operations and policy process and concepts, followed by the legislative; policy;
framework and strategy positions, which influence local government and support,
capacity building and training, respectively. The aims with chapters two and three
being to position the Draft Revised NCBF: 2012 to 2016 within the context of the
State, in genera,l and local government, in particular and legislation, policy,
framework and strategy positions. It also follows on chapters four and five that dealt
with current policy positions which have an influence on the NCBF, namely:
cooperative governance and differentiation, respectively.
Adopting the view that each chapter is building towards a national support, capacity
building oversight and coordination model for local government, Chapter Six
consolidated all previous discussions resulting in Diagram 7.1 to illustrate what a
484
national support, capacity building oversight and coordination model for local
government should contain. The elements towards developing such a model are
sketched in the diagram below and incorporate the content of discussions of the
previous chapters:
Diagram 7.1: Proposed capacity building oversight and coordination model for local
government
Source: Summary of information from the previous chapters
Community (serviced)
National Government
Provincial Government
278 Municipalities and their Entities make up Local
Government and are at different
levels of capacity
Gap analysis
Develop law / policy, oversee
and support province
Monitor and support local
government and policy inputs
Provide services and implement law and policy
inputs
Redress
34 portfolios
Elected and
Appointed
Officials
Associated
institutions
Focus on the
capacitation of
local
government
Politicians, trade unions,
community
organisations, business
and voters’ participation
Process /
Functions
Three
‘autonomous’
spheres
Powers and functions
across spheres not clear
Improve collaboration
Illustrates
relationships
485
This thesis thus strengthens the implementation framework of the NCBF: 2012 to
2016 through a complementary strategy and its indicators.
7.4 Final word
The research showed that the full potential of the NCBF is not understood by the
institutions and officials involved, and therefore, not fully exploited from an IGR
process point of view. It is specifically the coordination for the use of cooperative
governance that should be addressed.
This study assisted the researcher and should assist those who may access it to:
Capture and understand a specific policy time line in the evolution of the
NCBF
Reflect on the complexities of government legislative requirements and
context and its effects on local government capacity building
Investigate and compare similar international capacity building practices
Determine gaps that need attention in the review of future NCBFs
Anchor policy in past and present conceptual and theoretical models
Affirm proposed, future solutions
Extend one’s knowledge of government and capacity building
Future studies could focus on that which this study has not yet fully accounted for:
Will government’s current structure assist local government in achieving its
objectives?
Are current IGR mechanisms effective in implementing policy?
Is the application of the principles of the NCBF effected at each level of
government?
486
How effective are associated institutions in supporting government in policy
implementation?
Does local government aspire to facilitate the interests of the citizens in its
planning and delivery?
Are the municipal organisational and service delivery mechanisms geared to
meeting the needs of their communities?
To what extent does the private sector contribute to enhancing the capacity of
municipalities in meeting their objectives?
487
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